POST OFFICE COUNTERS LTD
-and-
ICL PATHWAY LIMITED
INFORMATION TECHNOLOGY SERVICES AGREEMENT FOR BRINGING
TECHNOLOGY TO
POST OFFICES
CODIFIED AGREEMENT
cA991$ 20.241
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Table of Contents
Clauses
RECITALS
PART 1 : INTRODUCTION
CLAUSE 101,
CLAUSE 102.
CLAUSE 103.
CLAUSE 104.
CLAUSE 165.
CLAUSE 106.
CONTRACT STRUCTURE
INTERPRETATION
SEVERABILITY
LAW AND JURISDICTION
ENTIRE AGREEMENT
GENERAL PRINCIPLES
Page Numbers
PART 2: PERFORMANCE OF POCL SERVICES AND SUPPLY OF PRODUCTS
CLAUSE 201.
CLAUSE 202.
CLAUSE 203.
CLAUSE 204.
CLAUSE 205.
CLAUSE 206.
CLAUSE 207.
CLAUSE 208.
CLAUSE 209.
PERFORMANCE OF CORE SYSTEM SERVICES
PERFORMANCE OF OPTIONAL POCL SERVICES
PERFORMANCE OF POCL CLIENT SERVICES
PERFORMANCE OF ADDITIONAL POCL SERVICES
SUPPLY OF CORE SYSTEM PRODUCTS
SUPPLY OF OPTIONAL PRODUCTS
SUPPLY OF ADDITIONAL PRODUCTS
SUPPLY OF POCL CONSUMABLES
CONTRACTOR CONSUMABLES
CLAUSE 210 FURTHER RELEASES
CLAUSE 211 FURTHER USE OF THE CORE SYSTEM
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PART 3 : CONSIDERATION
CLAUSE 301. CHARGES
CLAUSE 302. PACKAGING
CLAUSE 303. PAYMENT
CLAUSE 304. VALUE ADDED TAX
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PART 4 : DEVELOPMENT, IMPLEMENTATION AND PERFORMANCE OF OPERATIONAL
SERVICES
CLAUSE 401. TRANSFER OF ASSETS AND AGREEMENTS
CLAUSE 402. OPERATIONAL TRIAL
CLAUSE 403. DEVELOPMENT SERVICES
CLAUSE 404. IMPLEMENTATION OF POCL SERVICE INFRASTRUCTURE AND
OPERATIONAL SERVICES
CLAUSE 405, PERFORMANCE OF OPERATIONAL SERVICES
CLAUSE 406. INSPECTION OF POCL PREMISES
CLAUSE 407, MARKING OF PRODUCTS
CLAUSE 408. DELIVERY OF PRODUCTS AND POCL CONSUMABLES
CLAUSE 409. PRODUCTS AND SERVICES
GLAUSE 410. CONTINGENCY SERVICES
CLAUSE 411. ACCEPTANCE OF CORE SYSTEM
CLAUSE 412, INVENTORY
PART S : OWNERSHIP LICENCES AND RISK
CLAUSE 501. OWNERSHIP OF HARDWARE
CLAUSE 502. OWNERSHIP OF SOFTWARE
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CLAUSE 503.
CLAUSE 504.
OWNERSHIP OF DOCUMENTATION
OWNERSHIP OF POCL DATA AND INTELLECTUAL PROPERTY
RIGHTS IN THE POCL SERVICE ARCHITECTURE
CLAUSE 505.
CLAUSE 506,
CLAUSE 507.
CLAUSE 508.
CLAUSE 509.
RIGHTS
CLAUSE 510.
CLAUSE 511.
OWNERSHIP OF POCL CONSUMABLES
LICENCES TO USE INTELLECTUAL PROPERTY RIGHTS
RISK IN PRODUCTS
DAMAGE TO PLANT, TACKLE AND TOOLS
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LICENCES FOR THE CONTRACTOR TO USE INTELLECTUAL PROPERTY
DATABASES
RIPOSTE 32 SOFTWARE
PART 6 : CONTRACT AND SERVICE MANAGEMENT
CLAUSE 601.
CLAUSE 602.
CLAUSE 603.
CLAUSE 604.
CLAUSE 605,
CLAUSE 606.
CLAUSE 607.
CLAUSE 608.
CLAUSE 609.
CLAUSE 610.
CLAUSE 611.
MONITORING
MANAGEMENT INTERFACES AND MANAGEMENT SERVICES
COMMUNICATIONS
TRANSFER AND SUB-CONTRACTING
POCL RESPONSIBILITIES
TIME
CONFIDENTIALITY
HEALTH AND SAFETY HAZARDS.
PROTECTION OF PERSONAL DATA
PUBLICITY
CONTRACTOR'S PERSONNEL
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CLAUSE 612. WAIVER
CLAUSE 613. ACCESS TO POCL PREMISES
CLAUSE 614. SECURITY REQUIREMENTS
CLAUSE 615. CONTRACTOR’S KEY PERSONNEL
PART 7 : WARRANTIES AND STANDARDS
CLAUSE 701. AUTHORITY AND APPROVAL
CLAUSE 702. PERFORMANCE OF POCL SERVICES
CLAUSE 703. PERFORMANCE OF PRODUCTS
CLAUSE 704. INTELLECTUAL PROPERTY RIGHTS
CLAUSE 705, TECHNICAL STANDARDS
CLAUSE 706. STATEMENTS AND REPRESENTATIONS
CLAUSE 707. DISCLAIMER OF IMPLIED TERMS
PART 8 : REMEDIES
CLAUSE 801. AUDIT
CLAUSE 802. SERVICE CREDITS AND DELAY
CLAUSE 803. ADDITIONAL RESOURCES
CLAUSE 804. RECOVERY OF SUMS DUE
CLAUSE 805. INTELLECTUAL PROPERTY RIGHTS INDEMNITY
CLAUSE 806. REMEDIES CUMULATIVE
CLAUSE 807. DISPUTE RESOLUTION PROCEDURE
CLAUSE 808. INJURY TO PERSONS; LOSS OF PROPERTY
CLAUSE 809, LIABILITY
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CLAUSE 810. LIMITATION OF LIABILITY
PART 9: TERM AND TERMINATION
CLAUSE 901. TERM
CLAUSE 902. TERMINATION OF CODIFIED AGREEMENT
CLAUSE 903. RIGHTS ON EXPIRY OR TERMINATION OF CODIFIED AGREEMENT
CLAUSE 904. TRANSFER SERVICES
PART 10 : MISCELLANEOUS
CLAUSE 1001. CORRUPT GIFTS AND PAYMENTS OF COMMISSION
CLAUSE 1002. DISCRIMINATION
CLAUSE 1003. EXPORT OF PRODUCTS
CLAUSE 1004. GUARANTEE
CLAUSE 1005. INSURANCE
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1. POCL Service Environment
Al. literpretations
A2. Policies and Standards
A3. Audit
Ad. Contract Management
AS. Change Control
A6. Approach to Remedies
AT. Contract Termination
AB. Sub-contractors
Ag. Asset Transfer
AG. Ordering, Invoicing and Payment
All. Acceptance Procedures
Al2, Charging Structure
Al3. Guarantee
Ala. Contractor's Key Personnel
Als. Requirements
Al6. Solutions
Al7. CCNs
Bl. Software
B2. Hardware
B3. Documentation
B4. POCL Consumable
BS. POCL Acceptance Criteria
Bé, {Not Used}
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B?. {Not Used]
BB. Validation Procedures
BS. Timetable
BLO. Remedy Aggregation
ci. Optional POCL Services
Automated Payments Service
El Service Definition
E2 Acceptance Criteria
E3 POCL Responsibilities
E4 implementation
ES Service Management
EG Service Transfer
E? [Not Used]
EB Service Levels and Remedies
ES Contingency Services
EPOSS
Fi Service Definition
F2 Acceptance Criteria
F3 POCL Responsibilities
F4 Implementation
FS Service Management
F6 Service Transfer
F7 {Not Used}
F8 Service Levels and Remedie
F9 Contingency Services
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POCL Infrastructure Services
Gl
G7
G8
G9
Gid
Gil
OBCS
Hi
H3
H4
HS
H6
H7
H8
HO
KI
POCL Infrastructure Services
[Not Used]
{Not Used]
Acceptance Criteria
POCL Responsibilities
Implementation
Service Management
Service Transfer
{Not Used]
Service Levels and Remedies
Contingency Services
Order Book Control Service
Acceptance Criteria
POCL Responsibilities
implementation
Service Management
Service Transfer
{Not used]
Service Levels and Remedies
Contingency Services
Logistics Feeder Service
Not used
POCL Responsibilities
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K4
KS
K6
K7
K&
Ko
Implementation
Service Management
Service Transfer
[Not used]
Service Levels and Remedies
Contingency Services
Operational Trial Objectives
Operational Trial Plans
Operational Trial Acceptances
Operational Trial Responsibilities
Operational Trial Remedies
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THIS CODIFIED AGREEMENT is made the ZOUK day of July, 1999
BETWEEN:
a)
(2)
Post Office Counters Ltd whose registered office is situated at Gavrelle House, 2-14
Bunhill Row, London EC1Y 8HQ; and
ICL Pathway Limited whose registered office is at 26 Finsbury Square, London EC2A
1DS ("the Contractor").
RECITALS
WHEREAS:
{a)
(b)
On 15th May, 1996, the Secretary of State for Social Security acting through and on
behalf of the Department of Social Security and on behalf of the Department of
Health and Socia! Services for Northern Ireland (“DSS”) and POCL (collectively “the
Authorities”) entered into certain agreements (the “Related Agreements”) for the
design, development, integration and establishment by the Contractor of a
computerised service infrastructure and for certain services to be provided thereon;
Such agreements comprised:
(i) an agreement between DSS and the Contractor for, inter alia, the provision
by the Contractor of services relating to a benefit payment card (the “DSS
Agreement”);
ap an agreement between POCL and the Contractor for, inter alia, the
provision by the Contractor of the POCL Service Infrastructure and for the
POCL Services (as hereinafter defined) to be provided thereon the (“POCL
Agreement”); and
did) an agreement among DSS, POCL and the Contractor for the supply of a
service infrastructure and the provision of certain services which were of
common interest to both DS§ and POCL (the “Authorities Agreement”);
Each of the Related Agreements has been amended from time to time in accordance
ith the change control procedures contained therein;
On 24th May, 1999, DSS and the Contractor entered into an agreement under
which, inter alia, the DSS Agreement was terminated on that date;
On 24th May, 1999 POCL and the Contractor entered into an agreement (the
“Letter Agreement”) under which they agreed that certain changes should be made
to the POCL Agreement and the Authorities Agreement with effect from that date.
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(f}
(g)
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Under the Letter Agreement POCL and the Contractor agreed, inter alia, to replace
the POCL Agreement and the Authorities Agreement (each as amended under
change control procedures) with a single agreement (the “Codified Agreement”)
codifying the changes to those agreements agreed in the Letter Agreement;
This Codified Agreement is the Codified Agreement referred to in the Letter
Agreement.
NOW THEREFORE IT IS HEREBY AGREED as follows:
PART 1: INTRODUCTION
Clause 101. Contract Structure
101.1
101.2
101.3
The Codified Agreement
Without prejudice to Clause 810.10 of this Codified Agreement, each of the POCL
Agreement and the Authorities Agreement is hereby terminated and replaced by the
provisions of this Codified Agreement with immediate effect.
Amendments to Clauses, Schedules and Annexes of this Codified Agreement
The provisions of this Codified Agreement shal! only be amended in accordance
with the Change Control Procedure.
Failure by POCL to perform its Obligations
The Contractor shall not be liable to POCL for any failure to perform or delay in
performing its obligations hereunder where the Contractor proves that such failure
or delay has been directly caused by the failure of POCL to perform any of its
obligations under this Codified Agreement, This Clause shall not apply to Clause
809, which shall be governed by the specific rule stated in Clause 809.2.
Clause 102. Interpretation
102.1
102.2
As used in this Codified Agreement:
102.1.1 the terms and expressions set out in Schedule Al shall have the meanings
ascribed therein;
102.1.2 the masculine includes the feminine and the neuter; and
102.1.3 the singular includes the plural and vice versa.
A reference to any statute, enactment, order, regulation or other similar instrument
shall be construed as a reference to the statute, enactment, order, regulation or
instrument as amended by any subsequent statute, enactment, order, regulation or
102.3
102.4
162.5.1
102.5.2 In the event of any conflict or inconsistency in relation to Service Levels, the
102.5.3
102.6
102.7
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instrument or as contained in any subsequent re-enactment thereof.
Headings are included in this Codified Agreement for ease of reference only and
shall not affect the interpretation or construction of this Codified Agreement.
References in this Codified Agreement to Clauses, Parts and Schedules are, unless
otherwise provided, references to the clauses, parts and schedules of this Codified
Agreement. References to CCDs and CRDs are to the documents agreed as such
from time to time.
Subject to Clause 102.5.2, in the event and to the extent only of any conflict or
inconsistency between provisions of this Codified Agreement, the following order of
precedence shall apply:-
{a} the Clauses and Schedule Al;
(b) Schedules A2 to Al4 and Ai7;
(ce) the Service Definition Schedules and Schedule G6;
(a) Schedule Al5;
fe) Schedule A16;
(3) all other Schedules;
(y) CCDs; and
(h) CRDs.
provisions of the Service Level Schedules shall prevail over those of the Service
Definition Schedules and Schedules A15, A16 and G6 (but not the Clauses or
Schedules Al to Al4 or Al7) to the extent of such conflict or inconsistency.
For the avoidance of doubt, POCL acknowledges that a particular solution in
Schedule A16 shall not be treated as being in conflict or inconsistent with any
requirement in Schedule Al5, or the Service Definition Schedules or Schedule G6,
merely because the solution states that the requirement will be met in a particular
form, manner, quantity, time or place.
The Recitals are not legally binding, but are intended as a guide to the
interpretation and construction of this Codified Agreement.
Where this Codified Agreement imposes upon either party an cbligation which was
also imposed on that party under the Authorities Agreement or POCL Agreement
then to the extent that such obligation has been performed under the Authorities
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Agreement or POCL Agreement it shall be deemed to have been performed under
the corresponding provision of this Codified Agreement (but continuing obligations
shall continue under this Codified Agreement).
102.8 Where any provision of this Codified Agreement requires or permits a matter to be
agreed between the parties or approved by either of the parties and such provision
was also contained in the Authorities Agreement or POCL Agreement, any
agreement reached or approval given under the Authorities Agreement or POCL
Agreement shall be deemed to have been reached or given under the corresponding
provision of this Codified Agreement.
102.9 References in CCDs, CRDs and Schedules agreed prior to the date of this Codified Me .
Agreement to NR2 or NR2+ shall be construed so as to refer to such of CSR or ““ Spstces Repaired
3 CSR+ as shall be appropriate having regard to the functionality of the item or
service to which such reference relates, as determined by the SADD and any Sew'u atv ithe ne
relevant Release Contents Description, Likewise, references in such CCDs, CRDs Derry See
and Schedules to other items, services or matters affected by subsequent
agreements between the parties (including this Codified Agreement) shall be
construed to reflect most appropriately the effect of such subsequent agreements.
102.10 It is expressly agreed that Clause 201.6 and (notwithstanding that they refer to
CCDs} the definitions of “Core System” and “CSR+” shall take precedence over all
other provisions of this Codified Agreement (including the Schedules) which define
the Core System, CSR+, the Core System Services or the POCL Services.
Clause 103. Severability
If any of the provisions of this Codified Agreement is judged to be invalid, illegal or
unenforceable, the continuation in full force and effect of the remainder of them will not be
prejudiced but such provision shall be deemed modified to the extent necessary in the court’s
opinion to render such term or provision enforceable, and the rights and obligations of the
parties shall be construed and enforced accordingly, preserving to the fullest permissible
extent the intent and agreements of the parties herein set forth.
Clause 104. Law and Jurisdiction
104.1 This Codified Agreement shall be governed by and shall be interpreted in
accordance with English Law and, subject to Clause 807, the parties submit to the
exclusive jurisdiction of the English Courts.
104.2 Except as specified in Clause 101, this Codified Agreement is binding on POCL and
its successors and permitted assignees and on the Contractor and the Contractor's
successors and permitted assignees.
Clause 105. Entire Agreement
105.1 This Codified Agreement constitutes the entire understanding between the parties
105.2
105.3
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relating to the subject matter of this Codified Agreement. Each of the parties
acknowledges that in entering into this Codified Agreement it has not relied on any
representation, warranty, promise or assurance, whether or not in writing, and
whether or not negligent, given or made by any other party as an inducement to
enter into this Codified Agreement. Accordingly no party shall have any right of
action (except in the case of fraud) against any other party arising out of any such
representation, warranty, promise or assurance.
This Codified Agreement supersedes the Letcer Agreement, the schedules to the
Letter Agreement, the Heads of Agreement referred to in the Letter Agreement, the
POCL Agreement and the Authorities Agreement, each of which shall be of no
further effect (but without prejudice to rights and liabilities of the Parties accruing
under the Letter Agreement, the schedules thereto or the Heads of Agreement
berween 24 May, 1999 and the date of this Codified Agreement).
The parties acknowledge that the consent agreement (the “Consent Agreement”)
dated 16th September, 1997 among DSS, POCL, ICL ple, the Contractor and ICL
Pathway Asset Company Limited shall not be terminated by the execution of this
Codified Agreement and that references in the Consent Agreement to the “POCL
Agreement”, the “Authorities Agreement” or the “Related Agreements” or any
provisions thereof shall be references to this Codified Agreement or (as the case
may be) the equivalent provisions of this Codified Agreement.
Clause 106. General Principles
196.1
106.2
106.3
106.4
106.5
106.6
POCL shall control the rights for using and marketing the POCL Services provided in
post offices. The Contractor shall have no control over the use or marketing of the
POCL Services.
The Contractor shall offer all reasonable assistance to POCL in preventing
fraudulent use of the POCL Services and POCL Service Infrastructure by POGLs
employees and Agents.
The POCL Services and the POCL Service Infrastructure shall be provided in
accordance with and comply with all relevant applicable industry standards, as
these are listed in Schedule A2.
The Contractor shall, if so requested by POCL, work with POCL to identify and
develop new business opportunities for POCL and the Contractor.
For the avoidance of doubt, the Contractor shall ensure migration of appropriate
automated systems without any reduction in existing service or security levels to
POCUs clients and customers.
Except as otherwise agreed from time to time between POCL and the Contractor,
POCL will retain control itself of its critical business processes and relationships,
such as:
106.7
106.8
106.9
106.6.1
106.6.2
106.6.3
106.6.4
106.6.5
106.6.6
106.6.7
The Contractor shal] not restrict POCL from using the POCL Servi
Service Infrastructure for its existing and future clients, Agents, customers, products
customer interface, including quality of service (such as queuing time and
other customer charter measures) to its customers, network format,
location of offices and service standards;
contractual relationships with Agents;
contractual relationships with its clients;
policy control of its network;
its reconciliation, settlement and key infrastructure support processes;
its relationship with its suppliers; and
its product and service design.
and services.
The Contractor's and its subcontractors’ contacts with Agents shall be arranged via
POCL.
The POCL Service Infrastructure (other than any Public Service Telecommunications
and the POCL
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Networks) may not be used other than by POCL without the prior written consent of
POCL to provide any services to:
(a)
{b)
(c}
(ad)
fe)
POCES current clients in respect of current products and services;
POCEs current clients in respect of new products and services;
new clients in respect of current products and services;
new cients in respect of new products and services; or
POCHs current market domains (including:
* personal cash and banking services - cash withdrawals and deposits,
cashing cheques, benefit payments and postal orders;
® communications - letter and parcel services including stationery and
greetings products, other telecommunications retail products and
services;
* corporate cash services - cash management services for business
customers, including business deposits, cash handling and proc:
sing;
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* entertainment and leisure services - lotteries, fishing licences,
membership applications, TV licences and cable TV bill payment, tickets
for events;
© personal savings and budgeting - savings and investment accounts,
household bill payment and pre-payment, credit services, personal
pensions, household insurance;
* travel services - foreign exchange, international money transfer and
documentation including passports, travel tickets and motor vehicle
licences, car insurance and membership of motoring organisations,
travel insurance;
* insurance - other general risk insurance and life assurance products;
« information services - about the products and services offered by POCL
and its clients;
° benefit payment services).
106.10 The Contractor shall deliver and continue to provide a secure system in respect of
all transactions which as far as this Codified Agreement requires eliminates the
potential for any fraud or unauthorised disclosure of data and provides detection
procedures and significant barriers to attacks from internal conspiracy and collusion
to defraud POCL.
106.11 The POCL Services and the POCL Service Infrastructure shall be capable of
introduction in all post offices.
106.12 For the avoidance of doubt, and without limitation to the generality of Clause
902.2, any failure by the Contractor to comply with any of the provisions of Clauses
106.7, 106.8 or 106.9 shall be treated as a Default for the purposes of Clause
902.2.
PART 2 ; PERFORMANCE OF POCL SERVICES AND SUPPLY OF PRODUCTS
Clause 201. Performance of Core System Services
201.1 [Not used]
261.2 Subject to Clause 201.6 the Contractor shall be responsible for meeting the
requirements specified in Schedule A15 in accordance with the Solutions specified
in Schedule Al6 by performing the Core System Services referred to in Clause
2 . However, for the avoidance of doubt, and subject to Clauses 102.5 and
201.6, the parties acknowledge that POCEs acceptance of the Contractor’s solutions
in Schedule A16 and their agreement to the service descriptions contained in the
relevant Schedules of this Codified Agreement, shal! not relieve the Contractor of its
201.3
201.4
201.6
obligation to meet such of those requirements specified in Schedule A15S as relate to
the Core System, CSR+ and, subject to Clause 301.10, other Releases as referred to
in Clause 210.
Subject to Clause 201.6 the Contractor shall perform the following Core System
Services in accordance with all applicable provisions hereof:
201.3.1 the Development Services pursuant to Clause 403;
201.3.2 the Implementation Services pursuant to Clause 404;
201.3.3 the Operational Services pursuant to Clause 405;
201.3.4 the Management Services pursuant to Clause 602; and
201.3.5 the Transfer Services pursuant to Clause 904.
The Contractor shall, at no cost to POCL:-
201.4.1 strip out from, or suppress in, the Core System Release the functionality of;
and
201.4.2 strip out from CSR+
all software relating exclusively to the aborted benefit encashment service or to PAS
or CMS-{as defined under the DSS Agreement).
To support the performance of the POCL Services, the Contractor shal! supply to
POCL one hard copy and one electronic copy of each version of the Service
Architecture Design Document in accordance with all applicable provisions hereof.
For the avoidance of doubt, the Contractor acknowledges that agreement by POCL
to the SADD shall not relieve the Contractor of its obligation to continue to perform
the POCL Services in accordance with all applicable provisions of this Codified
Agreement
Notwithstanding any other provision of this Codified Agreement to the contrary, the
Contractor's obligations in relation to those elements of the Core System Services
which are dependent on software releases are limited to the provision of:-
(a) following the Core System Release, such of those elements as are
dependent on the Core System Release;
(b) following CSR+, such of those elements as are dependent on CSR+; and
{eo} in further Releases pursuant to Clause 210, such additional Core System
Services as may be agreed in accordance with the Change Control
Procedure and the provisions of Clause 301.10
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and references to the Core System Services and any category of them shall be
construed accordingly.
Clause 202, Performance of Optional POCL Services
POCL shall have the option, exercisable on prior written notice to the Contractor, of
obtaining any of the Optional POCL Services described in Schedule C1.
Such Optional POCL Services shall be performed in accordance with all applicable provisions
hereof.
Clause 203, Performance of POCL Client Services
The Contractor shail provide POCL with such services as may be agreed by the Contractor
and POCL in relation to Royal Mail, DVLA, DNS, Girobank ple and the Co-operative Bank ple
(and other POCL clients as may be agreed). Such services shall be performed in accordance
with all applicable provisions of this Codified Agreement.
Clause 204, Performance of Additional POCL Services
The Contractor undertakes to perform at any time during the term of this Codified
Agreement such Additional POCL Services as may be agreed by it and POCL in accordance
with the provisions of Clause 101.2 for the purposes contemplated by this Codified
Agreement and within the scope of the Advertisement. Such Additional POCL Services shail
be performed in accordance with all applicable provisions of this Codified Agreement.
Clause 205. Supply of Core System Products
205.1 To support the performance of the POCL Services, the Contractor shail supply the
following Core System Products in accordance with ali applicable provisions hereof:
205.1.1 all of the Products comprising the POCL Service Infrastructure;
205.1.2 the Documentation.
205.2 The Contractor warrants that the Documentation comprises:
{a} a complete set of operating manuals; and
(b) a complete set of manuals for the POCL Service Architecture.
205.3 In addition to one hard copy of the Documentation provided by the Contractor, the
Contractor shall provide POCL with an electronic copy at no additional charge.
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Clause 206. Supply of Optional Products
POCL shall have the option, exercisable on prior written notice to the Contractor, of
obtaining, as Optional Products, all or any items of the same type as the elements of the
POCL Service Infrastructure provided by the Contractor for use on the POCL Premises (other
than any Public Service Telecommunications Network equipment).
The Optional Products shall be supplied in accordance with all applicable provisions hereof.
Clause 207. Supply of Additional Products
The Contractor undertakes to supply at any time during the term of this Codified Agreement
such Additional Products as may be agreed by it and POCL in accordance with the provisions
of Clause 101.2 for the purposes contemplated by this Codified Agreement and within the
scope of the Advertisement. Such Additional Products shall be supplied in accordance with
all applicable provisions hereof.
Clause 208. Supply of POCL Consumables
POCL shall have the option of obtaining all or any of the POCL Consumables in such
quantities as may be reasonably required by POCL by giving the Contractor not less than
thirty (30) days prior written notice thereof, The POCL Consumables shall be supplied in
accordance with all applicable provisions hereof.
Clause 209, Contractor Consumables
The Contractor shall provide aJl Contractor Consumables which are required for the
performance of the POCL Services.
Clause 210 Further Releases
210.1 Subject to the Change Control Procedure, further Releases of Software to provide
additional functionality relevant to the Core System shall be provided by the
Contractor by way of upgrades to CSR or CSR+.
210.2 The Contractor may also issue further Releases of Software from time to time as
necessary to remedy defects in the provision of the POCL Services or for the purpose
of maintenance of the POCL Service Infrastructure.
Clause 211 Further Use of the Core System
In parallel with the performance of the Contractor’s obligations under this Codified
Agreement, POCL confirms its desire to use the Core System for network banking and the
provision of services (via smart cards) for Modern Government. POCL will therefore work
with the Contractor to revive and continue the discussions on the Public Private Partnership
considered by the parties prior to the date of this Codified Agreement. it is hoped that the
parties can together develop a business strategy in these areas which they can deliver
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through appropriate arrangements under a Public Private Partnership in order to leverage
the use of the Core System and develop to the full POCUs potential for the delivery of
electronic business services.
PART 3 : CONSIDERATION
Clause 301. Charges
301.1 Core System Charges
The Charges for the provision of the POCL Service Infrastructure and the Core
System Services shall be calculated in accordance with Part A of Schedule Al2 to
this Codified Agreement.
301.2 Charges for Optional POCL Services
The Charges for any Optional POCL Services shall be calculated in accordance with
paragraph 8 of Schedule A12 to this Codified Agreement.
301.3 Charges for POCL Client Services
The Charges for any POCL Client Services shall be calculated in accordance with
paragraph 9 of Schedule Al2 to this Codified Agreement.
301.4 Charges for Additional POCL Services
The Charges for Additional POCL Services shall be as set out in paragraph 10 of
Schedule A12 to this Codified Agreement.
301.5 Gore System Products
The costs of supply of the Core System Products are included within the charges
referred to in Clause 301.1 above,
301.6 Optional Products
The Charges for the supply of any Optional Products shall be calculated in
accordance with paragraph 12 of Schedule Al2 to this Codified Agreement.
301.7 Additional Products
The Charges for the supply of any Additional Products shall be calculated in
accordance with the Contractor's then current list prices but shall in no event exceed
the prices then generally offered in the United Kingdom for such products on similar
terms.
301.8
301.9
301.10
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12
POCL Consumables
The Charges for the supply of any POCL Consumables shall be as specified in
Schedule B4.
Contractor Consumables
All Contractor Consumables shal! be supplied at the expense of the Contractor.
Further Releases
301.10.1 Further releases of Software which fall within Clause 210.1 shall
be provided either:-
301,10.1.1 on the basis of appropriate time and material charges (as set out in
paragraph 14 of Schedule Al2) which shall be invoiced monthly in
arrears; or
301.10,1.2 for a fixed price to be agreed (on payment terms to be agreed)
which shall not be audited
as elected by POCL.
301.10.2 Further releases of Software which fall within Clause 210.2 shall
be provided at no cost to POCL.
Clause 302, Packaging
No additional charge shall be made for packaging used by the Contractor, All such
packaging shall be removed by the Contractor at no additional cost when no longer required.
Clause 303. Payment
303.1
303.2
303.3
In consideration of the supply of the Products and the performance of the POCL
Services in accordance with the provisions of this Codified Agreement POCL shall
pay the Charges.
Payment of Charges in relation to the POCL Services performed hereunder shall be
made in accordance with the invoicing and payment procedure specified in
Schedule A10.
In the event that the Contractor, in accordance with the terms of this Codified
Agreement, enters into a supply contract or a sub-contract in connection with this
Codified Agreement, the Contractor shall ensure that a term is included in the
supply contract or sub-contract which requires the Contractor to pay all sums due
thereunder to the relevant supplier or sub-contractor within a specified period, not
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13
to exceed thirty (30) days, from the date of receipt of a valid invoice as defined by
the terms of the supply contract or sub-contract (as appropriate).
Clause 304. Value Added Tax
Itis hereby agreed that the Charges are exclusive of Value Added Tax, which POCL shall pay
to the Contractor at the rate and in the manner prescribed by law from time to time, subject
to the production by the Contractor of a valid tax invoice giving the requisite details of the
taxable supply.
PART 4: DEVELOPMENT, IMPLEMENTATION AND PERFORMANCE OF
OPERATIONAL SERVICES
Clause 401. Transfer of Assets and Agreements
401.1 Sale and Purchase
401.1,1 POCL, free of encumbrances, liens, charges, mortgages, pledges or other
third party rights, shall sell and transfer and the Contractor shall purchase
and accept the POCL Transferred Assets (if any) listed in Schedule A9.
401.1.2 Subject to Clause 401.1.3, the POCL Transferred Assets are sold and
transferred by POCL to the Contractor "as is* and POCL provides no
warranty as to the state, quality or fimess for purpose of the POCL
Transferred Assets and all such statutorily implied warranties are hereby
excluded, POCL warrants it has good title to the POCL Transferred Assets.
401.1.3 To the extent to which POCL is legally able to do so, POCL hereby assigns
all POCLs rights against manufacturers, suppliers and third parties in
respect of the POCL Transferred Assets to the Contractor. POCL shall at the
Contractor's request and expense give to the Contractor reasonable ~
assistance to enable the Contractor to enforce such rights.
401.1.4 Title to and risk in the POCL Transferred Assets shall pass to the Contractor
on the Transfer Date.
401.2 Sale Consideration
401.2.1 As consideration for the agreement by POCL to sell the POCL Transferred
Assets, the Contractor hereby agrees to pay to POCL the sum of £1 (if and
when requested).
401.2.2 It is hereby agreed that the sum to be paid pursuant to this Clause 401.2.1
is exclusive of Value Added Tax, which the Contractor shall pay to POCL at
the rate and in the manner prescribed by law from time to time, in addition
to the sum payable in Clause 401.2.1, subject to the production by POCL of
a valid tax invoice giving the requisite details of the taxable supply.
401.3
401.4
14
ISDN Lines
4013.1
401.3.2
401,3.3
With effect from the Transfer Date POCL shall assign to the Contractor the
benefit of all agreements entered into berween POCL and British Telecom
Pic to the extent relating to the provision of ISDN lines in Outlets in
connection with services to be migrated to the POCL Services (the
“Relevant ISDN Agreements”) and the Contractor agrees to assume and
duly perform all of POCLs obligations in relation to the Relevant ISDN
Agreements. The parties shall, unless otherwise agreed, enter into a deed
of novation with British Telecom PLC to effect such assignment and
assumption on the Transfer Date or as soon as reasonably practicable
thereafter.
POCL undertakes to pay, discharge and satisfy all liabilities and obligations
arising in the period up to the Transfer Date when the same fal} due to be
paid, satisfied or discharged in respect of the Relevant ISDN Agreements
and to indemnify the Contractor from and against such liabilities and
against any and all losses, costs, liabilities and expenses arising out of or in
connection therewith. The Contractor undertakes to reimburse POCL upon
the Transfer Date in respect of all pre-payments made by POCL which
relate to any period following the Transfer Date. The Contractor and POCL
shall prior to the Transfer Date prepare and agree a written statement
itemising such pre-payments.
The Contractor undertakes to pay, discharge and satisfy all liabilities and
obligations arising after the Transfer Date when the same fall due to be
paid, satisfied or discharged in respect of the Relevant ISDN Agreements
and to indemnify POCL from and against such liabilities and against any
and all losses, costs, liabilities and expenses arising out of or in connection
therewith.
Completion
491.4.1
4014.2
Completion of the sale and purchase and/or transfer shall take place on the
Transfer Date at the offices of POCL.
Upon completion POCL shall deliver to the Contractor:
401.4.2.1 quiet possession of all the relevant POCL Transferred
Assets;
401.4.2.2 executed documentation sufficient for the purpose of
transferring title to the relevant POCL Transferred Assets;
401.4.2.3 copies of documentation relating to the Relevant ISDN
Agreements including relevant technical information and
terms and conditions of such Relevant ISDN Agreements.
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401.4.3 Upon completion of the Transfer the Contractor shall pay to POCLina
manner to be agreed between the parties the sum specified in Clause
401.2.1.
401.5 Transfer of Undertakings (Protection of Employment) Regulations 1981
401.5.1 In the event that, by virtue of the application for whatever reason of the
401.5.2
Transfer of Undertakings (Protection of Employment) Regulations 1981 (as
amended or replaced from time to time) to the assumption of responsibility
by the Contractor for the provision of all or any part of the POCL Services
hereunder, there is transferred to the Contractor any contract of
employment of any employee of POCL, and provided that the Contractor:
w shall not have offered employment to such employee or otherwise
have encouraged him to seek or to claim employment with the
Contractor; and
ad shall have notified POCL in writing of the Contractor's intention to
terminate the employment of such employee at Jeast fourteen (14)
days before terminating such employment; and
Gil) shall immediately after such notification to POCL have given POCL
reasonable opportunity to offer such employee reemployment with
POCL; and
(iv) shall have terminated the employment of such employee as soon
after the date on which the Contractor first became aware of the
transfer to it of his employment as permitted under the relevant
contract of employment,
POCL, subject always to the Contractor's proper observance of its -
obligations under this Clause, shall fully indemnify the Conzractor from and
against any and all liabilities and obligations which the Contractor may
incur in connection therewith CGincluding any Habilities and obligations,
accruing prior to such transfer of employment, in relation to personal
injury, sexual discrimination and any liabilities and obligations arising after
such transfer of employment on the subsequent termination of employment
by the Contractor of any such employees so transferred to it).
In the event of any claim or dernand being made or action brought to
which Clause 401.5.1 applies, POCL shall be promptly notified thereof and
POCL shall at its own expense conduct all negotiations for settlement of the
same and any legal proceedings that may arise therefrom. The Contractor,
its sub-contractors, agents and employees shall at the request of POCL
afford all reasonable assistance for the purpose of contesting any such
claim or demand or action and shal! be repaid any reasonable expense
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incurred in so doing and shall not make any admissions which may be
prejudicial to the defence of any such claim or demand or action.
Clause 402. Operational Trial
402.1 The Contractor shall, during the Operational Trial Period, make available the
Operational Trial System for the Operational Trial as set out in Schedules L1 to LS
to be performed in accordance with the timetable set out in Schedule L2
402.2 The objectives of the Operational Trial shall be as specified in Schedule L1.
402.3 Operational Trial and the Operational Trial System shall be used to test the Core
System for the purposes of Schedule All.
402.4 [Not used]
402.5 [Not used]
402.6 [Not used]
402.7. POCL will perform its Operational Trial Responsibilities as set out in Schedule L4.
402.8 For the avoidance of doubt, the Contractor acknowledges that successful completion
of acceptance testing of any part of the Operational Trial System shall not relieve it
of its obligation to continue to perform the POCL Services hereunder in accordance
with all applicable provisions hereof.
402.9 Notwithstanding the foregoing provisions of this Clause, POCL shall have no right of.
termination of this Codified Agreement in relation to failure of the Operational Trial
System successfully to complete the Operational Trial except in accordance with
Schedules All and L5.
Clause 403. Development Services
The Contracror shall perform the following Development Services:
403.1
403.2
403.3
403.4
403.5
403.6
development of the Automated Payment Service as described in Schedule E1;
development of EPOSS as described in Schedule F1;
development of the POCL Infrastructure Services as described in Schedule G1;
development of the OBCS as described in Schedule H1;
development of the Logistics Feeder Service as described in Schedule K1;
development of Optional POCL Services as described in Schedule C1 ;
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493.7 development of the Service Architecture Design Document; and
403.8 development of the Contingency Services as described in Schedules E9, F9, G11,
H9 and K9.
Clause 404. Implementation of POCL Service Infrastructure and Operational
Services
404.1 The Contractor shall implement the POCL Service Infrastructure in accordance with
the provisions and timetable in Schedule G6, Elements of the POCL Service
Infrastructure shall be subject to Acceptance.
404.2 POCL may on prior written notice defer implementation of any part of the
Operational Services and of any of the POCL Service Infrastructure until successful
completion of the Operational Trial under the foregoing provisions of this Clause.
404.3 The Contractor shall implement the Automated Payment Service in accordance with
the timetable in, and the provisions of, Schedule E4. Elements of the Automated
Payment Service shall be subject to Acceptance.
404.4 The Contractor shall implement EPOSS in accordance with the timetable in, and the
provisions of, Schedule F4. Elements of EPOSS shall be subject to Acceptance.
404.5 The Contractor shall implement the POCL Infrastructure Services in accordance with
the timetable in, and the provisions of, Schedule G6. Elements of the POCL
Infrastructure Services shall be subject to Acceptance.
404.6 The Contractor shall implement OBCS in accordance with the timetable in, and
provisions of, Schedule H4. Elements of OBCS shall be subject to Acceptance.
404.7. The Contractor shall implement the Logistics Feeder Service in accordance with the
timetable in, and provisions of, Schedule K4.
Clause 405. Performance of Operational Services
Subject to the Release Authorisation Board authorising commencement of National Rollout
of the Core System and subject to Clause 201.6, the Contractor shall, from the date of CSR
Acceptance, perform the following Operational Services:
405.1 the Automated Payment Service, in accordance with the provisions of Schedule E1;
405.2 EPOSS, in accordance with the provisions of Schedule F1;
405.3 the POCL Infrastructure Services, in accordance with the provisions of Schedule G1;
405.4 the OBCS in accordance with the provisions of Schedule Hi;
405.5
405.6
405.7
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the Logistics Feeder Service in accordance with the provisions of Schedule K1;
the POCL Contingency Services in accordance with the provisions of Schedules E9,
F9, G11, H9 and K9;
any Optional POCL Services ordered pursuant to Clause 202 in accordance with the
provisions of Schedule C1.
Clause 406. Inspection of POCL Premises
406.1
406.2
406.3
The Contractor confirms that it has been offered the opportunity to inspect the
POCL Premises in order to satisfy itself that the POCL Premises are suitable for the
installation and operation of the Products in the POCL Service Infrastructure and
the supply of the POCL Services. However, the Contractor does not warrant that the
use of such Products when installed will comply with applicable Health and Safety
legislation or that the POCL Premises will comply with such legislation, only that
installation work carried out by the Contractor and the Products as installed in their
immediately surrounding environment will so comply. The Contractor shall not be
liable for any delay or Default directly caused by any delay or failure in obtaining
any third party consents or licences which are necessary to permit such installation.
in relation to any work at the POCL Premises whichis required as referred to in
paragraph 3.2 of Annex 4 to Schedule A12, the Contractor shall inspect the POCL
Premises, specify the necessary work and, subject to POCUs prior written approval of
the work to be done and the costs thereof,carry out such work. The costs of such
work shall be chargeable to POCL in accordance with paragraphs 6 and 13 of, and
Annex 4 to Schedule Al2. POCL reserves the right to arrange for such work to be
done by parties other than the Contractor in accordance with procedures and
specifications reasonably agreed by the parties. The Contractor will not be liable
for any delay or Default directly caused by such changes being made by a party
other than the Contractor.
POGL shall only be liable to pay for the Contractor's costs for those changes to the
POCL Premises which are strictly necessary to install the Products to enable the
Contractor to perform the POCL Services, and these costs shall only be chargeable
pursuant to the charging structure in Annex 4 to Schedule Al2. The Contractor will
minimise such instailation and operations costs.
Clause 407. Marking of Products
The Contractor shall ensure that each Product in the POCL Service Infrastructure is clearly
marked with a functional title or code so that it can be readily identified in the relevant
Documentation and related to its proper place in the POCL Service Infrastructure.
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Clause 408. Delivery of Products and POCL Consumables
The Contractor shall deliver any Products and POCL Consumables to an authorised
representative of POCL at times and locations to be mutually agreed between the Contractor
and POCL (such agreement not to be unreasonably withheld or delayed). Any Software
supplied as a Product will be delivered in object code.
Clause 409, Products and Services
The Contractor shall not introduce any product or service into the POCL Service
Infrastructure or POCL Services, nor make any change to any Products or POCL Services,
without POCEs prior written consent in accordance with Schedule A5.
Clause 410, Contingency Services
The Contractor shall perform the Contingency Services in accordance with the provisions of
Schedules E9, F9, G11, H9 and K9.
Clause 411. Acceptance of Core System
411.1 Provisions relating to CSR Acceptance are set out in Schedule All.
411.2 The Contractor agrees thar if, following CSR Acceptance, any fault arises in
connection with the Core System which:
{a} was not identified as an Acceptance Incident; but which
(b) might reasonably have been expected to have been identified as an
Acceptance Incident had the Acceptance Criteria, Acceptance Specifications
and Acceptance Tests agreed in relation to the Core System prior to
execution of this Codified Agreement been appropriately revised and
applied (i) to reflect in ali material respects the removal from the Services
of BES, PAS and CMS (in each case as defined under the Related
Agreements immediately prior to 24 May, 1999) and (ii) to ensure that the
Core System were not affected by such removal
then the Contractor shall remedy such fault in accordance with Clause 411,3 below
at the expense of the Contractor.
411.3 In the case of category (a) faults (as defined in Schedule Al1) such remedy shall be
effected forthwith on discovery of the faulr and in the case of category (b) faults (as
so defined) ir shall be effected promptly following discovery of the fault.
411.4 The occurrence of a fault to which Clause 411.2 applies shall not invalidate CSR
Acceptance or entitle POCL to claim that CSR Acceptance has not, or should not
have, taken place, or that any sum due to the Contractor upon CSR Acceptance
should be withheld or repaid.
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411.5 CS§R+ shall be subject to Release authorisation by the Release Authorisation Board
but not subject to Acceptance,
Clause 412. Inventory
412.1 The CCD entitled “CSR Asset Register” contains an inventory of the hardware and
software to be used to provide the host and network facilities of the POCL Service
Infrastructure and located in the Contractor's datacentres as at Acceptance of the
Core System.
412.2 The Contractor undertakes to maintain throughout the term of this Codified
Agreement hardware and software in relation to the POCL Service Infrastructure
providing, as a whole, equivalent capability to those listed in the CSR Asset Register.
412.3 The Contractor may replace, upgrade, remove or decommission hardware and
software from time to time comprised in the POCL Service Infrastructure provided
that it continues at all times to comply with its undertaking contained in Clause
412.2.
PART 5 : OWNERSHIP, LICENCES AND RISK
Clause 501. Ownership of Hardware
Ownership of the Hardware shall either vest in POCL upon acceptance thereof or shall
remain in the Contractor (or its licensors), as specified in Schedule BZ, However, POCL shall
not acquire title to any Intellectual Property Rights in the Hardware.
Clause 502. Ownership of Software
Ownership of the media on which such Software is supplied by the Contractor shall either
vest in POCL upon acceptance thereof or shall remain in the Contractor (or its licensors), as
specified in Schedule B1, However, POCL shall not acquire title to any Intellectual Property
Rights in the Software, other than Specially Written Software, the Intellectual Property
Rights in which are specified in Schedule B1 as vesting in POCL, the ownership to which
shal] vest in POCL upon acceptance thereof,
Clause 503. Ownership of Documentation
Ownership of the media on which Documentation is supplied by the Contractor shall vest in
POCL. However, POCL shall not acquire title to the Intellectual Property Rights in the
Documentation.
Clause 504. Ownership of POCL Data and Intellectual Property Rights in the POCL
Service Architecture
504.1 The Contractor acknowledges that the POCL Data is the property of POCL and POCL
hereby reserves all intellectual Property Rights which may subsist in the POCL Data.
504.2
504.3
504.4
$04.5
504.6
504.7
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21
The Contractor shall not delete or remove any copyright notices contained within or
relating to the POCL Data.
The Contractor shail preserve the integrity of the POCL Data once the Contractor
has received such POCL Data, shall prevent any corruption or loss of the POCL Data
and shall comply with the validation procedures set out in Schedule BB as such
procedures may be updated and amended from time to time. The Contractor shall
not be liable for any loss or corruption of POCL Data nor for any failure to perform
the POCL Services if it can prove that such loss or corruption or failure to perform
the POCL Services was caused by POCL Data which was lost or corrupted before the
Contractor received it, and the Contractor has complied with the validation rules in
relation to such POCL Data.
Im the event that the POCL Data is corrupted or lost in the course of performing the
POCL Services POCL shall have the option, in addition to any other remedies that
may be available to it either under this Codified Agreement or otherwise, to elect
either of the following remedies:
504.3.1 POCL may require the Contractor at its own expense to restore or procure
the restoration of the POCL Data; or
504.3.2 POCL may itself restore or procure restoration of the POCL Data, and shall
be repaid by the Contractor any reasonable expenses so incurred.
For the purposes of Clauses 504,2 and 504.3, the term “POCL Data” shall include
the data of POCLs clients.
Ownership of any Intellectual Property Rights in that part of the design of the POCL
Service Architecture (as set out in the Service Architecture Design Document) which
is developed during the performance of the POCL Services shail vest in the
Contractor. Any use by the Contractor of the overall design of the POCL Service
Architecture within the United Kingdom for purposes other than in connection with
this Codified Agreement shall be subject to the prior written agreement of POCL on
reasonable commercial terms (such agreement not to be unreasonably withheld or
delayed).
POCL Data constitutes Confidential Information, and may not be reproduced
without the prior written consent of POCL except as necessary to perform the POCL
Services.
The Contractor shall not do anything to prejudice the security of the POCL Services.
Clause 505. Ownership of POCL Consumables
Ownership of any POCL Consumables supplied hereunder shall vest in POCL upon delivery
thereof in accordance with Clause 408.
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Clause 506. Licences to use Intellectual Property Rights
506.1
506.2
506.3
$06.4
In consideration of the payment of the relevant Charges the Contractor hereby
grants, or shall procure that the owner of the Intellectual Property Rights in the
Specially Written Software and the Documentation (other than the Specially Written
Software, and Documentation in which ownership of the Intellectual Property
Rights vests in POCL pursuant to Clause 502) grants POCL a perpetual, royalty-free,
irrevocable (subject to Clause 506.12) and non-exclusive licence to Use the relevant
Specially Written Software, to use and copy solely in connection with the Services
the Documentation listed in Part A of Schedule B3 and to use, copy and modify
solely in connection with the Services the Documentation listed in Part B of
Schedule B3,
(Not Used]
In consideration of the payment of the relevant Charges the Contractor hereby
grants to POCL a royalty-free, non-exclusive licence to Use the Contractor's
Software. Such licence to Use the Contractor's Software shall, subject to Clause
$06.12, be perpetual and irrevocable. POCUs licence to Use such Contractor’s
Software shall be subject to any additional terms and conditions specified in
Schedule Bi which do not detract from the rights granted to POCL hereunder.
In respect of Third Party Software supplied hereunder, the Contractor shall in
consideration of the payment of the relevant Charges:
506.4.1 use all reasonable efforts to procure the right to grant to POCL a perpetual,
royalty-free, irrevocable (subject to Clause 506.12) and non-exclusive
sub-licence to Use such Third Party Software, subject to Clause 506.6 and
Clause 506.7, and, by the entering into of this Codified Agreement shall
grant such sub-licence; or
506.4.2 if the Contractor is unable to procure the right to grant the sub-licence
referred to in Clause 506.4.1 the Contractor shall procure, prior to the
commencement of the Operational Trial Period (or in respect of Optional
Products or Additional Products, prior to the provision thereof ), that the
third party grants to POCL a royalty-free and non-exclusive licence to Use
the Third Party Software subject to Clause 506.6 and Clause $06.7, and
shall use all reasonable endeavours to ensure that such licence is perpetual
and (subject to Clause 506,12) irrevocable;
POCIs licence or sub-licence to Use such Third Party Software shall be subject to
any additional terms and conditions imposed by the licensor, provided that any
terms of any sub-licence granted under sub-Clause 506.4.1 or any licence granted
under sub-Clause 506.4.2 shail not detract from the rights granted to POCL
hereunder.
506.5
506.6
506.7
506.8
506.9
$06.19
23
In consideration of the payment of the relevant Charges the Contractor hereby
grants to POCL or shall procure prior to the commencement of any use by POCL
that the relevant Third Party grants to POCL a royalty-free non-exclusive licence to
use the Internal Code in connection with the Hardware of which it forms an integral
part. Such licence to use the Internal Code shall, subject to Clause 506.12, be
perpetual and irrevocable. On the sale or transfer of an item of Hardware of which
Internal Code is an integra! part, licence to use such Internal Code in combination
with the said item of Hardware shall pass to the purchaser or other transferee of the
said item of Hardware. POCL shall take all reasonable steps to ensure that the
purchaser or transferee of the said item of Hardware agrees to comply with the
Heence to use the Internal Code that was previously enjoyed by POCL.
POCL shall be entitled to engage a third party to Use the Specially Written Software
and to Use the Contractor's Software, (and the Contractor shall use all reasonable
endeavours to enable POCL to engage a third party to use Internal Software and
Third Party Software) subject to and in accordance with this Codified Agreement on
behalf of POCL provided that such third party shall have entered into a
confidentiality undertaking in accordance with Clause 607.3.2.
POCL shall be entitled to copy the appropriate Contractor's Software, Internal Code
and Third Party Software in order to create as many archival or back-up copies of
the same as are necessary. When copying Software POCL shall include the original
machine readable copyright notice, and a label affixed to the media identifying the
Software and stating: "This medium contains an authorised copy of copyrighted
software which is the property of {the Contractor or the Third Party Software
Owner]."
The Contractor shall place the Source Code of the Deposited Software in escrow
with the NCC on the basis of the appropriate standard agreement or on such other
terms as POCL, the Contractor, the Third Party Software Owner (if applicable) and
the NCC shall agree. Such escrow agreement shail be entered into within thirty
(30) days of 15 May, 1996.
The Contractor hereby grants to POCL a perpetual, royalty-free, irrevocable (subject
to Clause 506.12) and non-exclusive licence to Use, reproduce, modify, adapt and
enhance (and to authorise a third party to Use, reproduce, modify, adapt and
enhance) the Source Cede version of the Deposited Software. However, the
foregoing licence shall only become effective if POCL becomes entitled to obtain
access to the Source Code version of the Deposited Software pursuant to the source
code escrow agreement referred to in Clause 506.8 and the licence shall be subject
to any restrictions contained herein in respect of the object code version of the
Deposited Software.
Subject to any necessary consents (which the Contractor shall use all reasonable
endeavours to obtain) any licence or sub-licence granted by the Contractor to POCL.
hereunder shall be transferable in accordance with the provisions of Clause 604.4.
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506.11
506.12
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24
Subject to any necessary consents (which the Contractor shall use all reasonable
endeavours to obtain) any rights to Use granted hereunder to POCL are hereby
granted to and are fully exercisable by members of the Post Office Group and End
Users,
The Contractor may at any time by notice in writing terminate any licence granted
under Clause $06.1, Clause 506.3, Clause 506.4, Clause 506.5, Clause 506.9 or
Clause 903.1.2 if POCL is in Default of its obligations under the relevant Clause in
relation to such licence and POCL shall fail to remedy such Default within thirty
(30) days of written notice to POCL specifying the Default and requiring its remedy,
provided that if the Default in question is caused by an Agent, such licence shall
only be terminated in relation to Use by such Agent. Upon termination of the
relevant licence to POCL, POCL shall cease to use the Software which is the subject
matter of such licence and shall either return or destroy all copies of such Software,
as directed by the Contractor.
Clause 507. Risk in Products
$07.2
507.3
Risk in the Products shall remain with the Contractor unless title in any Products
passes to POCL, in which case risk in such Products shall pass to POCL at the same
time as title passes.
Notwithstanding the provisions of Clause 507.1, each party shall be liable for any
loss of or damage to any Products or part thereof supplied under this Codified
Agreement if such loss or damage is accasioned by the negligence or wilful acts or
omissions of that party.
The Contractor shall with all possible speed make good any loss or damage affecting
the Core System Products and shall notwithstanding such Joss or damage proceed
with and complete the installation of the POCL Service Infrastructure (where
appropriate) and the performance of the POCL Services in accordance with this
Codified Agreement. Subject to Clause 507.2, the Contractor shall pay the costs of
making good such loss or damage.
Clause 508. Damage to Plant, Tackle and Tools
508.1
508.2
508.3
All plant, tackie and tools at the POCL Premises provided by or on behalf of the
Contractor shall stand ar the risk and be in the sole charge of the Contractor.
The Contractor shall be required to remove all such plant, tackle and tools which it
brings to the POCL Premises.
The Contractor shall ensure that all such plant, tackle and tools shall meet minimum
safety standards required by law.
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25
Clause 509. Licences for the Contractor to use Intellectual Property Rights
509.1 POCL hereby grants to the Contractor a non-exclusive licence to use any software
included within the POCL Transferred Assets and the Software in which the
Intellectual Property Rights vest in POCL for the term of this Codified Agreement
solely for the purposes of performing the POCL Services and for no other purposes.
The Contractor shall be entitled to copy such software for operational purposes in
accordance with the foregoing Hcence and in order to make back up copies of such
software. Upon termination of this Codified Agreement or upon the Contractor
ceasing to use such software, the Contractor shall either return or destroy all copies
of such software as directed by POCL.
509.2 Neither the Contractor nor any sub-contractor, nor any other person, shall have a
lien on any Products owned by or leased to POCL for any sum due to the Contractor,
sub-contractor or other person, and the Contractor shall take all reasonable steps to
ensure that the title of POCL and the exclusion of any such lien are brought to the
notice of al! sub-contractors and other persons dealing with such Products,
Clause 510. Databases
POCL shall have the right to use the POCL Services and the POCL Service Infrastructure to
capture, develop and use databases containing information in relation to its customers. Any
assistance provided by the Contractor pursuant to this Clause over and above the
performance of its other obligations hereunder shall be treated as an Additional POCL
Service.
Clause 511, Riposte 32 Software
511.1 The Contractor shall ensure that, within seven (7) days after 24th May, 1996, a
copy of the source code of the Riposte 32 Software is provided to the Contractor’s
European Development and Service Centre.
511.2 The Contractor shall within seven (7) days after such copy of the source code is
provided to the Contractor’s European Development and Support Centre provide co
POCL a certificate signed by the Contractor's Managing Director that this has
occurred, and provide to POCL a copy of the relevant contractual documentation
confirming the Contractor’s right of access to such source code and that the
Contractor has all other rights to such source code necessary for the performance of
its obligations under this Codified Agreement. For the avoidance of doubt, such
supporting documentation shall not include details of the prices paid by the
Contractor to its sub-contractors or licensors.
PART 6 : CONTRACT AND SERVICE MANAGEMENT
Clause 601. Monitoring
POCL shall be entitled to monitor the performance by the Contractor of its obligations under
26
this Codified Agreement in accordance with the procedures set out in Schedule A4.
Clause 602. Management Interfaces and Management Services
602.1
602.2
The parties shail establish the management interfaces set out in Schedule A4. All
contract management of this Codified Agreement shall be performed in accordance
with the provisions of Schedule A4.
In relation to the Automated Payments Service, EPOSS, the POCL Infrastructure
Services, the OBCS and the LFS, the POCL Services shail be managed in accordance
with the provisions of Schedules E5, F5 G7, H5 and K5 respectively. The
Contractor shall provide the Management Services specified in Schedules ES, F5,
G7, H5 and K5. The Contingency Services shall be managed in accordance with the
provisions of Schedules E9, F9, G11, H9 and K9. The Transfer Services shall be
managed in accordance with the provisions of Schedule A7.
Clause 603. Communications
603.1
603.2
603.3
Except as otherwise expressly provided no communication from one party to the
other shall have any validity under this Codified Agreement unless made in writing
by or on behalf of POCL or the Contractor, as the case may be.
Any notice or other communication whatsoever which any party hereto is required
or authorised by this Codified Agreement to give or make to another shall be given
or made either by post in a prepaid letter, or by facsimile transmission confirmed by
post in a prepaid letter, addressed to such other party in the manner referred to in
Clause 603.3 below and if that letter is not returned as being undelivered that
notice or communication shall be deemed for the purposes of this Codified
Agreement to have been given or made after two days, for a letter, or four hours, for
facsimile transmission.
For the purposes of Clause 603.2 above the address of each party shall be:
603.3.1 For POCL:
Post Office Counters Ltd.,
4th Floor,
20-23 Greville Street,
LondonECIN 888.
For the attention of:
Horizon Programme Director
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603.4
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27
603.3.2 For the Contractor:
ICL Pathway Limited
Forest Road,
Feltham,
Middlesex TW13 7EJ.
For the attention of:
Managing Director of ICL Pathway Limited.
Telephon:
Facsimile I
Any party may change its address for service by notice as provided in this Clause
603.
Clause 604. Transfer and Sub-Contracting
604.1
604.2
604.3
604.4
604.5
This Codified Agreement is personal to the Contractor. The Contractor shall not
assign, novate, sub-contract or otherwise dispose of this Codified Agreement or any
part chereof without the previous written consent cf POCL.
POCL hereby consents to the Contractor having subcontracted its obligations
specified in Schedule A& to the respective sub-contractors specified therein.
Additional or substitute sub-contractors may be approved from time to time in
accordance with Clause 604.1 after the date hereof, in which case Schedule A8 shall
be amended accordingly. Notwithstanding any sub-contracting permitted in this
Codified Agreement, the Contractor shall remain primarily responsible for the acts
and omissions of its sub-contractors committed by them in the course of performing
or purporting to perform any of the POCL Services on the Contractor's behalf as
though such acts or omissions were its own,
[Nor used]
POCL shall be entitled to assign, novate or otherwise dispose of its rights and
obligations under this Codified Agreement or any part thereof (including, where
appropriate, requiring the grant by the Contractor or its licensors of a direct licence
of any Software other than Third Party Software, and requiring the Contractor to
use all reasonable endeavours te procure the grant of a direct licence of any Third
Party Software) to any other body which performs any of the functions that
previously had been performed by POCL, provided that any such assignment,
novation or other disposal shall not increase the burden of the Contractor's
obligations pursuant to this Codified Agreement.
POCL shall be entitled to disclose, to the extent necessary for the purposes of this
Codified Agreement, to any transferee any Confidential Information of the
Contractor which relates to the performance of the POCL Services by the Contractor.
In such circumstances POCL shall authorise the transferee to use such Confidential
Information only for purposes relating to the performance of the POCL Services and
for no other purposes and, for the avoidance of doubt, the transferee shall be bound
by the confidentiality undertaking contained herein in relation to such Confidential
Information.
Clause 605. POCL Responsibilities
605.1 Subject to the provisions of Clause 607 POCL undertakes to provide at its own cost
and expense to the Contractor, all information, services, facilities and responses
designated as POCL Responsibilities in Schedules A16, E3, F3, G5, H3 and K3.
POCL shall use all reasonable endeavours to perform such POCL Responsibilities in
a timely fashion in accordance with any agreed timetable specified in Schedule B9
or elsewhere herein.
605.2 Without limitation to Clause 605.1, POCL shall use all reasonable endeavours to
ensure that its Agents co-operate with the Contractor to the extent reasonably
necessary to permit the Contractor to perform the POCL Services. In the event that
any Agent fails to provide such co-operation, and POCL is unable to secure such co-
operation within six (6) months after receiving written notice thereof from the
Contractor, the Contractor shall be relieved of liability for any failure or delay to
perform the POCL Services which is directly caused by the Agent's failure to provide
such co-operation and shall be entitled to any reasonable additional costs and
expenses which the Contractor can show were directly incurred by it as a result of
the Agent's failure to provide such co-operation.
Clause 606, Time
606.1 Timetable
606.1.1 The Contractor shall use its reasonable endeavours to perform the POCL
Services in accordance with the timetable specified in Schedule B9 and
shall achieve Acceptance of the Core System not later than the Final
Deadline for CSR Acceptance. In the event of failure to meet any target
date in such timetable the Contractor shall provide POCL with a method
statement showing how it intends to recover any lost time. For the
avoidance of doubt time shall not be of the essence in relation to any date
unless notice is served in accordance with Clause 606.4,
606.1.2 Before POCL exercises its option for any Optional POCL Service, and before
POCL and the Contractor agree on the supply of any Additional POCL
Service, POCL and the Contractor shall agree a timetable for the
performance of such POCL Services and such timetable shall be
incorporated into this Codified Agreement in accordance with the Change
Control Procedure.
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606.2 Extension of Time
606.24
606.2.2
606.2.3
Subject to Clause 606.2.2 and 606.3 below, if Acceptance or Rollout of the
Core System is changed or delayed from the agreed procedure and/or
timetable:
606.2.1.1 to the extent that such change or delay is caused by the
Default of POCL the Contractor will be entitled to a time
and cost adjustment to compensate for such change or
delay. The Contractor shall notify POCL in writing within
three (3) working days of becoming aware of such
Default; and
606.2.1.2 to the exrent that compensation is not payable by POCL
under paragraph 606.2.1.1 or liquidated damages are not
payable by the Contractor under Schedule LS, such costs
will lie where they fall.
In the event of any such change or delay as is referred co in paragraph
606.2.1 above, for the purpose of determining and resolving to what extent
each party is at fault (if at all) and the time and cost adjustment applicable
the following procedure will apply:-
606.2.2.1 within seven days of a request by either of them, the
Managing Director of POCL (or any equivalent executive)
and the Commercial Director of ICL shall meet to resolve
these issues. In the event that these issues are not
resolved to the satisfaction of both parties in so meeting
then;
606.2.2,.2 within seven days of a request by either of them, the
Chief Executive of the Post Office and the Chief Executive
Officer of ICL shall meet to resolve these issues. In the
event that these issues are not resolved to the satisfaction
of both parties in so meeting then;
606.2.2.3 the Chief Executive of the Post Office and the Chief
Executive Officer of ICL shall together decide how any
remaining dispute should be resolved, whether by
reference to binding expert determination, mediation,
arbitration, or such other means as agreed upon by both
parties.
If the performance of this Codified Agreement by either party be delayed
by reason of any force majeure event (as defined in Clause 606.3), both
parties shall be entitled to a reasonable extension of time subject to there
being no entitlement to any additional costs or expenses incurred as a
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result of the delay. The party so delayed shall notify the other party in
writing within one (1) working day of becoming aware of the force
majeure event.
606.3 Force Majeure
606.31
606.3.2
606.3,3
For the purposes of this Codified Agreement the expression "Force Majeure”
shall mean any cause affecting the performance by a party hereto of ics
obligations arising from acts, events, omissions, happenings or
non-happenings beyond its reasonable control including (but without
limiting the generality thereof) (i) Governmental Regulations (subject to
Clause 606.5), (ii) fire, (ili) flood, or (iv) any disaster or an industrial
dispute affecting a third party. Any act, event, omission, happening or non-
happening will only be considered Force Majeure if it is not attributable to
the wilful act, neglect or failure to take reasonable precautions of the
affected party, irs agents or employees, and only if a substitute third party
is not reasonably available (having regard, without limitation, to the cost
and quality of such substitute) to perform the affected obligation. In no
event shall any fraudulent act or omission by any third party or party in
relation to the POC). Services for which the Contractor is liable under
Clause 809.1 constitute a force majeure event.
Neither parry hereto shall in any circumstances be liable to the other party
hereto for any loss of any kind whatsoever including but not limited to any
damages or abatement of Charges whether directly or indirectly caused to
or incurred by the other party by reason of any failure or delay in the
performance of its obligations under this Codified Agreement which is due
to Force Majeure, Notwithstanding the foregoing, each party shall use all
reasonable endeavours to conrinue to perform, or resume performance of,
such obligations under this Codified Agreement for the duration of such
Force Majeure event. In the case of the Conrractor, the parties shall agree ”
an orderly process for such continuation or resumption of performance
{such consent not to be unreasonably withheld or delayed), and the
Contractor shall comply with such process. The Contractor shall remain
liable to perform the POCL Contingency Services, save where such POCL
Contingency Services are themselves also affected by Force Majeure, in
which case the Contractor shall be required to use all reasonable
endeavours to perform such POCL Contingency Services.
if the Contractor shall become aware of circumstances of Force Majeure
which give rise to or which are likely co give rise to any such failure or
delay on its part it shall forthwith notify POCL within one (1) working day
and shall inform POCL of the pericd which ir is estimated that such failure
or delay shail continue. If POCL shall become aware of circumstances of
Force Majeure which give rise to any such failure or delay on its part, it
shall forthwith notify the Contractor within one (1) working day and shall
606.4
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31
inform the Contractor of the period which it is estimated that such failure
or delay shall continue.
606.3.4 It is expressly agreed that any failure by the Contractor to perform, or any
delay by the Contractor in performing, its obligations under this Codified
Agreement which results from any failure or delay in the performance of its
obligations by any person, firm or company with which the Contractor shall
have entered into any contract, supply arrangement or sub-contract or
otherwise shall be regarded as a failure or delay due to Force Majeure only
in the event that such person firm or company shall itself be prevented
from or delayed in complying with its obligations under such contract,
supply arrangement or sub-contract or otherwise as a result of
circumstances of Force Majeure and there is no substitute person, firm or
company reasonably available (having regard, without limitation, to the
cost and quality of such substitute) to perform the affected obligation.
606.3.5 [Not used}
606.3.6 If any Force Majeure event prevents any party from performing its
obligations hereunder for a period in excess of ninety (90) consecutive
days, POCL may after consulting with the Contractor and taking into
account the Contractor's views, terminate this Codified Agreement in
accordance with Clause 902.1.5.
Time of the Essence
Where POCL after undue delay by the Contractor notifies the Contractor that rime is
of the essence of this Codified Agreement and any of its obligations stated in such
notice shall not have been performed by the Contracror by any reasonable date
stated in the notice, POCL may terminate this Codified Agreement in accordance
with Clause 902,2.3. In relation to the timescales specified herein, POCL may only ~
give norice making time of the essence in relation to the Final Deadline for CSR
Acceptance,
Political Risk
Notwithstanding the provisions of Clause 606.3, a change of, or new, Governmental
Regulation:
606.5.1 shall not entitle POCL to terminate this Codified Agreement under Clause
606,3.6, and any such purported termination shall be treated as a
termination for convenience in accordance with Clause 902.6; and
606.5,2 shall not require the Contractor to perform any additional obligations, or
any reduced or modified obligations resulting in increased cost to the
Contractor, without its agreement in accordance with the Change Control
Procedure.
Clause 607.
607.1
607.2
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Confidentiality
Without prejudice to the application of the Official Secrets Acts 1911 to 1989
(where relevant} to any Confidential Information the Contractor acknowledges that
any Confidential Information (other than its own Confidential Information)
obtained from or relating to POCL, or its servants or agents, is the property of POCL.
Each party agrees to keep confidential, and not to disclose to anyone else,
Confidential Information.
Notwithstanding the above, any party may disclose Confidential Information
607.21
607.2.2
607.2.3
607.2.4
607.2.5
607.2.6
607.2.7
607.2.9
607.2.10
607.211
607.2.12
if and to the extent required by law;
if and to the extent that the other parties have given prior written
consent to the disclosure;
to its professional advisers;
to the extent requested by H.M. Government;
if and to the extent that the Confidential! Information is in the
public domain or falls into the public domain without breach of
any applicable confidentiality obligation (including this clause);
to the Post Office;
to Fujitsu;
to the Contractor's approved sub contractors as listed in Schedule
A8;
potential arrangers of funding for the investment required in
connection with this Codified Agreement;
if and to the extent reasonably necessary to be disclosed for the
purpose of arranging and maintaining funding generally for ICL
ple or the Contractor;
which is in the possession of the receiving party without restriction
in relation to disclosure before the date of receipt from the
disclosing party;
which is received from a third party who lawfully acquired it and
who is under no obligation restricting its disclosure; or
607.3
607.4
607.5
607.6
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33
607.2,13 which is independently developed without access to the
Confidential Information.
The Contractor hereby agrees that (other than as required by law):
607.3.1 the Contractor (and any person employed or engaged by the Contractor in
connection with this Codified Agreement in the course of such employment
or engagement) shall only use Confidential Information of POCL for the
purposes of this Codified Agreement;
607.3.2 the Contractor shall take all necessary precautions to ensure that no
Confidential Information of POCL is used other than for the purposes of
this Codified Agreement by the Contractor's employees, servants, agents or
sub-contractors including, without limitation, obtaining from any such
agent or sub-contractor a signed confidentiality undertaking on
substantially the same terms as are contained in this Clause; and
607.3.3 without prejudice to the generality of the foregoing neither the Contractor
nor any person engaged by the Contractor whether as a servant or a
consultant or otherwise shall use the Confidential Information of POCL for
the solicitation of business from POCL or from any third party by the
Contractor or by such servant or consultant or by any third party.
POCL (other than as required by !aw) shall treat as confidential all Confidential
Information, obtained from the Contractor, including but not limited to the Source
Code of the Specially Written Software (other than Specially Written Software in
which ownership of the Intellectual Property Rights vests in POCL pursuant to
Clause 502),
In the event that Confidential Information is disclosed by any party to its
professional advisers, that party shall procure that its professional advisers comply
with the restrictions contained in this Clause, mutatis mutandis.
Nothing in this Clause 607 shali prevent the Contractor or POCL from using data-
processing techniques, ideas and know-how gained during the performance of this
Codified Agreement in the furtherance of its normal! business, to the extenr that this
does not relate to a disclosure of Confidential Information or an infringement by
POCL or the Contractor of any Inteljectual Property Right.
Clause 608. Health and Safety Hazards
608.1
608.2
The Contractor shall notify POCL of any health and safety hazards in relation to
POCL Premises owned by or leased to POCL which may arise in connection with the
performance of this Codified Agreement.
POCL shall notify the Contractor of any known health and safety hazards which may
exisr or arise at the POCL Premises owned by or leased to POCL and which may
608.3
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34
affect the Contractor. The Contractor shall draw these hazards to the attention of its
employees and sub-contractors or any persons engaged by the Contractor in the
performance of this Codified Agreement at such POCL Premises.
The Contractor shall inform all persons engaged in the performance of this Codified
Agreement at the POCL Premises owned by or leased to POCL of all such hazards
and shall instruct such persons in connection with any necessary associated safety
measures.
Clause 609. Protection of Personal Data
609.1
609.2
The Contractor's attention is hereby drawn to the Data Protection Act 1984.
Both parties warrant that they will duly observe all their obligations under the Data
Protection Act which arise in connection with this Codified Agreement.
Clause 610, Publicity
610.1
610.2
610.3
610.4
No public announcement or public circular (including a media release) relating to
the subject matter of this Codified Agreement will be made unless it has first been
agreed between the parties in writing. This restriction shall not apply to any
announcement intended solely for internal distribution by the party in question or
any disclosure required by any legal, accounting or regulatory requirement.
Each party shall take all reasonable steps to ensure the observance of the provisions
of Clause 610.1 by all its servants, employees, agents, consultants and sub-
contractors.
The Contractor shall have no right to use the brand or logo of any Post Office Group
member without POCLs prior written consent. The Contractor shall have no right to
use the brand or logo of any part of POCL without POCUs prior written consent.
The Contractor shall do nothing to injure such logos and brands or the reputation of
POCL and, if it uses such brands or logos, it shall take all reasonable steps to enable
POCL to protect such logos and brands and the reputation of POCL but in no event
less than the steps it would take in relation to its own logos, brands and reputation.
POCL shall have no right to use the brands or logo of the Contractor or its sub-
contractors without the Contractor’s prior written consent. POCL shall do nothing
to injure such logo and brands or the reputation of the Contractor or its sub-
contractors and, if it uses such brands or logos, it shall take all reasonable steps to
enable the Contractor and its sub-contractors to protect such logo and brands and
the reputation of the Contractor and its sub-contractors, but in no event less than
the steps it would take in relation to its own logos, brands and reputation.
Clause 611. Contractor's Personnel
6111
POCL reserves the right under this Codified Agreement to refuse to admit to any
611.
ce)
611.3
611.4
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premises occupied by or on behalf of any member of the Post Office Group (which
expression shall in this Clause 611 include all persons employed or engaged by the
Post Office Group and all persons other than the Contractor and its sub-contractors
providing services to the Post Office Group), or to any post office any person
employed or engaged by the Contractor, or by a sub-contractor, whose admission
would be, in the reasonable opinion of POCL undesirable.
If and when directed by POCL, the Contractor shall provide a list of the names and
addresses of all persons who it is expected may require admission in connection
with the performance of this Codified Agreement to any premises occupied by or on
behalf any member of the Post Office Group or to any post office, specifying the
capacities in which they are concerned with this Codified Agreement and giving
such other particulars as POCL may reasonably require. The Contractor shall
comply with any reasonable directions issued by the designated representative of
POCL as to which persons may be admitted to such premises and at what times.
If and when directed by POCL, the Contractor shall secure that any person
employed or engaged by the Contractor or by a sub-contractor, who is specified in
the direction or is one of a class of persons who may be so specified, shall sign a
statement that he understands that the Official Secrets Acts 1911 to 1989 apply to
him both during the term of and after the expiry or termination of this Codified
Agreement.
‘The Contractor's representatives, engaged within the boundaries of a Post Office
Group establishment or post office, shall comply with such rules, regulations and
requirements (including those relating to security arrangements) as may be in force
from time to time for the conduct of personnel when at that establishment or post
office and when outside that establishment or post office.
The decision of POCL as to whether any person is to be refused admission to any
premises occupied by or on behalf of the Post Office Group or to a post office shall -
be final and conclusive.
Clause 612. Waiver
No forbearance or delay by any party in enforcing its rights will prejudice or restrict the
rights of that party, subject to the express timescales set out herein, and no waiver of any
such rights or of any breach of any contractual term will be deemed to be a waiver of any
other right or of any later breach.
Clause 613. Access to POCL Premises
613.1
Any land or POCL Premises (including temporary buildings} made available to the
Contractor by POCL in connection with this Codified Agreement shall be made
available to the Contractor on such terms and conditions as may be agreed between
the Contractor and POCL. The Contractor shall have the use of such land or POCL
Premises as licensee and shall vacate the same upon the termination or expiry of
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36
this Codified Agreement or at such earlier date as POCL may reasonably determine.
613.2 POCL shall be responsiblz for maintaining the security of such land or POCL
Premises in accordance with its standard security requirements. The Contractor
shall comply with all reasonable security requirements of POCL while on the POCL
Premises, and shall procure that all of its employees, agents and subcontractors
shall likewise comply with such requirements. POCL shall provide the Contractor
upon request copies of its written security procedures and shall afford the
Contractor upon request with an opportunity to inspect its physical security
arrangements.
Clause 614. Security Requirements
The Contractor shall comply with the security requirements as set out in Schedule A2.
Clause 615. Contractor’s Key Personnel
The parties acknowledge thar the Contractor's key personnel specified in Schedule Al4 are
essential to the fulfilment of its obligations hereunder. The Contractor undertakes to use all
reasonable endeavours to ensure that such key personnel are not removed or replaced
during the term hereof. However, in the event that any of its key personnel becomes
unavailable for any reason (including without limitation death, injury, sickness, promotion or
resignation), the Contractor shall have the right upon giving thirty (30) days’ notice in
writing (or such shorter period of notice as may be reasonably practicable) to POCL to
replace such an individual with another individual whose abilities and qualifications are
appropriate for the services to be performed by such individual.
PART 7 : WARRANTIES AND STANDARDS
Clause 701. Authority and Approval
The Contractor warrants and represents that it has full capacity and authority and all
necessary consents (including but not limited to, where ics procedures so require, the
consent of its Parent Company) to enter into and to perform this Codified Agreement and
that this Codified Agreement is executed by a duly authorised representative of the
Contractor.
Clause 702. Performance of POCL Services
The Contractor warrants and represents that:
702.1 the POCL Services shall be supplied and rendered by appropriately experienced,
qualified and trained personne] with all due skill, care and diligence;
702.2 the Contractor shall discharge its obligations under this Codified Agreement with all
due skill, care and diligence including but not limited to good industry practice and
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(without limiting the generality of this Clause) in accordance with the best of its
own established internal procedures;
702.3. the POCL Services shall be performed in compliance with all applicable laws,
enactments, orders, regulations, and other similar instruments;
702.4 the POCL Services shall be performed in accordance with all applicable service
levels in this Codified Agreement;
702.5 the POCL Services shail be fully integrated within the POCL Service Architecture
and the POCL Service Infrastructure;
702.6 the POCL Services shall be performed in accordance with all applicable provisions of
the Service Architecture Design Document;
702.7. the POCL Services shall be compatible with the POCL Service Environment as at the
date hereof, as set out in Schedule 1;
702.8 the POCL Services shall be performed in such a way as to cause a minimum of
disruption to the business of POCL and the End Users.
Clause 703. Performance of Products
The Contractor warrants and represents that:
703.1
703.2
703.3
703.4
703.5
At the Operational Trial Acceptance Date, the Operational Trial System shall meet
the Operational Trial Criteria and the regulations and standards specified in
Schedule A2;
During the term of this Codified Agreement all components of the POCL Service
Infrastructure shall operate in accordance with their respective specifications, except
that, for the avoidance of doubt, it is agreed that POCL shall have no remedy for
breach of this warranty in relation to errors or interruptions to POCL Services
covered by paragraph 4.1(a) and 4.3 of Schedule A6;
POCL shall acquire title to the Products in which it is to acquire title under Clauses
501, 502 and 503 free from all encumbrances and POCL shali have the right to
quiet possession of such Products supplied hereunder;
the Core System Products will be compatible with the POCL Service Environment as
at the date hereof, as specified in Schedule 1;
all Optional and Additional Products and POCL Consumables shall be compatible
with the POCL Service Infrastructureand the POCL Service Environment.
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38
Clause 704. Intellectual Property Rights
The Contractor warrants and represents that:
704.1 POCL's use and operation of the Products and the POCL Service Archicecture and
the provision of the POCL Services shall not infringe any Intellectual Property Rights
of any third party;
704.2 the Contractor has the full capacity and authority to grant the licences referred to in
Clause 506;
704.2 it can comply with Clauses 903,1.3 and 903.1.4.
Clause 705. Technical Standards
The Contractor warrants and represents that:
705.1 the POCL Services shail comply with, and be provided in accordance with, the
policies and standards specified in Schedule A2 and all components and equipment
used in the course of the provision of the POCL Services shall operate in accordance
with their technical specifications;
705.2 the provision of the POCL Services shall not cause electrical interference beyond the
limits laid down in the relevant standard specified in Schedule A2, provided that for
the purpose of this Clause 705.2 the POCL Services shall be deemed to include the
operation of any testing and monitoring instruments used in connection with the
provision of the POCL Services,
Clause 706. Statements and Representations
The Contractor warrants and represents that all statements and representations made to
POCL in connection with tendering for and entering into the POCL Agreement and the
Authorities Agreement were, to the best of its knowledge, information and belief, true and
accurate at the time of making such statements and representations and that, from the date
of execution hereof, it will advise POCL of any fact, matter or circumstance of which it may
become aware which would render any such statement or representation to be false or
misleading.
Clause 707. Disclaimer of Implied Terms
Except as expressly stated in this Codified Agreement, all terms, warranties and conditions,
whether express or implied by statute, common law or otherwise (including but not limited
to satisfactory quality and fitness for purpose) are hereby excluded to the extent permitted
by law.
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PART 8 : REMEDIES
Clause 801. Audit
801.1 The Contractor shall keep or cause to be kept the Records.
801.2 The Contractor shall grant or procure the granr to POCL, any statutory or regulatory
auditors of POCL and their respective authorised agents the right of reasonable
access to the Records and shall provide all reasonable assistance at all times for six
(6) years after the creation of the relevant Records for the purposes of carrying out
an audit of the Contractor's compliance with this Codified Agreement including all
activities, Charges, performance, security and integrity in connection therewith.
Each party shall bear its own expenses incurred pursuant to this Clause. On
termination, the Contractor shall within a reasonable time to be agreed by the
parties, transfer the Records to POCL or a replacement contractor, as instructed by
POCL, The Contractor shall thereafter be released from any further liabilities under
this Clause in relation to such Records.
801.3 Wirhout prejudice to the foregoing, in the event of an investigation into suspected
fraudulent activity or other impropriety by the Contractor or any third party POCL
reserves for itself, any statutory or regulatory auditors of POCL and their respective
authorised agents the right of immediate access to the Records described in Clause
801.1 and Clause 801.2 above and the Contractor agrees to render all necessary
assistance to the conduct of such investigation at all times during the currency of
this Codified Agreement or at any time thereafter.
801.4 The Contractor shall provide POCL at no additional cost with copies of the annual
and interim audited accounts of the Contractor and its approved subcontractors
within fourteen (14) days of such accounts having been lodged at Companies House
or its local equivalent to Companies House.
801.5 Allinformation obtained by POCL pursuant to this Clause and Schedule A3 shall be
treated as Confidential Information.
801.6 The parties shall comply with the provisions of Schedule A3.
Clause 802. Service Credits and Delay
802.1 It is acknowledged that liquidated damages shall be payable by the Contractor to
POCL under Schedule L5 in the circumstances referred to in paragraph 3.3 of
Schedule All.
802.2 In the event that the POCL Services fail to meet the Service Levels contained in
Schedules E8, F8, G10, H8 or K8, the Contractor shall, without prejudice to any
other rights and remedies of POCL at the option of POCL either (i) as an adjustment
to the Charges, credit POCL with Service Credits calculated in accordance with
Schedules B10, E8, F8, G10, H8 and K8 as appropriate, or (ii) pay POCL liquidated
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damages calculated in accordance with Schedules B10, E8, F8, G10, H8 and K8 as
appropriate. Unless POCL exercises its option to recover liquidated damages as a
payment to it, POCL shall be deemed to have exercised its option to recover Service
Credits as credit to it. Any such reductions shall be applied in accordance with
paragraph 6 of Schedule A10.
802.3 The Contractor shall credit POCL with the Service Credits or pay POCL the
liquidated damages as referred to in Clauses 802.1 or 802.2 within thirty (30) days
of receipt of a valid claim by POCL.
802.4 The parties acknowledge that the liquidated damages and Service Credits specified
in the relevant Schedules referred to in this Clause are a genuine pre-estimate of the
joss likely to be suffered by POCL and that the figures therein are reasonable.
802.5 The liquidated damages and Service Credits specified in this Clause are without
prejudice to any other rights and remedies of POCL, except where they are specified
in Schedule A6é to be POCLs exclusive remedy in damages, in which case such credit
or payment of the relevant liquidated damages or Service Credits shall be in full and
final settlement of the Contractor’s liability in respect of the Default to which they
relate, Except in accordance with Schedule A6, POCL shall have no right of
termination in relation to any such Default as is referred to in clause 802.2 above.
Clause 803. Additional Resources
In the event that the POCL Services are not provided in accordance with all applicable
provisions hereof as a result of the Default of the Contractor, the Contractor shall, at the
request of POCL and without prejudice to POCL's other rights and remedies, arrange all such
additional resources as are reasonably necessary to correct the said failure as early as
practicable thereafter and at no additional charge to POCL.
Clause 804. Recovery of Sums Due
If any sum of money shall be due from the Contractor under this Codified Agreement, the
same may be deducted from any sum then due or which at any time thereafter may become
due to the Contractor under this Codified Agreement. There shall be no other right of set-off
or deduction in respect of sums due to the Contractor under this Codified Agreement.
Clause 805. Intellectual Property Rights Indemnity
805.1 Subject always to POCL's proper observance of its obligations under this Clause, the
Contractor shall indemnify POCL against all claims, demands, actions, costs,
expenses (including but not limited to legal costs and disbursements on a solicitor
and client basis), losses and damages arising from or incurred by reason of any
infringement or alleged infringement (including but not limited to the defence of
such alleged infringement) in the United Kingdom of any Intellectual Property Right
by the use or possession of the Products or POCL Services by or on behalf of POCL
or in connection with the POCL Services.
805.2
805.3
805.4
805.6
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The Contractor shall promptly notify POCL if any claim or demand is made or action
brought against the Contractor to which this Clause applies.
POCL shall promptly notify the Contractor if any claim or demand is made or action
brought against POCL to which Clause 805.1 may apply. The Contractor shall at its
own expense conduct any litigation arising therefrom and all negotiations in
connection therewith and POCL hereby agrees to grant to the Contractor exclusive
control of any such litigation and such negotiations. The Contractor shall consult
with and pay due regard to the interests (including the commercial interests of the
Post Office Group and the public interest) and views of POCL in the conduct of any
defence to any claim or demand hereunder, and shall, where it is reasonable to do
so, comply with such interests and views.
POCL shali at the request of the Contractor afford to the Contractor all reasonable
assistance for the purpose of contesting any claim or demand made or action
brought against POCL to which Clause 805.1 may apply or any claim or demand
made or action brought against the Contractor to which Clause 805.2 may apply.
The Contractor shall reimburse POCL for all costs and expenses (including but not
limited to legal costs and disbursements on a solicitor and client basis) incurred in
so doing,
POCL shall not make any admissions which may be prejudicial to the defence or
settlement of any claim, demand or action for infringement or alleged infringement
of any {Intellectual Property Right to which Clause 805.3 may apply or any claim or
demand made or action brought against the Contractor to which Clause 805.2 may
apply.
if a claim or demand is made or action brought to which Clause 805.1 may apply or
in the reasonable opinion of the Contractor is likely to be made or brought, the
Contractor may at its own expense either:
805.6.1 modify any or all of the Products or the POCL Services without reducing
the performance and functionality of the same, or substitute alternative
products or services of equivalent performance and functionality for any or
all of the Products or the POCL Services, so as to avoid the infringement or
the alleged infringement but without disrupting the performance of the
POCL Services, provided that the terms herein shail apply mutatis mutandis
to such modified or substituted items or services and such modified or
substituted items shall be acceptable to POCL (whether by passing any
form of acceptance testing or otherwise), such acceptance not to be
unreasonably withheld or delayed, and shall reimburse POCL all reasonable
costs directly incurred by them; or
805.6.2 procure a licence to use the Products and POCL Services on terms which
afford to POCL no more extensive rights than those originally applicable
hereunder and which are acceptable to POCL and shall reimburse POCL all
reasonable costs directly incurred by it.
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805.7 The foregoing provisions of this Clause 805 shall not apply insofar as any such claim
or demand or action is in respect of:
805.7.1 any use by or on behalf of POCL of the Products or POCL Services in
combination with any item not supplied or approved (such approval not to
be unreasonably withheld or delayed) by the Contractor where such use of
the Products or POCL Services directly gives rise to the claim, demand or
action; or
805.7.2 any modification carried out by or on behalf of POCL to any item supplied
by the Contractor under this Codified Agreement if such modification is not
authorised by the Contractor in writing; or
805.7.3 any use by POCL of the Products or POCL Services in a manner not
reasonably to be inferred from the specification or requirements of POCL.
805.8 If the Contractor has availed itself of its rights to modify the Products or the POCL
Services or to supply substitute products or services pursuant to Clause 805.6.1 (or
POCL has unreasonably withheld its acceptance of such substitute products or
services) or to procure a licence under Clause 805.6.2 and such exercise of the said
rights has avoided any claim, demand or action for infringement or alleged
infringement, or if POCL has unreasonably withheld its acceptance of any items
modified or substituted by the Contractor in accordance with Clause 805.6, then the
Contractor shal} have no further liability thereafter under this Clause 805 in respect
of the said claim, demand or action.
805.9 Ifa modification or substitution in accordance with Clause 805.6.1 above is not
possible so as to avoid the infringement and the Contractor has been unable to
procure a licence in accordance with Clause 805.6.2, Clause 805.1 shall apply.
805.10 POCL hereby warrants and represents that any instructions given in relation to the -
Contractor's use of any third party item supplied directly or indirectly by POCL shall
not cause the Contractor to infringe any third party's Intellectual Property Rights in
such item. POCL shail, to the extent reasonably possible, assign to the Contractor
any indemnity in its favour in relation to the Intelleccual Property Rights in such
third party items.
805.11 The foregoing states the entire liab’ of the Contractor with regard to the
infringement of any Intellectual Property Right by the use or possession of the
Products by or on behalf of POCL or in connection with the receipt of the POCL
Services.
Clause 806. Remedies Cumulative
Except as otherwise expressly provided in this Codified Agreement, all remedies available to
the Contractor or to POCL for breach of this Codified Agreement are cumulative and may be
exercised concurrently or separately and the exercise of any one remedy shall not be deemed
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an election of such remedy to the exclusion of other remedies.
Clause 807. Dispute Resolution Procedure
Except to the extent that paragraph 6 of Schedule All requires otherwise, in the event of
any disagreement concerning the terms of, or arising under, this Codified Agreement, the
parties shal] negotiate in good faith to reach an amicable resolution of the matter in
question, but in default of resolution within a reasonable period either party may apply to
the Courts of England & Wales for the matter to be resolved in accordance with English law.
Clause 808. Injury to Persons; Loss of Property
808.1
808.2
Subject always to POCLs proper observance of its obligations under this Clause, the
Contractor shall fully indemnify POCL in respect of any personal injury or loss of or
damage to Property incurred by POCL or its respective employees and authorised
agents to the exrent that such personal injury or loss of Property is caused by any
Default of the Contractor, its employees or agents in connection with the
performance or purported performance of this Codified Agreement.
In the event of any claim or demand being made or action brought to which Clause
808.3 applies, the Contractor shall be promptly notified thereof and the Contractor
shall at its own expense conduct all negotiations for settlement of the same and any
legal proceedings that may arise therefrom, The Contractor shall consult with and
pay due regard to the interests (including the commercial interests of the Post Office
Group and the public interest) and views of POCL in the conduct of any defence to
any claim or demand hereunder, and shall, where it is reasonable to do so, comply
with such interests and views. POCL, its employees and agents, shall at the request
of the Contractor afford all reasonable assistance for the purpose of contesting any
such claim or demand or action and shail be repaid any reasonable expense
incurred in so doing and shall not make any admissions which may be prejudicial to
the defence of such claim or demand or action,
Clause 809. Liability
809.1
The Contractor shall be liable for all losses and shall indemnify POCL against all
costs, expenses, losses and damages incurred (including any legal costs) as a result
of:
(a) any unauthorised third party access to the POCL Service Architecture;
(b) any “hacking” into the systems used by the Contractor to provide the POCL
Services (whether or not constituting an offence under the Computer
Misuse Act 1990); or
{co} any other form of fraud (in relation to any of the POCL Services),
809.2
809.3
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Clause 809.1 shall not apply if and to the extent that any of the matters referred to
therein have been caused by POCI’s non-performance of any obligation under this
Codified Agreement upon the performance of which the Contractor's obligations
under this Codified Agreement in respect of risk for fraud are expressed to depend.
The foregoing is in place of the general rule stated in Clause 101.3.
In any case where POCL incurs any costs, expenses, losses or damages as referred to
in Clause 809.1, Clause 809.1 shall be presumed to apply unless the Contractor
proves that Clause 809.2 applies.
Clause 810. Limitation of Liability
810.1
Neither party hereto excludes or limits its liability to any other party for death or
personal injury or any breach of any obligations implied by Section 12 of the Sale of
Goods Act 1979 or Section 2 of the Supply of Goods and Services Act 1982.
Subject always to Clause 810.1, the liability of each party for Defaults shall be
subject to the financial limits set out in this Clause 810.2.
810.2.1 The aggregate liability for all Defaults resulting in direct loss of or damage
to the Property of any other party under this Codified Agreement shall in
no event exceed:
810.2.1.1 nine million pounds (£9,000,000), in the case of POCL;
and
810.2.1.2 ten million pounds (£10,000,000) per Year in relation to
such Defaults arising during that Year, in the case of the
Contractor.
810.2.2 The aggregate liability per Year under this Codified Agreement of POCL for -
all Defaults (other than a Default governed by Clause 810.2.1) arising
during that Year shall in no event exceed four million five hundred
thousand pounds (£4,500,000).
810.2.3 The aggregate liability under this Codified Agreement of the Contractor for
all Defaults (other than a Default governed by Clause 810.2.1) shall in no
event exceed two hundred million pounds (£200,000,000),
810.2.4 Subject to Clause 810.2.5, the financial limits specified in Clause 810.2
apply to all claims for monetary relief which either party may have against
the other either under this Codified Agreement or otherwise in relation to
the subject matter of this Codified Agreement, including all claims for
liquidated damages and Service Credits pursuant Clause 802, al} claims to
be indemnified pursuant to Clauses 805 or 808 and all other claims or costs
which are compensatable in money or money's worth,
810.3
810.4
810.5
810.6
810.7
810.8
810.9
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9810.2.5 The financial limits applicable to POCL under Clause 810.2 shall be
exclusive of and additional to any liability of POCL to pay any Charges
(including any adjustment pursuant to Clause 606.2.1.1), the Transfer
Payment or any Termination Charges which may become properly due and
payable to the Contractor in accordance with the provisions hereof or any
sum by way of interest thereon that a court may award.
Subject always to Clause 810.1, in no event shall any party be liable to any other
party for indirect or consequential loss or damage. For the avoidance of doubt, this
Clause shall not be deemed or construed to affect the Contractor’s liability under
Clause 809.
The provisions of Clause 810.3 shall not be taken as limiting the right of POCL to
elaim from the Contractor for:
810.4.1 additional operational and administrative costs and expenses; and/or
810.4.2 expenditure or charges rendered unnecessary as a result of any Default by
the Contractor.
The parties expressly agree that should any limitation or provision contained in this
Clause be held to be invalid under any applicable statute or rule of law it shall to
that extent be deemed omitted but if any party thereby becomes liable for loss or
damage which would otherwise have been excluded such liability shall be subject to
the other limitations and provisions set out herein.
For the avoidance of doubt, it is acknowledged that nothing in this Codified
Agreement shall be deemed or construed to relieve either party of its common law
duty to the other party against which a claim may be made to mitigate any loss
which is the subject of such claim. In applying the Contractor’s common law and
contractual obligations to mitigate (whether for the purpose of calculating the
Termination Payment or otherwise) no regard shall be paid to the manner in which
the Roll Out Payment is stated to be apportioned in the definition of the term “Roll
Out Payment”.
POCL and the Contractor shall use all reasonable endeavours to resolve outstanding
agreements to agree by 20th December, 1999.
The Contractor shall not be liable for any failure or delay in performing any of its
obligations under this Codified Agreement where such failure or delay is the direct
consequence of a failure by POCL and the Contractor to resolve any outstanding
agreements to agree for so long as such failure to resolve continues.
For the avoidance of doubt, the parties agree that POCL shall not be liable to
indemnify or otherwise compensate the Contractor for any additional costs,
expenses, losses or damages incurred directly or indirectly as a result of the failure
by the Contractor and POCL to resolve any outstanding agreements to agree,
810.10
810.11
810.12
810.13
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The parties acknowledge that:-
810.10.1 those CCNs listed in Part 1 of Schedule Al7 have been agreed,
shall be deemed to have been raised in relation to this Codified
Agreement and shall be incorporated in this Codified Agreement
as soon as reasonably practicable following its execution;
810.10.2 all CCN’s agreed after 9 July, 1999 shall be deemed to be listed in
Part 1 of Schedule A17;
810.10.3 those CCNs and Change Requests Hsted in Part 2 of Schedule A17
have not yet been agreed but shal] be deemed to have been raised
in relation to the corresponding provisions of this Codified
Agreement and shall, if and to the extent agreed, be incorporated
into this Codified Agreement in due course;
810.10.4 all CCN’s and Change Requests formally submitted after 1 July,
1999 shall be deemed to be listed in Part 2 of Schedule Ai7; and
810.10.5 those CCNs and Change Requests formally submitted on or prior
to 1 July, 1999 and not listed in Schedule Al7 are not relevant to
this Codified Agreement and shall forthwith cease to have effect.
The parties shall identify and prioritise any outstanding CCN’s and/or approve new
CCNs, all as required to cover outstanding agreements to agree and other matters,
in each case relevant to the Core System Release.
The parties shall use all reasonable endeavours to achieve approval of those CCNs
referred to in Clause 810.10.3 above which are relevant to the Core System Release
8 as not to delay CSR Acceptance.
Notwithstanding any provision in this Codified Agreement, if, in connection with
the performance by POCL of its responsibilities in relation to in-office data
migration as referred to in the Migration Specification, there shall be a breach of the
integrity of, or the introduction of any viruses into, any system or disk through use
by POCL of a laptop computer supplied by the Contractor for use in in-office data
migration then the consequences of such breach or introduction of viruses shall be
as follows:-
8210.13.12 POCL shall not be liable to the Contractor therefor and such
breach or introduction of viruses shall not be a Default for the
purposes of this Codified Agreement;
810,13.2 the Contractor shall accordingly not be entitled to any time or cost
adjustment pursuant to Clause 606.2.1.1; and
810,13.3 the Contractor shall not be liable for liquidated damages and this
Codified Agreement shall not be liable to termination, in each case
as a result of any delay or reduction in Service Levels, caused by
such breach or introduction of viruses, which could not reasonably
be avoided or mitigated by the Contractor.
PART 9 : TERM AND TERMINATION
Clause 901.
Term
The term of this Codified Agreement shall, unless terminated earlier in accordance with the
provisions of Clause 902, be for a period commencing on the date hereof and ending on 31st
March, 2005.
Clause 902.
902.1
Termination of Codified Agreement
POCL may at any time by notice in writing terminate this Codified Agreement with
effect from the date of service of such notice or such later date as may be specified
therein if:
9021.1
902.1.2
902.1.3
there is a change of control, as defined by Section 416 of the Income and
Corporation Taxes Act 1988, in the Contractor or the Guarantor; or
the Contractor or the Guarantor, being an individual, or where the
Contractor or the Guarantor is a firm, any partner or partners in that firm
who together are able to exercise direct or indirect control, as defined by
Section 416 of the Income and Corporation Taxes Act 1988, shall at any
time become bankrupt or shall have a receiving order or administration
order made against him or shall make any composition or arrangement
with or for the benefit of his creditors, or shall make any conveyance or
assignment for the benefit of his creditors, or shall purport to do so, or
appears unable to pay or to have no reasonable prospect of being able to
pay a debt within the meaning of Section 268 of the Insolvency Act 1986 or
he shall become apparently insolvent within the meaning of the Bankruptcy
{(Seotland) Act 1985 as amended by the Bankruptcy (Scotland) Act 1993 or
any application shall be made under any bankruptcy or insolvency act for
the time being in force for sequestration of his estate, or a trust deed shall
be granted by him for behoof of his creditors; or any similar event occurs
under the law of any other jurisdiction; or
the Contractor, being a company, passes a resolution, or the Court makes
an order that the Contractor or the Guarantor be wound up otherwise than
for the purpose of a bona fide reconstruction or amalgamation, or a
receiver, manager or administrator on behalf of a creditor is appointed in
respect of the business or any part thereof (which for the avoidance of
doubt shail not include any subsidiary company of the Contractor or of the
Guarantor) of the Contractor or the Guarantor, or circumstances arise
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902.2
902.3
902.4
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4B
which entitle the Court or a creditor to appoint a receiver, manager or
administrator or which entitle the Court otherwise than for the purpose of
a bona fide reconstruction or amalgamation to make a winding-up order, or
the Contractor or the Guarantor is unable to pay its debts within the
meaning of Section 123 of the Insolvency Act 1986 or any similar event
occurs under the law of any other jurisdiction; or
902.1.4 any provision hereof other than Clause 902 expressly entitles POCL to
terminate this Codified Agreement; or
902.1.5 the circumstances in Clause 606.3.6 arise and either the obligation in
question is not capable of being performed again, or, if it is so capable, is
not so performed again within thirty (30) days of written notice to the
Contractor specifying the obligation in question and requiring it to be
performed or within such other period as may be requested by the
Contractor and agreed by POCL, such agreement not to be unreasonably
withheld or delayed; or
POCL may at any time by notice in writing terminate this Codified Agreement with
effect from the date of service of such notice or such later date as may be specified
therein, if che Contractor is in Default of any obligation under this Codified
Agreement and:
902.2.1 the Default is capable of remedy and the Contractor shall have failed to
remedy the Default within thirty (30) days of written notice to the
Contractor specifying the Default and requiring its remedy or within such
other period as may be requested by the Contractor and agreed by POCL,
such agreement not to be unreasonably withheld or delayed;
902.2.2 the Default is not capable of remedy (and for the purposes of this Clause,
failure to comply with a timescale shall not of itself be considered a Default
not capable of remedy except pursuant to Clause 606.4); or
902.2.3 notice has been served pursuant to Clause 606.4 making time of the
essence and all or any of the obligations specified in the notice have not
been performed by the time limit stated in the notice.
POCL may terminate this Codified Agreement in the circumstances referred to in
paragraph 3 of Schedule All.
In the event of any termination of this Codified Agreement pursuant to
Clause 902.1, Clause 902.2 or 902.3 POCL shall return the POCL Service
Infrastructure or any part thereof (other than any part in relation to which it has
exercised the option to acquire under Clause 903), in which case the Contractor
shall at no additional cost to POCL, remove such parts of the POCL Service
Infrastructure and shall make good any damage to the POCL Premises occasioned
by such removal.
902.5
902.7
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POCL shall only be permitted to exercise irs rights pursuant to Clause 902.1.1 for
three (3) months after each such change of control and shall not be permitted to
exercise such rights where POCL has agreed in advance in writing to the particular
change of control and such change of control takes place as proposed. The
Contractor shall notify POCL in advance of any change of control taking place, if
legally possible, or if not so possible as soon as reasonably practicable, and in any
event no later than one (1) month after such change of control taking place.
902.6.1 POCL may terminate this Codified Agreement by giving the Contractor not
less than twelve (12) months’ notice.
902.6.2 [Not used].
902.6.3 In the event of such notice being given, POCL shall on termination hereof
pay to the Contractor the Termination Charge (calculated in accordance
with Schedule A7},
902.6.4 [Not used].
902.6.5 [Not used].
Termination shall not prejudice or affect any right of action or remedy which shall
have accrued or shall thereafter accrue to either party.
The provisions of Clauses 101, 102, 104, 506, 607, 609, 610, 801, 804, 805, 810,
(other than 810.7 and 810.16) 902, 903 and 904 and the provisions of Schedules
Ai, A3, A? and A12, shall survive the termination of this Codified Agreement by
POCL or the expiry of this Codified Agreement.
Clause 903. Rights on Expiry or Termination of Codified Agreement
903.1
In the event of termination or expiry of this Codified Agreement, POCL shall,
without prejudice to POCLs other rights and remedies but subject to payment of all
sums due and payable to the Contractor up to the date of termination, have the
option, exercisable at any time within one month after notice of termination, to
acquire from the Contractor or to require the Contractor to permit a replacement
contractor to acquire from it, in consideration of the Transfer Payment, the Project
Assets, which shall comprise:-
903.1.1 any or all of the hardware comprised within the POCL Service
Infrastructure and/or used in connection with the performance of the POCL
Services (other than where such hardware is not owned by the Contractor
or any of its subsidiary companies);
903.1.2 a non-exclusive licence to use for the continuation of services equivalent to
903.2
903.1.3
903.14
903.1.5
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50
the POCL Services any necessary Intellectual Property Rights which are
owned by the Contractor and used in connection with the performance of
this Codified Agreement. Such licence shall:
903.1.2.1 not be subject to payment other than pursuant to Clause
903.1.6;
903.1.2.2 be perpetual and irrevocable (subject to Clause 506.12);
and
903,1.2.3 permit use by members of the Post Office Group and End
Users.
the right co require that the Contractor shall assign or novate, or (if
assignment or novation is not possible) arrange for the benefit thereof to
be transferred, in favour of POCL or to any person as may be designated
for the purpose by POCL any sub-contracts, equipment rental] or lease
agreements and all other (non-employment) agreements entered into by
the Contractor which are necessary to the performance of the POCL
Services as POCL may designate;
a copy of all the Software and all other software, data, tools, utilities,
documentation and any other item necessary to provide the POCL Services.
Such software (other than any in respect of which POCL has exercised its
option under Clause 903.1.2} shall be subject to any applicable licence
terms, provided that such terms shall not detract from POCEs ora
replacement contractor's ability to provide services equivalent to the POCL
Services,
Notwithstanding the generality of Clauses 903.1.1 to Clause 903.1.4 POCL
agrees only to exercise its rights under such Clauses to the extent that the
relevant Project Assets apply to, and are required for the operation of, the
Core System Services.
In the event that POCL exercises any of the options in Clause 903.1, POCL
shall pay to the Contractor on completion of such option a sum equal to the
Transfer Payment.
In the event thar this Codified Agreement is terminated as provided for herein:
903.2.1
903.2.2
(Not used]
the Contractor shall return to POCL all Post Office Group Property in its
possession;
903.2.3 the Contractor shall render all practicable assistance to POCL, if requested,
to the extent necessary to effect an orderly assumption by POCL ora
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replacement contractor Of the services theretofore performed by the
Contractor under this Codified Agreement and POCL shall reimburse the
Contractor for such assistance at the rates then prevailing for customers of
the Contractor for the same or similar services;
903.2.4 POCL shall be entitled on termination to offer any employee or sub-
contractor (being an individual) of the Contractor who has during the six
(6) months prior to such offer been involved for at least seventy five per
cent (75%) of his contracted working time in performing the Contractor's
obligations under this Codified Agreement employment or an agreement
for services with POCL and the Contractor agrees that if such person
accepts such offer the Contractor shall release such person from any breach
of contract with it (other than in relation to such person’s obligations of
confidentiality and notice of termination} which such acceptance may
otherwise involve; and
903.2.5 {a} as soon as possible following any notice of termination being given
(in the case of an early termination of this Codified Agreement)
and no Jater than three (3) months prior to the expiry of this
Codified Agreement (in the case of the termination of this Codified
Agreement through the effluxion of time) the Contractor shall at
the request of POCL provide to POCL or to a replacement
contractor nominated by POCL details of the terms of employment
of all Contractor personnel who are then employed in the
performance of the POCL Services as reasonably required by POCL
in order to permit compliance with the Transfer of Undertakings
(Protection of Employment) Regulations 1981 by POCLora
replacement contractor;
(b) subject always to POCUs proper observance of their obligations
under Clause 903.2.5(c), the Contractor shall fully indemnify
POCL from and against any and all liabilities which POCL may
incur in connection with or as a result of any claim or demand
whatsoever by any employee or former employee of the Contractor
or of any of the Contractor's sub-contractors or agents in respect of
his employment with the Contractor or such sub-contractor or
agent (or, pursuant to the application of the Transfer of
Undertakings (Protection of Employment }) Regulations 1981, with
POCL or any replacement contractor) and/or its termination save
to the extent such claim or demand both (i) is made by an
employee identified within the relevant employment details
referred to in Clause 903.2.5(a) as transferring pursuant to the
Regulations and (ii) relates to employer’s obligations accruing
after the said transfer of employment which are clearly identified
within the relevant employment details;
3)
52
in the event of any claim or demand being made or action brought
to which Clause 903.2.5(b) applies, the Contractor shall be
promptly notified thereof and the Contractor shall at its own
expense conduct all negotiations for settlement of the same and
any legal proceedings that may arise therefrom. POCL, its sub-
contractors, agents and employees shall at the request of the
Contractor afford all reasonable assistance for the purpose of
contesting any such claim or demand or action and shall be repaid
any reasonable expense incurred in so doing and shall not make
any admissions which may be prejudicial to the defence of any
such claim or demand or action.
903.3 All the assets ro be acquired pursuant to the exercise by POCL of its option under
Clause 903.1 shall be acquired “as is
, but free from encumbrances and the parties
agree that all express and implied warranties and conditions relating to such assets
are excluded to the full extent permitted by law.
Clause 904.
Transfer Services
In the event of termination of this Codified Agreement , the Contractor shall perform the
Transfer Services as set out in Schedule A7.
PART 10 : MISCELLANEOUS
Clause 1001,
Corrupt Gifts and Payments of Commission
1001.1 The Contractor shall neither:
1OOL.1.2
1001.1.2
offer or give or agree to give any person employed by the Post
Office Group (which term shall include all persons employed or
engaged by the Post Office Group and all persons providing
services to the Post Office Group) any gift or consideration of any
kind as an inducement or reward for doing or forbearing to do or
for having done or forborne to do any act in relation to the
obtaining or performance of this Codified Agreement or any other
agreement with the Post Office Group or for showing or forbearing
to show favour or disfavour to any person in relation to this
Codified Agreement; nor
enter into this Codified Agreement if in connection with it
commission has been paid or agreed to be paid to any person
employed by the Post Office Group by the Contractor or on the
Contractor's behalf or to the Contractor's knowledge, unless before
this Codified Agreement is made particulars of any such
commission and of the terms and conditions of any agreement for
the payment thereof have been disclosed in writing to POCL.
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1001.2 In the event of any breach of this Clause 1001 by the Contractor or by anyone
employed by the Contractor or acting on the Contractor's behalf (whether with or
without the knowledge of the Contractor) or the commission of any offence by the
Contractor or by anyone employed by the Contractor or acting on behalf of the
Contractor under the Prevention of Corruption Acts, 1889 to 1916 in relation to this
or any other contract with the Post Office Group, POCL may terminate this Codified
Agreement by notice in writing to the Contractor pursuant to Clause 902.1.4.
Provided always that such termination shall not prejudice or affect any right of
action or remedy which shall have accrued or shall accrue thereafter to POCL and
provided always that POCL may recover from the Contractor the amount or value of
any such gift, consideration or commission.
1001.3. The decision of POCL shall be final and conclusive in any dispute, difference or
question arising in respect of:
10091.3.1 the interpretation of this Clause (except so far as the same may
relate to the amount recoverable from the Contractor under
Clause 1001.2 in respect of any loss resulting from such
termination of Codified Agreement); or
1601.3.2 the right of POCL under this Clause 1001 to terminate the
Codified Agreement; or
1001.3.3 the amount or value of any such gift, consideration or commission.
Clause 1002. Discrimination
1002.1 The Contractor shail not unlawfully discriminate within the meaning and scope of
any law, enactment, order, regulation or other similar instrument relating to
discrimination (whether in relation to race, gender, religion or otherwise) in
employment.
1002.2 The Contractor shall take all reasonable steps to ensure the observance of the
provisions of Clause 1002.1 by all servants, employees, agents and consultants of
the Contractor and all sub-contractors.
Clause 1003. — Export of Products
For the purpose of this Codified Agreement only, POCL confirms that neither the Products
nor their direct product(s) will be exported by POCL unless in accordance with any
appropriate UK Government export licensing controls.
Clause 1004. Guarantee
The Contractor shall procure that ICL Ple shall within thirry (30) days after the date hereof
enter into and maintain a guarantee in the form set out in Schedule A13 and that Fujitsu
Limited shall execute and deliver to POCL a guarantee as required by Clause 1.2 of the Deed
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of Guarantee and Indemnity dated 24th May, 1999 between Fujitsu Limited and POCL.
Breach of this Clause shall constitute a Default not capable of remedy.
Clause 1005. Insurance
The Contractor shall to the extent reasonably possible insure or make provision for self-
insurance against all losses and damages which are the result of its fault or negligence in
performing the POCL Services, including workman's compensation, public liability, product
liability, property damage and professional indemnity. The Contractor will, if requested in
writing by POCL, produce to POCL a certificate of insurance showing the applicable coverage
currently in force, and will also give POCL prior written notice of (where possible), or
written notice no later than thirty (20) days after, alteration or cancellation of such
insurance.
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a
IN WITNESS W
REOF this Codified Agreement has been executed on behalf of the parties
as follows:- .
Signed by
for and on behalf of
POST OFF “OUNTERS LTD
in the prese of:-
GRO
and on behalf of
ICL PATHWAY LIMITED
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SCHEDULE 1- POCL SERVICE ENVIRONMENT
2.2
.2.
2.
INTRODUCTION
this Schedule provides an overview of the POCL Service Environment,
including POCL’s computer, telecommunication and business operating
systems and services relevant to the Codified Agreement.
OVERVIEW OF POST OFFICE COUNTERS LTD
Legislative Framework
POCL is a limited company whose shares are wholly owned by the Post
Office. POCL is prohibited from doing anything the Post Office is not
allowed to do (subject to exceptions sanctioned by the Secretary of
State for Trade and Industry). Further, the Post Office Act 1969 {as
amended) requires the Post Office Board to enforce this. The range of
activities and degrees of commercial freedom open to POCL are subject
to amendment by Parliament. POCL’s business environment is governed
by the Post Office Act 1969{as amended) and the British
Telecommunications Act 1981.
Main Areas Of Business
POCL provides services to a diverse range of Customers on behalf of a
wide range of Clients. Services provided by POCL include:
¢ benefit payments services
* postal and communications services
e licensing services
* financial services
® bill payment services
¢ retail services.
its business through a national network of Outlets
ces {owned and staffed by POCL) and
POCL conducts
g directly operated of
agency offices which are run by individuals or organisations as
compris.
Agents.
In May 1996, (when the Related Agreements were executed) POCL had
over 14,000 employees and over 57,000 agents and assistants based in
post offices, 7 regional offices, Central Services Group, business
centres, and Head Office.
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2.2.4 POCL’s retail network is supported by a network of physical
distribution centres. In addition to distributing cash and stock to
the Outlets and receiving returns, the distribution centres also
perform certain transactions on behalf of POCL Clients, for example
accepting Girobank business deposits.
5 POCL continues to develop both replacement and new products and
ser
Clients and Agents.
es, in response to the changing requirements of Customers,
{NOT USED}
BILL PAYMENT
ES
Bill payment services which POCL provides on behalf of POCL
Clients and which shall be supported by the POCL Services and
the POCL Service Infrastructure, interface to a range of Client
Systems, POCL Staff and Agents.
COMPUTER SYSTEMS AND SERVICES
At the time of execution hereof POCL operated a range of automated
equipment and services to support its business, including:
* Automated Payments Terminal (APT);
* Automated Payment Peripheral Unit (APPU)
* ECCO+;
* Counters Retail Information System in PostShops (CRISP);
¢ CAPTURE;
* ALPS/ESNS;
* Host Polling System;
* Document Processing Centres
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The above equipment and services will be incorporated in or replaced
by POCL Services and the POCL Service Infrastructure developed and
provided under this Agreement, except for CRISP {or a replacement
system) and some document processing, which are expected to continue
to form part of the POCL Service Environment.
The following systems (under development at the time of execution
hereof) also form part of the POCL Service Environment:
® Transaction Information Processing {TIP} - to support POCL
vequirements for transaction information for management and
reconciliation purposes
* Reference Data System - providing Reference Data in support of the
POCL Services.
* Advanced Distribution System (SAP/ADS) - providing cash and stock
management services for Outlets and distribution centres.
ms at the boundary of the CONTRACTOR and POCL
domains are set out in Contract Controlled Documents listed in
Schedule B08.
Interface specifica
cA991730 083
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SCHEDULE AO] - INTERPRETATION
DEFINITION OF TERMS
As used in this Codified Agreement, the following terms have the following meanings.
Acceptance:
Acceptance of a POCL Service or Release in accordance with the relevant Acceptance
Procedure.
Acceptance Criteria:
The criteria for Acceptance of POCL Services or Releases as agreed in writing by POCL
and the Contractor. This includes the Operational Trial Criteria.
Acceptance Incident:
Any unusual or undesirable occurrence, or request for advice and guidance, which has
been reported in writing by POCL to the Contractor for analysis in respect of an
Acceptance Test.
Acceptance Period:
The period identified in the appropriate Acceptance Specification as the allowable time
for an Acceptance Test. This includes the Operational Trial Period.
Acceptance Procedure:
Any procedure agreed for Acceptance of a POCL Service or a Release.
Acceptance Specification:
A document describing the details of an Acceptance Test.
Acceptance Test:
A process, defined in any Acceptance Procedure, for determining whether a Service
meets the relevant Acceptance Criteria, and which may include Acceptance Trials,
Acceptance Reviews, or both of these.
Additional POCL Service:
Any POCL Service to be supplied pursuant to Clause 204 of this Codified Agreement.
Additional Product:
Any Product to be supplied pursuant to Clause 207 of this Codified Agreement.
Advertisement:
The advertisement placed by POCL and the DSS in the Official Journal of the European
Communities on 30 August 1994 for the supply of (inter alia) the POCL Service
Infrastructure and the POCL Services.
Agent:
Any person authorised to operate a franchise post office or sub-post office, including
without limitation sub-post masters Gn a non-franchise contract, and franchisees of
post offices or sub post offices.
ALPS:
An existing POCL order book control system.
AP:
Automated payment, effected by the Automated Payment Service.
APACS:
‘The Association for Payment and Clearing Services.
AP Client Specification:
A document describing an APS Client Service Type.
Application:
A Service delivered through and dependent upon the medium of the POCL Service
Infrastructure.
approve:
To approve in writing, and related terms shall be construed accordingly.
APPU:
Automated payments peripherals unit.
APS:
Automated Payment Service (q.v.).
APS Client Service Type:
Each APS Client Service Type is a particular variant of APS characterised by a specific
Token, specific processing rules and specific Client communication protocols, Each APS
Cliens Service Type is documented in an AP Client Specification,
APS Generic Rules:
A document describing generic rules for APS
APT:
The Automated Payment Terminal.
Associated Fee:
A fee charged by POCL to Customers on its own or a Client’s behalf for a service or
goods, that is collected when the service is performed or the goods are supplied.
ATM:
Automated teller machine.
Attachable Computer System:
A computer system (provided either by the Contractor under this Codified Agreement,
or by any other party authorised by POCL and agreed with the Contractor) authorised
by POCL for connection to the POGL Service Infrastructure.
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Authorised Official:
A person authorised by POCL to sanction alterations or modifications to POCL
Premises.
Authorised Person:
A person authorised to collect a benefit payment.
Authorising Officer:
A representative of POCL who has authority to raise orders, authorise invoices, and
may make decisions on specified areas on behalf of POCL.
Authorities’ Agreement:
The agreement dated 15th May, 1996 between DSS, POCL and the Contractor, referred
to in Recital (b) to this Codified Agreement.
Automated Payment Service:
The automated payment service supplied by the Contractor pursuant to Clause 405.1
of this Codified Agreement.
Balance:
The process of reconciling the cash and Stock on hand at the start and end of a period
Gwhich may be a POCL Outlet Accounting Period) with sales and receipts during the
period.
Balancing Period:
The time between final Balances of a Stock Unit.
Beneficiary:
A person entitled to receive one or more benefits.
Board:
Any of the bodies referred to in paragraph 2.1.2 of Schedule A04.
Cash Account:
The method by which the Transactions performed and the cash and Stock on hand at
the end of a POCL Outlet Accounting Period are declared to POCL main accounting
offices.
Cash-Back:
An EFTPOS arrangement which allows a Customer to draw cash as part of a normal
Transaction.
Cash Centre:
A centre that manages and distributes value items for the POCL network.
Cash Flow Reporting:
Reporting by an Outlet to a counters remittance unit at the end of the POCL Outlet
Accounting Period. Each such report consists of a summary over the POCL Outlet
Accounting Period of the daily declarations made at close of business of its cash in
hand, cash Remittances sent and cash Remittances received, by denomination, during
that day.
CCB:
Change Control Board (q.v.).
ccD:
Contract Controlled Document {(q.v.)
CON:
Change Control Note (q.v.).
Change Control Board:
The body referred to as such in the Management Table in the Annex to Schedule AO4.
Change Control Note:
A document used in the Change Control Procedure and defined in Schedule AOS,
Change Control Procedure:
The procedure for change specified in Schedule AOS.
Change Request
A request to make a change for the purpose of paragraph 3 of Schedule AOS.
Charges:
The charges payable by POCL under this Codified Agreement, including Schedule Al2.
Client:
An organi:
tion on behalf of which POCL provides a service to Customers at Outlets.
Client Service Type:
A variant of a standard service with detailed aspects of that service customised to meet
a specific Client's needs.
Commercial Director of ICL:
The Director, Commercial and Legal Affairs of ICL or his successor from time to time.
commit:
In relation to a Transaction, to execute a Transaction Committal for that Transaction.
Related terms shal! be construed accordingly.
Composite Product:
A method of handling cash or Value Stock in which a number of POCL Product lines
are combined for handling.
Confidential Information:
All information designated as such by either party hereto in writing together with the
existence and terms of this Codified Agreement, the negotiations relating thereto and
all other information (whether in writing or not) which relates to the business, affairs,
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Products, developments, trade secrets, know-how, personnel, customers and suppliers
of either party or information which may reasonably be regarded as the confidential
information of the disclosing party.
Contingency Services:
The contingency services specified in Schedules E9, F9, G11, H9 and K9 of this
Codified Agreement, to be performed pursuant to Clause 410 of this Codified
Agreement.
Contract Administration Board:
The body referred to as such in the Management Table in the Annex to Schedule AQ4.
Contract Controlled Document:
A document which is referred to in this Codified Agreement and which the parties have
Contract Referenced Document:
A document which is referred to in this Codified Agreement and which the parties have
agreed may be amended other than through the Change Control Procedure.
Contract Steering Group:
The body referred to as such in the Management Table in the Annex to Schedule A04.
Contracted Transaction Time:
The time set out in this Codified Agreement against which a Transaction is measured
for determining performance against Service Levels.
Contractor Consumables:
The consumables which are required for the performance of the POCL Services by the
Contractor, other than consumables so used on the POCL Premises.
Contractor’s Representative:
The person so notified to POCL by the Contractor.
Contractor's Software:
The software identified as such in Schedule BO1.
Core System:
Such of the Core System Services as are to be provided during the currency of the
Core System Release in accordance with Clauses 201.3 and 201.6.
Core System Plus:
Such of the Core System Services as are to be provided during the currency of CSR+
in accordance with Clauses 201.3 and 201.6.
Core System Products:
The Products to be supplied pursuant to Clause 205 of this Codified Agreement.
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Core System Release:
‘The Release defined in the CCD entitled “ICL Pathway Core System Release Contents
Description”.
Core System Services:
The POCL Services to be supplied pursuant to Clause 201 of this Codified Agreement.
Counter Clerk:
Any person who serves Customers at a Counter Position in a post office.
Counter Equipment:
The PC's, printers, screens, local area network and other equipment installed by the
Contractor in post offices for the provision of the POCL Services.
Counter Position:
A serving position in a post office, where a Customer transacts business with a Counter
Clerk.
CRD:
Contract Referenced Document {q.v.)
CSR:
Core System Release (q.v.)
CSR Acceptance
The meaning ascribed thereto in paragraph 1 of Schedule All.
CSR Acceptance Specifications, CSR Acceptance Tests, CSR Core Observation Period and
CSR Operational Trial Review Period:
The meanings respectively ascribed to them in Schedule All.
CSR+
The Release defined in the CCD entitled “ICL Pathway Core System Release Plus
Contents Description”.
CS Completion Date:
The date by which Roll Out of the Core System shall have been completed to 99 per
cent, of all Outlets scheduled to be installed under Part A of the Roli Out Programme,
as amended from time to time through the Change Control Procedure (excluding those
referred to in paragraph 5.10.1(b) of Schedule A12).
Customer:
A person transacting, or seeking to transact, business with POCL through any of the
Services.
Customer Session:
A set of contiguous Transactions recording business transacted by a single Customer.
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Data File:
A set of electronic data, contained within a single file and held or used within, or
transmitted over, any of the POCL Services provided by the Contractor
Default:
Any breach of the obligations of either party (including but not limited to fundamental
breach or breach of a fundamental term) or any default, act, omission, negligence or
statement of either party, its employees, agents or sub-contractors in connection with
or in relation to the subject matter of this Codified Agreement and in respect of which
such party is liable to the other.
Deliverable:
An item which the Contractor is required to provide under the terms of this Codified
Agreement, including without limitation Products.
Deposited Software:
All software designated as such in Schedule BO1.
Development Services:
The development services to be performed by the Contractor pursuant to Clause 403 of
this Codified Agreement.
Dispute Resolution Procedure:
The procedure set out in Clause 807 of this Codified Agreement.
Distribution Centre:
Sites from which cash, Value Stock and other items (other than data) are distributed to
Outlets.
DNS:
Department for National Savings.
Documentation:
The documents listed in Schedule B03.
DSS:
The Secretary of State for Social Security, acting through and on behalf of the
Department of Social Security and on behalf of the Department of Health and Social
Security for Northern Ireland.
DSS Agreement:
The agreement between DSS and the Contraccor dated 15th May, 1996 as referred to
in Recital (b) to this Codified Agreement.
DVLA:
Driver and Vehicle Licensing Agency.
ECCO+:
A POCL EPOS system installed in some Outlets.
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EFT:
Electronic funds transfer.
EFTPOS:
Electronic Funds Transfer at Point of Sale: a term used to describe the debiting of
Customers’ accounts, usually through EPOS systems, for goods or services they
purchase.
End User:
Any employee of the Post Office Group and any Agent or employee thereof.
EPOS:
Electronic Point of Sale: a term used to describe the systems typically used in retail
shops and stores, at the point of customer service, for recording sales transactions.
EPOSS:
The EPOS Service supplied by the Contractor pursuant to Clause 405.2 of this Codified
Agreement.
Equipment:
Any physical hardware (including but without limitation supply cords, interface cables
and cords, User-installable compenents and peripherals) forming part of the POCL
Service Infrastructure, or supplied under this Codified Agreement as an Optional
Product or an Additional Product.
ESNCS:
The Electronic Stop Notice Computer System of DSS.
Event:
A recorded and auditable instance of business administration activity, such as the
registration of a new User, or the production of a Report.
Failed Acceptance:
The failure to meet the thresholds referred to in paragraph 2.2 of Schedule Ail by the
end of the relevant CSR Core Observation Period or deemed failure under paragraph
3.4 of Schedule All.
Final Deadline for CSR Acceptance:
The date specified as such in Schedule BO9.
Governmental Regulation:
Any United Kingdom primary legisiation and any United Kingdom secondary
legislation,
Guarantor:
Either of ICL ple or Fujitsu Limited.
Hardware:
Any hardware used by the Contractor to provide POCL Services under this Codified
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Agreement including hardware supplied as a Core System Product or as an Optional
Product or Additional Product.
HCI:
Human Computer Interface (q.v.).
Help Desk:
The Horizon System Help Desk, the initial point of call for Users in need of support
relating to the POCL Services.
Helpdesk:
Help Desk (q.¥.).
Horizon System Help Desk:
See Help Desk.
HMG:
Her (or His) Majesty’s Government.
Human Computer Interface:
The presentation of computer systems to the User.
Implementation Services:
The implementation services to be supplied by the Contractor pursuant to Clause 404
of this Codified Agreement.
IMS:
The inventory management system used by POCL.
Incident:
Any perceived abnormal! or undesirable occurrence relating to a POCL Service.
Incident Resolution:
The agreed closure of an Incident which may include the re-establishment of a POCL
Service following an Incident or, where the Incident was found not to be an abnormal
1 ication of the incorrect perception,
or undesirable occurrence,
Incident Resolution Time:
The time elapsed between the logging of an Incident by the Help Desk, and the
Incident Resolution.
Intellectual Property Rights:
Patents, trade marks, service marks, design rights (whether registrable or otherwise),
applications for any of the foregoing, moral rights, copyright, trade or business names
and other similar rights or obligations whether registrable or not in any country
(including but not limited to the United Kingdom).
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Internal Code:
Machine readable software supplied as an integral part of the Hardware and not listed
herein.
IPR:
Intellectual Property Rights (q.v.).
ISDN Agreements:
The agreements to be transferred by POCL to the Contractor pursuant to Clause 401.3
of this Codified Agreement.
it:
Information Technology.
LAN:
Local Area Network,
LFS:
Logistics Feeder Service.
Logistics Feeder Service:
The logistics feeder service supplied by the Contractor pursuant to Clause 405.5 of this
Codified Agreement.
M25 Rollout:
Roll Out of a POCL Service to Outlets ir
currently use ALPS.
the area within the M25 motorway which
Management Services:
The management services to be supplied by the Contractor pursuant to Clause 602 of
this Codified Agreement.
Managing Director of POCL:
The Group Managing Director of the Post Office from time to time responsible for the
businesses currently carried on by POCL (currently Mr. Stuart Sweetman).
Merchant Acquirer:
A company providing facilities to handle EFTPOS on line authorisations and signed
vouchers, linking as necessary with Outlets and banks etc.
Message:
A set of electronic data for transportation from one computer system to another.
Method of Payment:
The form of payment recorded against a Transaction involving a Customer
Migration Specification:
The CCD entitled “Provision of In-Office Migration Services”.
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Minimum Acceptable Threshold:
In respect of a Service Level, the agreed minimum level of Service that the Contractor
must provide as stated in the relevant Service Level Schedule.
MIS:
Management Information Systems.
NAO:
National Audit Office.
National Roll Out:
Roll Out of the Core System to all Outlets scheduled to be installed under the Roll
Out Programme (as amended from time to time through the Change Control
Procedure}.
NCC:
The National Computing Centre Ltd, Manchester.
New Business Board:
The body referred to as such in the Management Table in the Annex to Schedule AO4,
NINO:
A National Insurance Number issued to any natural person.
Non-value Stock:
Stock which has no intrinsic value but for which records are maintained of the levels
on hand.
NR Completion Date:
The date by which Roll Out of the Core System shall have been completed to 99 per
cent. of all Outlets scheduled to be installed under the Roll Gut Programme (as
amended from time to time through the Change Control Procedure). -
OBCS:
Order Book Control Service (q.v.).
OBCS Stop Lists:
A list of order books on which action needs to be taken.
Operational Business Change:
Services as set out in the Operational] Business Change Catalogue.
Operational Business Change Catalogue:
The CCD entitled “Operational Business Change Catalogue” which sets out processes
and prices for operational changes at Outlets.
Operational Services:
The POCL Infrastructure Services, the Automated Payment Service, EPOSS, the
Contingency Services, OBCS, LFS and any other relevant Optional POCL Services.
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Operational Trial:
The operational trial to be performed pursuant to Clause 402 of this Codified
Agreement.
Operational Trial Criteria:
The acceptance criteria for the Operational Trial, as set out in Schedule L3 of this
Codified Agreement.
Operational Trial Period:
The period for performance of the Operational Trial Procedure, ending on the
Operational! Trial Acceptance Date.
Operational Trial Procedure:
The Acceptance Test procedure for the Operational Trial System, as described in
Schedule Al1 of this Codified Agreement.
Operational Trial System:
The trial system to be delivered for testing under the Operational Trial Procedure, as
described in Schedule Li of this Codified Agreement, to enable the functionality and
performance of the POCL Service Infrastructure and the Core System to be tested.
OPS:
The Office Platform Service described in Schedule G1 of this Codified Agreement and
supplied by the Contractor pursuant to Clause 405.3 of this Codified Agreement.
Optional POCL Service:
Any POCL Service to be supplied pursuant to Clause 202 of this Codified Agreement.
Optional Products:
Any Products to be supplied pursuant to Clause 206 of this Codified Agreement.
P
Order Book Control Service:
The order book control service supplied by the Contractor pursuant to Clause 405.4.
Other Authorised Location:
A site, other than an Outlet, where it may be necessary to install and use elements of
the POCL Service Infrastructure, e.g. training sites, county shows, and exhibitions.
Other Stock:
Ali Stock other than Retail Stock, Security Stock and Value Stock, including leaflets,
forms and various general consumables and supplies.
Outlet:
A post office or any other location where POCL (whether directly or by means of
Agents) transacts business with Customers.
Outlet Balance:
The aggregate balance across all the Stock Units in an Outlec.
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Outlet Manager:
‘The person who has the necessary authority within Outlets through whom
arrangements for installation and implementation of the POCL Service Infrastructure
and POCL Services at each Outlet can be made.
Out of Hours Support:
Support provided outside POCL Core Day.
Parent Company:
Any holding company (as defined in Section 736 of the Companies Act 1985),
Parent Outlets:
Larger Outlets which perform the accounting work for Satellice Outlets.
person:
Includes a partnership, a corporation or association (whether incorporated or
unincorporated), as well as a natural person.
PIVOT:
‘The existing POCL MIS system which provides, inter alia, reports of numbers of
ions by Outlet.
transac’
POCL:
Post Office Counters Ltd. or such other subsidiary of the Post Office as may be
nominated from time to time to take over the rights and obligations of Post Office
Counters Ltd. under this Codified Agreement.
POCL Agreement:
The agreement between POCL and the Contractor dated 15th May, 1996 as referred to
in Recital (b} to this Codified Agreement.
POCL Application Services:
The Automated Payment Service and OBCS.
POCL Client Services:
The services to be performed by the Contractor pursuant to Clause 203 of this Codified
Agreement.
POCL Consumables:
The consumables to be supplied pursuant to Clause 208 of this Codified Agreement, as
listed in Schedule B04 of this Codified Agreement.
POCL Data:
Means all data, information, text, drawings, diagrams, images or sounds which are
embodied in any electronic or tangible medium, and which are supplied or in respect
of which access is granted to the Contractor by POCL pursuant this Codified
Agreement, or which the Contractor is required to generate for POCL under this
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Codified Agreement, but excludes the Service Architecture Design Document and
Documentation.
POCL Core Day:
08:00 to 20:00 Monday to Saturday inclusive, excluding bank holidays.
POCL Infrastructure Services:
The POCL Infrastructure Services to be performed by the Contractor pursuant to Clause
405.3 of this Codified Agreement.
POCL Interface:
An interface between a Service or Services and a POCL system or systems.
POCL Outlet Accounting Period:
The shortest normal accounting period applying within an Outlet, normally a week and
nning Thursday through Wednesday, but subject to variation at financial year end
nd to revision. It may be merged by agreement in individual Outlets, e.g. to enable
sub-postmaster holidays.
si
POCL Premises:
All post offices, sub post offices, and other premises of POCL from time to time.
POCL Product:
An item, provided by POCL, for sale from Stock - or characterising a service provided -
in an Outlet.
POCL Reference Data System:
The POCL-run system that maintains the POCL-originated Reference Data for the POCL
Services.
POCL Responsibilities:
The responsibilities of POCL set out in Schedules A16, E3, F3 GS, H3 and K3 of this
Codified Agreement.
POCL's Agent:
Any person(s) or organisation(s) authorised to act on behalf of POCL.
POCI’s Representative:
The person so notified to the Contractor by POCL.
POCL Service Architecture:
The architecture of the Operational Services, the POCL Service Infrastructure and the
POCL Service Environment.
POCL Service Environment:
POCL’s computer, telecommunication and business operating systems and services, as
described in Schedule 1 of this Codified Agreement, that are to be integrated with the
POCL Service Infrastructure and the Operational Services to form the POCL Service
Architecture.
15
POCL Service Infrastructure:
The Hardware and the Software and all other electronic, computer and
telecommunications equipment which form the infrastructure to be utilised by the
Contractor for the provision of the POCL Services, but does not include the POCL
Service Environment.
POCL Services, or Services:
The Core System Services and all other obligations of the Contractor under this
Codified Agreement.
POCL Transferred Assets:
The assets to be transferred by POCL to the Contractor pursuant to Clause 401 of this
Codified Agreement, as listed in Schedule A09 of this Codified Agreement.
Postmaster’s Daily Record (PDR):
Report forms used to summarise Girobank Transactions that are sent to the Client.
There are currently forms for deposits and withdrawals in manual and automated
offices, and a mixed (cash / cheque) deposit version in ECCO+ offices only.
Post Office
The statutory corporation so named and formed under the Post Office Act 1969.
Post Office Group:
The Post Office and its subsidiary companies.
PostShop:
A separate retail unit with:
na post office operated directly by POCL.
PPDs:
Process and Procedures Documentation,
Products:
Any products to be supplied under this Codified Agreement, including, where
appropriate, the Core System Products and any Optional Products and Additional
Products and any POCL Consumabies.
Project Assets:
The assets referred to as such in Clause 903.1,
Project Plan:
The plan for the implementation of the POCL Service Infrastructure and the
Operational Services as set out in Schedule BOO and the Roll Out Programme.
Property:
Tangible property (including without limitation buildings and land) but excluding the
POCL Service Infrastructure and any part thereof before it has been accepted in
accordance with this Codified Agreement.
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16
Proposal:
The Contractor's Proposal, in response to the Statement of Service Requirements. The
Proposal has been superseded by the Schedules to this Codified Agreement.
RAB:
Release Authorisation Board (q.v.).
Rate Shop:
Where a Customer purchases Stock by value rather than by volume, i.e, by a number of
items of Stock purchased for a given sum,
Records:
Full and accurate records relating to the performance of the POCL Services.
Recovery:
The act of re-establishing a Service following a Service Failure.
Reference Data:
A set of parameters and relationships controlling the operation of POCL Services.
Refund:
A repayment of money to a Customer, by means of a Reversal.
Related Agreements:
he Authorities’ Agreement, the DSS Agreement and the POCL Agreement, each as
referred to in Recital (b) of this Codified Agreement,
Release:
A documented collection of software and/or data provided by the Contractor to deliver
a POCL Service or POCL Services.
Release Authorisation Board:
The body referred to as such in the Management Table in the annex to Schedule A04.
Release Contents Description:
A CCD which defines the scope of a Release by reference to the SADD,
Remittance:
A consignment to or from an Outlet of cash, Stock, or other value items to be brought
to ac
ount.
Report:
A physical document; or, information held electronically in such a way that it can be
processed readily to produce a physical document.
Representative:
A representative of POCL or the Contractor as appropriate.
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17
Retail Price Index:
The “all items” index currently appearing at table 18.1 of the Office of National
Statistics publication “Monthly Digest of Statistics” and any subsequent relocation
thereof, or the same index in any other Government publication
ceases to be published.
he aforementioned
Retail Stock:
Items sold in Outlets through POCUs retail accounting scheme.
Reversal:
A Transaction which nullifies a previous Transaction.
Roll Out:
The implementation of the POCL Service Infrastructure and/or a POCL Service in
Outlets.
Roll-Out, Rollout, roll-out or roll out:
Roll Out (q.v.).
Roll Out Payment:
The sum of £548 million to be paid to the Contractor subject to and in accordance with
Part A of Schedule Al2 and consisting of che following elements:
() £280 million in respect of the right to use the Core System and (if and
when approved for release by the Release Authorisation Board) CSR+;
(ii) £120 million in respect of the use of hardware (and software
associated therewith) during the term of this Agreement;
Gii} £80 million in respect of installation, training and modification costs in
respect of the POCL Service Infrastructure and POCL Services; and
(iv) £68 million in respect of operating and maintenance costs incurred
prior to 1 April, 2001.
Roll Out Programme
The programme set out in Annex I to Schedule Al2 (Parts A and B).
RPI:
Retail Price Index (q.v.).
SADD:
Service Architecture Design Document (q.v.).
SAP/ADS:
SAPADS (q.v.).
SAPADS:
SAP Advanced Distribution System.
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18
Satellite Outlet:
An Outlet which handles insufficient Transactions to justify production of a separate
Cash Account.
Security Stock:
Stock products which have no cash account value until sold, any item the loss of which
would result in loss to POCL.
Service Architecture Design Document:
The document showing the POCL Service Architecture developed pursuant to Clause
403.7, as amended from time to time to reflect Optional and Additional Products and
POCL Services supplied and performed under this Codified Agreement.
Service Break:
The duration of a Service Failure.
Service Credit:
Payment, discount or credit given by the Contractor to POCL resulting from delay in
provision of POCL Services, or from POCL Services’ failure to meet the required Service
Levels.
Service Definition Schedules:
Schedules £1, Fl, G1, H1 and K1 of this Codified Agreement.
Service Failure:
An interruption of a POCL Service that has not been approved by POCL.
Service Level:
A quantified and measurable standard, required for a specified POCL Service.
Service Level Agreement:
See Service Level.
Service Level Measurement Period:
The period over which the Contractor shall report service performance against Service
Levels. Each Service Level Measurement Period shall be a period of three months
ending on February, May, August and November in each Year, with the final Service
Level Measurement Period commencing on 1st March, 2005 and ending on 3ist
March, 2005.
Service Level Schedules:
Schedules B10, E08, FO8, G10, HO8 and K08 of this Codified Agreement.
Service Manager:
The person appointed by the Contractor to manage the provision of a POCL Service,
Service Ready-for-use Date:
The date on which a POCL Service, which has achieved Acceptance, is first made
available by the Contractor for use by Users.
19
Service Review Board
The body referred to as such in the Management Table in the Annex to Schedule A04.
Service Review Meeting:
A meeting of the Service Review Board.
Service RFU Date:
Service Ready-for-use Date (q.v.}.
Services:
POCL Services.
Severity Code:
A code assigned to an Incident by the Help Desk, indicating the seriousness of the
Incident’s effect, and used to determine priority for resolution.
SLA:
Service Level Agreement (q.v.).
Smart Key:
A type of Token (as defined in relation to the Automated Payment Service) which uses
on-board integrated circuit technology.
Smart Token:
A type of Token (as defined in relation to the Automated Payment Service) which uses
on-board integrated circuit technology.
SMS:
System Management Service (qv.).
Software:
The Contractor's Software, the Specially Written Software, Internal Code, the Third
Party Software and any other software provided under this Codified Agreement.
Source Code:
Software in eye-readable form and in such form that it can be compiled or interpreted
into equivalent object code together ¥ all technical information and documentation
necessary for the use, reproduction, modification and enhancement of such software.
Specially Written Software:
Any software identified as such in Schedule BO] of this Codified Agreement and
written by or on behalf of the Contractor for POCL and supplied by the Contractor
hereunder pursuant to Clause 204 of this Codified Agreement or as an Cptional
Product or Additional Product.
Stock:
Items held in Outlets and classified as Retail Stock, Security Stock, Value Stock, and
Other Stock,
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20
Stock Item:
A unit of Stock which can be ordered separately.
Stock Unit:
An individual unit of accountability, mandatory within a main (branch) post office and
optional within a sub post office, for which an individual (or a group of individuals) is
accountable. It may contain: (i} Transaction Vouchers for a designated period,
Gi) Value Stock, and/or (iii) cash.
sub-contractor:
A person to whom any obligations of the Contractor expressly specified in this Codified
Agreement are delegated in accordance with the provisions of this Codified Agreement
but shall not (for the avoidance of doubt) include any supplier of products or services
which are not expressly specified as obligations of the Contractor under this Codified
Agreement and related expressions shall be construed accordingly.
subsidiary company:
The meaning ascribed thereto in Section 736 of the Companies Act 1985.
Suspense Account:
In Ourlet terms, the value of Transactions that are accounted for in the unclaimed
payments or uncharged receipts tabies of the Cash Account. These items wil!
subsequently be cleared by posting to an appropriate line of the Cash Account or by
local settlement.
System Management Service:
The System Management Service provided by the Contractor as part of the POCL
Infrastructure Services pursuant to Clause 405.3 of this Codified Agreement.
Team Work:
A method of working in which Users share a Stock Unit or Tills within a Stock Unit,
either at the same time or in sequence, The team then becomes accountable for the
Stock Unit or Till.
termination:
Termination of this Codified Agreement includes its expiry or early termination of in
accordance with the provisions hereof, and related expressions shall be construed
accordingly.
Termination Charge:
The termination charge calculated in accordance with Schedule AQ7 of this Codified
Agreement.
Termination Review Threshold:
For a POCL Service, is the Service Level stated in the relevant Service Level Schedule
below which POCLs operations are seriously compromised, so that POCL shall have the
right to terminate this Codified Agreement.
21
Third Party Software:
Any software identified as such in Schedule BO1 of this Codified Agreement.
Third Party Software Owner:
The ultimate licensor of any Third Party Software.
Till:
A part or whole of a Stock Unit depending upon whether or not that Stock Unit is the
sole charge of one individual or is shared between several.
TIP:
The Transaction Information Processing system developed and operated by POCL.
TMS:
The Transaction Management Service provided by the Contractor as part of the POCL
Infrastructure Services pursuant to Clause 405.3 of this Codified Agreement.
TMS Agent:
Part of the POCL Service Infrastructure that accesses TMS held data.
Token:
A magnetic stripe card, smart card, smart key, or other physical device, bearing
information about a Customer.
Token Technology Specification:
A document specifying the rechnology used by a particular APS Token.
Transaction:
A recorded and auditable instance of business activity, involving service prov:
Stock movement across organisational or service boundaries.
ion or
Transaction Committal:
The point at wh:
a Transaction is irreversibly recorded in the audit trail.
Transaction Identification (Id):
A means of uniquely identifying a Transaction.
Transaction Session:
A set of contiguous Transactions of the same type.
Transaction Voucher:
A document used by POCL as evidence of a Transaction; including as an example, and
without limitation, a telephone bill.
Transfer:
(i) In the context of transfer of post office stock or money, the transfer of Value Stock,
and/or money, either between Stock Units within an Outlet, or between Outlets; and
Gi) in the context of transfer to the Contractor, the transfer to the Contractor pursuant
to Clause 401 of this Codified Agreement.
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22
Transfer Date:
The date specified in Schedule AQ9 of this Codified Agreement.
Transfer Payment:
The sum payable pursuant to Clause 903 of this Codified Agreement, as defined in
paragraph 4.3 of Schedule A7.
Transfer Services:
The services set out in Schedule A7.
The right of POCL in connection with the POCL Services and for no other purposes to
load, execute, store, transmit, display, copy (for the purposes of loading, execution,
storage, transmission or display) or otherwise to utilise the Software for purposes of
processing POCL Data. To the extent permitted by law, such right of Use shall not
include the right to reverse assemble, reverse compile, decode or otherwise translate
the Software.
User:
A person authorised by POCL to use a POCL Service.
Value Stock:
Stock products which have a “stock value” shown on the Cash Account.
VAT Receipt:
A receipt for VAT purposes designed as required by HM Customs and Excise.
Void Transaction:
A Transaction which is cancelled before Transaction Com mitral.
WAN:
Wide Area Network.
Working Day:
For an individual post office means any day on which that office is open for normal
business.
Working Hours:
For an individual post office means the hours during which that office is open for
normal business.
Year:
A period of twelve (12) months commencing on 15 May, 1999 and on each anniversary
of such date thereafter, or in the event of termination hereof, the period from the
immediately preceding such anniversary or (if there has been no such anniversary) the
date of execution hereof to the date of termination hereof,
©A909520.167
SCHEDULE AO2 - POLICIES AND STANDARDS
1d
1.2
24
2.1.1
2.1.2
2.1.3
INTRODUCTION
The policies and standards defined in this Schedule shall apply to all relevant
aspects of the POCL Services unless amended in accordance with Schedule A5.
The Contractor shall not knowingly undertake any activity which would prevent
POCL from, or hinder it in, complying with these policies and standards,
without the prior written consent of POCL.
GENERAL AND HEALTH AND SAFETY STANDARDS
General
Without limitation to the specific areas identified below, which shall not limit
the generality of this paragraph 2.1.1, all POCL Services, and all Equipment,
shall comply to the extent required by law with all relevant legislation,
including all relevant UK Regulations and, from the due date of UK
implementation, EC Directives. The Contractor shall ensure that POCL Services
and Equipment are maintained in compliance with any subsequent legislation
throughout the term of the Codified Agreement, and shall perform any
modifications necessary to ensure such continued compliance, subject to Clause
409 of the Codified Agreement.
The Contractor shall, on request by POCL, establish to POCIs satisfaction the
compliance of POCL Services or Equipment with legislation or specified policies
and standards. In the event that the Contractor and POCL fail to agree that
compliance has been demonstrated satisfactorily, the matter shall be treated in
accordance with Clause 807.
The Contractor shall ensure that, where the installation of Equipment or the
delivery of POCL Services involves the alteration or extension of existing
building services, such work complies with the standards set out in British
Standards and Approved Codes of Practice which are deemed therein to satisfy
the relevant regulations, including without limitation:
(a) the Electricity at Work Regulations, 1989 and Electricity at Work
Regulations (NI) 1991 (S-R. 1991 No. 13) and BS 7671:1992,
Requirements for Electrical Installation;
and
(b) the Environmental Protection Act 1990 and insofar as it relates to
Northern Ireland any corresponding Northern Ireland legislation and the
publication Waste Management: The Duty of Care - A Code of Practice,
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2.1.4
2.1.5
The Contractor shall give due attention to the effects of the Equipment used in
the provision of OPS on the environment during manufacture, installation and
use. This includes: [R540 para 1]
(a) use of CFCs;
(b) energy consumption;
{ce} recyclability of components;
(d) recyclability of consumables;
{e) waste minimisation;
() use of sustainable resources;
(g) disposal of displaced equipment and waste;
(h) making appropriate use of recycled materials.
The Contractor shall adhere to relevant environmental legislation, such as the
Environmental Protection Act 1990 and insofar as it relates to Northern Ireland
any corresponding Northern Ireland legislation, and to the publication Waste
Management: The Duty of Care - A Code of Practice. [R540 para 2]
Health and Safety
The Contractor shall ensure that any Equipment installed at the POCL Premises
does not prevent POCL and POCUs Agents from meeting their legal health and
safety responsibilities as employers, including without limitation those defined
in:
(a) the Provision and Use of Work Equipment Regulations 1992 and the
Provision and Use of Work Equipment Regulations (NI) 1992 (S.R. 1993
No. 19), and
(b) the Workplace (Health, Safety and Welfare) Regulations 1992 and
Workplace (Health, Safety, and Welfare) Regulations (NI) 1993 (S.R.
1993 No. 37).
The Equipment shall not interfere with the health or safety at work of Users,
office staff or others in the vicinity, including but without limitation as a result
of emission of acoustic noise, vibrations, heat, fumes or other radiation, or asa
result of its construction.
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2.3
2.3.1
2.3.2
2.3.3
2.3.5
2.3.6
3.2
3.3
34
Data Protection Act
The Contractor shall ensure that any information supplied under the Data
Protection Act 1984 is accurate and that assurances can be given as to the
integrity of that information,
The Contractor shall deliver any information requested under the Data
Protection Act 1984 to the requesting body, person or POCL as appropriate.
The Data Protection Act 1984 became law from 11 November 1987. All
alterations and reviews to this law after 15 May, 1996 shall be integrated and
adhered to.
The Contractor shall record all written requests for a data protection print from
a Customer, representative or POCL within five (5) days of receipt of the
request, and deal with queries raised within a timescale to be agreed with POCL
by a date consistent with the Project Plan, such agreement not to be
unreasonably withheld or delayed.
All information provided under the Data Protection Act 1984 shall be available
to POCL to facilitate inspection.
Details of a request and response made under the Data Protection Act 1984
shall be retained by the Contractor consistent with the Data Protection Act 1984
requirements.
EQUIPMENT STANDARDS
The Contractor shall ensure that all Equipment is rated for continuous
operation, and capable of functioning safely and reliably for an unlimited
period, attended or unattended, in the installed environment.
Each installation of such Equipment shail be physically and electrically safe and
in compliance with relevant legislation and recognised best practice. Such
installation shall noc cause interference with other devices. Such Equipment
may be required to be installed in residential premises. [R474 para 2]
In paragraph 3.2, “relevant legislation” includes all relevant UK Regulations
and, from the due date of UK implementation, EC Directives, Such Equipment
shall be maintained to be compliant with any subsequent legislation. [R474
para 2(a)]
In paragraph 3.2, “relevant legislation and recognised best practice” includes
mandatory standards, including all relevant UK Regulations and, from the due
date of UK implementation, EC Directives. Such Equipment shall be maintained
to be compliant with any subsequent legislation or mandatory standards. [R474
para 2(b)}
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3.6
3.7
3.8
« shall be possible to prove compliance with legislation or mandatory standards
as and when necessary. [R474 para 4]
The Contractor shall ensure that all information technology,
telecommunications or electrical business Equipment complies with BS
EN60950:1992 (BS7002:1992) and any subsequent amendments, and that
Equipment comprising AC power adapters complies with EN60065:1993.
The Contractor shall ensure that workstation aspects of the Equipment shall
comply with The Health and Safety (Display Screen Equipment) Regulations
1992, which implement Council Directive 90/270/EEC on working with display
screen Equipment.
The Contractor shall ensure that any Equipment containing laser emitters
(including without limitation laser printers and laser bar-code scanners)
complies with BS EN 60825:1992.
The Contractor shall ensure that all telecommunications Equipment shall
conform to Council Directive 91/263/EEC (the Telecommunication Terminal
Equipment Directive) and have a current BABT certificate or equivalent for
connection to the public telephone network,
The Contractor shall ensure that all machinery in the Equipment complies with
the Supply of Machinery (Safety) Regulations 1992, which implement the
Machine Directive 89/392/EEC as amended by 91/368/EEC.
‘The Contractor shall ensure that all electrical Equipment complies with:
(a) the Electrical Equipment (Safety) Regulations 1994, which implement
the Low Voltage Directive 73/23/EEC as amended by 93/68/EEC, and
(b) the requirements of BS7671:1992 in relation to the method of
connection to the main supply and associated equipment earth leakage
currents.
The Contractor shall arrange for regular electrical safety testing of all relevant
elements of the POCL Service Infrastructure installed in POCL Premises, thereby
enabling POCL to meet its legal obligations under the Electricity at Work
Regulations 1989 and Electricity at Work Regulations (NI) 1991 (S.R. 1991 No.
13). [R912 and $912]
The Contractor shall ensure that any Equipment connected, or intended for
connection, to weighing devices meets the requirements of the Non-automatic
Weighing Instruments (EEC Requirements) Regulations 1992 Schedule 3
Applications.
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3.15
4.1
41.1
4.1.2
The Contractor shall ensure that ali visual display terminal Equipment
(including without limitation keyboards) complies with the relevant
requirements of either BS 7179:1990 or ISO 9241:1992,
‘The Contractor shall ensure that all Equipment that falls within the scope of
The Electromagnetic Compatibility (EMC) Regulations 1992, which implement
Council Directive 89/336/EEC (as amended by 92/31/EEC), complies with
these regulations, specifically, but without limitation, to the minimum EMC
requirements of both residential and commercial installations, including
compliance with BS EN 50081 and BS EN 50082 with the following amended
test severity levels and with no degradation of performance:
{a) IEC 801 part 2 class 3, 6kV contact discharge;
(b} TEC 801 part 3 3V/m;
(c) IEC 801 part 4 +/- 1kV injected onto mains AC supply;
(d) TEC 801 part $ +/- 2kV.
The Contractor shall ensure that Equipment covered by EN45501:1992
complies with clause A4.5 (voltage variations) and Annex B of that standard,
The Contractor shall ensure that the acoustic noise emission of any item of
Equipment does not materially add to average background noise levels within
the environment in which it is installed, and shall in no event exceed 60dB(A)
measured at a distance of 1 metre.
The Contractor shall ensure that all items of Equipment to which BS EN
60529:1992 applies, have an Index of Protection rating of IP3X as defined in BS
EN 60529:1992.
POCL'S POLICIES AND STANDARDS
Security Policy [all from R698]
The Contractor shall, by a date consistent with the Project Plan, set up an
organised security infrastructure covering:
{a) the agreement of a security policy;
(b) allocation of security responsibilities;
{e)} security education and training;
(d) reporting security Incidents;
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4.13
4.1.4
4.1.5
(e)
(g)
th)
@
QO
dy
Q
(m)
(n)
(o}
physical security control;
virus control;
business continuity;
control of Software;
safeguarding POCL records;
information classification;
compliance with data protection and other legislation;
information exchange control;
Contractor's sub-contractors and suppliers;
compliance with security policy;
the management of fraud and risk during POCL Service operation
compatible with Clause 106.10.
The Contractor shall be compliant with BS7799.
Security Standards
The Contractor shall adhere to the relevant parts of POCUs security standards
and requirements listed below, and co-operate with POCL to assist POCL in
complying with those standards and requirements:
{a)
(b)
{c)
‘Social Security IT Security Standards’ (reference DITSG\ITSS\0001.04,
version 6.3 dated September 1996) to the extent applicable to OBCS
and to the POCL Infrastructure Services necessary to deliver OBCS;
‘Post Office Counters Information Systems Security Policy’ (as provided
in Appendix 4-1 of the BA/POCL SSR issued in April 1995); and
‘A Code of Practice for Post Office Information Systems Security’ (Version
1.5 dated 28/10/94, as provided in Appendix 4-2 of the BA/POCL SSR
issued in April 1995}.
Any changes to the list in paragraph 4.1.4. shall be made in accordance with
Clause 101.2.
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4.1.6
4.1.9
4.2
4.2.1
4.3
4.3.1
4.4
4.4.1
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_ Data Security
The confidentiality, integrity, validity and completeness of data shall be
maintained throughout all storage, processes and transmissions, including
during periods of Service Failure and recovery from Service Failure. [R828]
{Not used].
Prosecution support
The Contractor shall ensure that all relevant information produced by the POCL
Service Infrastructure at the request of POCL shall be evidentially admissible
and capable of certification in accordance with the Police and Criminal
Evidence Act (PACE) 1984, the Police and Criminal Evidence (Northern Ireland)
Order 1989 and equivalent legislation covering Scotland. [R829 para 1)
At the direction of POCL, audit trail and other information necessary to support
live investigations and prosecutions shall be retained for the duration of the
investigation and prosecution irrespective of the normal retention period of that
information. [R829 para 2}
Audit
The Contractor shall comply with the audit standards described in Schedule
AO3.
Training and Training Material
The Contractor shall prepare all training events and training material - and,
where required by the Codified Agreement to provide them, shall provide such
training events and training material - used co train POCLs staff or agents and
the POCI’s Agents and their staff or agents, in conformance with:
{a} either the Kirkpatrick structured training evaluation methodology (levels
1 to 4 for all training events; levels 1 and 2 for all training
documentation}, or
(b) any alternative structured training evaluation methodology which the
Contractor may propose, subject to obtaining the prior written
agreement of POCL.
Documentation
The Contractor shall ensure that all documentation, whether paper-based or
electronically produced, relating to the POCL Services, harmonises with the
design principles identified in the POCL Visual Identity Design Applications
Guideline, unless prior written consent to the contrary has been obtained from
POCL.
44.2
5
5.1.1
5.1.3
5.1.4
$.2.4
The Contractor shali ensure that all materials which are used for producing
documentation relating to the POCL Services, conform to relevant parts of
POCLs Environmental Policy Summary.
CONTRACTOR'S POLICIES AND STANDARDS
Quality Management System
The Contractor shall operate a quality management system which complies with
BS EN ISG 9601:1994 for all its activities within the scope of the Codified
Agreement.
The quality management system shall be applied to all aspects of the delivery of
POCL Services hereunder.
The quality management system shall be audited and certified by a BSI
accredited auditor, who is independent of both the Contractor and POCL:
(a) in any event, at intervals of not longer than twelve (12) months, and
(b) in addition, within twenty (20) Working Days of any such request.
The Contractor shall within one (1) month of each audit (i) provide POCL with
copies of all reports produced by the auditor on the quality management
system, and (ii) notify POCL of and carry out the Contractor’s proposed follow
up actions where required.
Human-Computer Interface
The Contractor shall create and maintain, as a controlled document and to the
documentation standards referenced in 4.4.1 above, a Human-Computer
Interface specification.
This specification shall set out general guidelines for the Human-Computer
Interface, including without limitation details of screen layouts, system
navigation routes and help and manual entry facilities.
The Contractor shall use reasonable endeavours to specify a Human-Computer
Interface which is intuitive and easy to use by Users, including Counter Clerks,
to minimise errors and delays.
The Contractor shall ensure that the Human-Computer Interface provides a
consistent look and feel across all Applications delivered by the Contractor over
the POCL Service Infrastructure, and that it is easily adapted to facilitate the
introduction of new Applications.
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SCHEDULE A03- AUDIT
1. Seope
1a This Schedule identifies the audit requirements with which the Contractor and its
sub-contractors shall comply.
2. POCUS’ Agents
2.1 For the purpose of this Schedule, POCLS Agents shall mean:
(a) POCL;
(b) statutory or regulatory auditors of POCL;
(c} external auditors appointed by POCL;
(a) authorised agents or successors of the persons listed in paragraphs 2.1 (a), 2.1
(b) and 2.1 (c).
3. Record Keeping
3.1 The Contractor shall maintain or shali cause to be maintained an audit trail of all
Transactions and Events in strict conformance to the relevant standards contained in
the documents referred to in paragraph 4.1.4 of Schedule A2.
4. Access
41 The Contractor shall provide POCIs Agents access to such additional material -
required to support the Records. Such access shall include:
(a) premises;
(b) facilities;
(ce) services;
(d} documentation;
(e) information (magnetic or otherwise);
cf) staff;
(g) procedures;
4.2
4.3
4.4
4.6
S.1
6.1
6.2
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th) timesheets and other data used directly as a basis for charging, belonging to
the Contractor, which relate to the provision of the POCL Services.
The Gontractor shall ensure that POCLs Agents can gain access to the POCL Data held
by the Contractor in Outlets to enable internal POCL audit requirements to be met.
The Contractor shall provide reasonable assistance at all times during the currency of
the Codified Agreement and for six (6) years after the date of termination or expiry
of the Codified Agreement, for the purposes of allowing POCL to obtain such
information as is necessary to fulfil POCLs obligations to supply information for
parliamentary, judicial, or administrative purposes.
POCL shall pay the Contractor its reasonable costs directly incurred in providing such
assistance after termination of the Codified Agreement provided that the Contractor
proves such costs to the reasonable satisfaction of POCL.
On notification of an audit as specified in section 6 of this Schedule the Contractor
shall provide POCEs Agents with reasonable access to the audit trail in paragraph 3.1
of this Schedule and the facility to interrogate that audit trail using reasonably
selected criteria.
POCL shall require POCLs Agents to comply with the Contractor's reasonable security
requirements whilst on the Contractor's premises, the scope of which the Contractor
shall notify to POCLs Agents directly on notification of audit.
Audit Standards
Without prejudice or limit to POCLs general rights to audit, audits by POCLs Agents
shall be conducted from time to time in accordance with the standards laid down in
the Post Office Internal Audir Standards.
Notification of Audit
Subject to Clause 801.3, the Contractor and POCL shall from time to time agree
arrangements (such agreement not to be unreasonably withheld or delayed),
including timescales, for audits required by POCL.
With respect to Clause 801.3, where the investigations find no evidence of fraudulent
activity or other impropriety by the Contractor or the Contractor's agents, then at the
discretion of POCL, the Contractor may be paid reasonable additional charges for its
assistance.
7A
7A
7AZ
714
7.2
7.22
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Response to Audits
General
POCUs Agents may produce reports to POCL indicating areas of non-compliance with
the Codified Agreement or any other reports they deem appropriate. POCLs Agents
may also make recommendations.
Following each audit POCL shall provide, to the Contractor, a report approved by
POCLs Agents indicating:
(a) any areas of non-compliance with the Codified Agreement which the
Contractor is required to rectify;
(b) any audit recommendation with which POCL requests the Contractor to
comply.
POCL shall give the Contractor a minimum of thirty (30) days to review the factual
issues relevant to the Contractor which are raised by the audit reports and to
comment upon the recommendations.
In the event that the Contractor disputes the findings of any audit then the Dispute
Resolution Procedure in Clause 807 shall be invoked.
Action on agreed Non-Compliance
Any agreed non-compliance shall constitute a Default and the Contractor shall at the
Contractor's own expense, implement any changes necessary to remedy areas of non-
compliance with the terms of the Codified Agreement as identified by POCL’s Agents.
Action on Recommendations
POCL may request the Contractor to implement audit recommendations in
accordance with the provisions of the Change Control Procedure.
Evidence
The Contractor shall provide, in accordance with the timescales agreed in the
implementation plan for any change arising from an audit, evidence, either
documentary or demonstrative, of changes required by POCL in accordance with
paragraphs 7.2.1 and 7.3.1, and shall, if required, provide access to the
representatives of POCL, to permit POCTs Agents to monitor and confirm the
implementation of such changes.
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SCHEDULE A04 - CONTRACT MANAGEMENT
Lat
1.2
2.1
2.1.1
2.1.2
2.3
2.3.1
2.4
2.4.1
2.4.2
OBJECTIVES OF CONTRACT MANAGEMENT
The objectives of Contract Management in the Codified Agreement are to monitor
and manage the delivery of the POCL Services, and to authorise actions which
improve those POCL Services, taking account of the provisions relating to change as
specified in Clause 101.2.
The sections below detail (without limitation) the specific objectives of key activities
that will be undertaken. The significance of the detailed tasks may vary over the life
of the Codified Agreement.
ORGANISATION
General
“Management Table” means the table set out in the Annex to this Schedule.
The Contractor and POCL shall within one month following execution of this Codified
Agreement establish each of the boards (each a “Board”) contained in the row headed
“Board” of the Management Tabie,
Purpose
The purpose of each Board shail be as set out in the row headed “Purpose” of the
Management Table in the colurnn for that Board.
The meeting secretary of each Board shall record and issue a record of agreed
decisions and actions arising out of a meeting of that Board.
Frequency
The frequency of the meetings of each Board shall be as set out in the row headed
“Frequency” of the Management Table in the column for that Board or such other
times as that Board may agree,
Attendees
The attendees of meetings of each Board shall be as set out in the rows headed
“POCL Attendees” and “Contractor Attendees” of the Management Table in the
column for that Board,
In the event that an attendee is unable to attend a Board meeting then the attendee
may appoint a substitute to attend that meeting.
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2.4.3 The attendees of meetings of each Board may, with both parties’ consents (such
2.5
2.5.1
consent not to be unreasonably withheld or delayed), invite other attendees to such
meetings.
Approvals
Where a Board is required to make a formal decision then such decision shall not be
effective unless both the person set out in the row headed “POCL Approval” in the
Management Table in the column for that Board and the person set out in the row
headed “Contractor Approval” shall have approved such decision in writing.
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Annex to Schedule A4
Management Table
Board Change Control Board Contract Administration Service Review Board Contract Steering Group New Business Board Release Authorisation Board
Board
Purpose “Fo agree timescales for Yo review and agree To review performance To review the operation of I To initiate and monitor in relation to any Release, 1
processing Change
Requests CRs") and
CONs
‘To monitor CRs and CONS
in progress
‘To review reasons for
eejection of CRs and CONs
To review CCNs.
To resolve questions of
whether particular changes
require CRs or can be
handled through
operational business
change.
changes to the contract to
implement signed CCNs
To discuss and resolve
questions of interpretation
of the contract.
To agree mechanisms to
enable new provisions to be
drafted and agreed under
CCN.
To provide expert advice on
drafting of CCNs
Contract version control
Maintaining lists of current
CCDs and CRDs
Maintaining list of
agreements to agree and
their status
against contracted service
To agree remedies payable
arising fcom any failures to
meet service levels,
To monitor and review
operations af operational
business change processes
Such other purposes as are
set out in the relevant
secvice management
schedules.
contract and commercial
management processes
xween the parties.
To act as the point of
escalation for any
commercial issues not
resolvable in the Change
Control Board, Contract
Administration o¢ Service
Review Board meetings.
To act as the point of
escalation for any disputes
about the amounts or terms
of invoices.
To consider any generat
commercial issues arising
from programme activities
progress of development of
service definitions and verms
and conditions for additions
to the contracted services.
‘To approve additions to the
contracted services, which
will then be formally
introduced by CCN.
review readiness reports and
decide whether that Release
should go into live operation
Frequency
Fortnightly
As needed - most business
likely to be handled by
phone and corcespondence.
Monthly
‘Atleast once per quarter -
monthly if required
Monthly required.
“The meeting to decide whether
CSR shall be released into live
‘operation, and Roll Out
commenced, shall be held within
7 days of the end of the CSR
Operational Triel Review Period
(as referred to in Schedule BO)
and thereafter when eny farther
Release is to be reviewed.
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Board
Change Coatrol Board
Gontract Administration
Board
Service Review Board
Contract Steering Group
New Business Board
Release Authorisation Board
POCL
Attendees
Head of Horizon
Commercial
Head of Design
Sponsors of Changes
{as appropriate)
Head of Prog. Management
Office
Contract manager
Change control manager
{acts as meeting secretary)
Viead of Horizon
Contract manager
(egal advisor at POGL's
option - advance notice to
be given of attendance}
Meeting secretary
Head of Service
Management
Others at POCL's discretion
(Horizon Commercial
Manager will attend if
remedies on agenda)
Meeting secretary
Horizon Programme
Director or Automation
Director
Horizon Programme
Manager
Head of Horizon
Commercial
‘Commercial Manager
Meeting secretary
Fiend of Horizon Commercial
Head of Design
Representative from
Customer and Network
Specification
Business Sponscr(s)
Contract Manager
Commercial Manager
Meeting Secretary
Horizon Programme Director or
Automation Director, who shal
be Chairman
Contractor
Attendees
Commercial and Finance
Director
Contract manager
Sponsors of Changes
(as appropriate)
Change controf manager
Commerc
Director
nd Finance
Contract manager
Contractor's option -
advance notice to be given
of attendance)
Customer Service Director
Others ar the Contractor's
discretion (Financial
Controller will attend if,
remedies oa agenda)
Deputy Managing Director
Commercial and Finance
Director
Financial Controller
Customer Service Director
New Business Director
Commercial and Finance
Director
Customer Requirements
Director
Contract Manager
Head of Business
Development
Managing Director or his
suthorised deputy.
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Board Change Controf Board Contract Administration Service Review Board Contract Steering Group I New Business Board Release Aathorisation Hoard
Board
POCL Approval I Head of Horizon Fiend of Horizon Vead of Service
Commercial or, Commercial Management
Horizon Programme
Director or Automation
Director or Managing
Director subject t0
authority limits to be
decided by POCL
Contractor Managing Director or Commercial and Finance I Customer Service Director
Approval Commercial and Finance
Birector subject to
authority fimits to be
decided by the Contractor
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SCHEDULE AOS - CHANGE CONTROL
1.
LL
1.2
1.3
2.1
27
INTRODUCTION
Amendments and changes to the Codified Agreement shall be made in accordance
with the provisions of this Schedule.
Within the context of the following sections of this Schedule the term “change”
includes both amendments and changes.
The Change Control Board (CCB) function under this Codified Agreement shall be
delivered as defined in Schedule A04.
PRINCIPLES
Where POCL or the Contractor identifies the need for a change, then POCL may at
any time request a change or the Contractor may at any time recommend a change.
Such a request or recommendation may only be made in accordance with the
procedures set out below.
Neither POCL nor the Contractor shal] unreasonably withhold or delay their
agreement to any change or proposal in relation thereto.
{Not used].
Until such time as a change has been fully authorised in accordance with the
procedures in this Schedule, POCL and the Contractor shall continue as if the change
had not been made,
Any discussions which may take place between POCL and the Contractor on a change
before its authorisation shall be without prejudice to the rights of either party.
No change shall be valid until it is authorised in writing by the appropriate level of
authority of POCL and the Contractor in accordance with the procedures specified
below. No change shall be valid unless and un
Schedule.
made in accordance with this
Any purported change provided by the Contractor that has not been otherwise agreed
in accordance with the provisions of paragraph 2.6 above shall be undertaken entirely
at the expense and liability of the Contractor. If so required by POCL, the Contractor
shall at its own expense promptly take all steps necessary to reverse and remove the
effects of such purported change.
3a
3.1.1
3.1.3
3.1.5
3.1.6
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PROCEDURES
Standard Change Procedures
Discussions between POCL and the Contractor in relation co a change shall result in
any one of the following:
(a) no further action;
b) a request to make a change by POCIs authorised representative (a “Change
Request”);
(c) a recommendation to make a change by the Contractor.
Where the Contractor receives a Change Request the Contractor shall unless
otherwise agreed submit electronically to the secretary of the CCB a Change Control
Note (CCN) within three (3) weeks of the date of receipt of such Change Request.
If the Contractor considers that the preparation of a CCN, requested by POCL, would
necessitate allocation of resources in excess of five (5) mandays, the Contractor shall
notify POCL accordingly and, on agreement by POCL, the Contractor will make a
proposal for a paid study of the cost and implications of producing the required CCN.
Pending POCUs acceptance of that proposai or in the event that POCL does not agree
that such proposal should be submitted, the Contractor will be relieved of his
obligations to produce such CCN.
A recommendation to make a change by the Contraccor shall be submitted
electronicaily to the secretary of the CCB in the form of a CCN.
Further impact analysis of the CCN may be carried our by POCL.
For each CCN submitted, POCL shall evaluate the CCN and, as appropriate, during
ity:
the period of vali
(a) request further information;
{b) notify the Contractor of its rejection of the CCN;
(c) confirm to the Contractor its acceptance of the CCN; or
(d) suggest modifications to the CCN.
The period of validity of each CCN shall be the period from the date on which that
CCN shall have been submitted to the secretary of the CCB until the date specified in
that CCN pursuant to paragraph 3.3.1(k) or such other date as the parties may agree.
3.1.7
3.2
3.2.1
3.2.2
3.3
3.3.1
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In connection with CCNs submitted electronically, the Contractor shall on the date of
submission send to the secretary of the CCB two copies of the CCN signed by the
Contractor in accordance with paragraph 2.5.1 of Schedule A4.
A CCN shail only be authorised if ir shall have been signed by both of the persons
referred to in paragraph 2.5.1 of Schedule A4 in respect of the CCB.
Emergency Change Procedures
Emergency situations resuiting in POCL requesting a change, or the Contractor
recommending a change, shall be dealt with on a case by case basis by the Head of
Horizon Commercial and the Commercial and Finance Director of the Contractor,
who shall jointly decide in writing whether or not to authorise such change in
accordance with paragraph 3.2.
Each change authorised pursuant to paragraph 3.2.1:
(a) need not comply with paragraphs 3.1.1 co 3.1.6 inclusive;
(b) shall, before it may be authorised, be set out in a CCN containing the
information referred to in paragraph 3.3.1 save that for:
w paragraph 3.3.1(f), an outline of the change shall be sufficient;
Gi) paragraph 3.3
sufficient; and
(i), an outline of the impact referred to therein shall be
(iii) paragraph 3.3.1(), direct (as distinct from consequential) revised
wording co the Codified Agreement shall be sufficient; and
(c) may, for the purposes of paragraph 3.1.7, be sent by fax by the Contractor to
POCUs authorised signatory referred to in paragraph 3.1.8.
Content of Change Control Note
Subject to paragraph 3.2, each CCN shall contain:
{a) the change contro) number;
{b) the title of the change;
(e} a specification of the approvals required for the CCN in accordance with
Schedule A4;
(a) the name of the originator and the date of the request or recommendation for
the change;
(hy
a)
@
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the reason for the change;
full details of the change, including any specifications and user facilities;
a statement of the cost, if any, to POCL of the change including all non-
recurring Charges and any new or amended Charges and, where Charges are
to be calculated on a time and materials basis, the estimated time required
and the charge out rates and material charges;
a timetable for implementation together with any proposals for acceptance;
statement of the impact, if any, of the change on other aspects of the Codified
Agreement or POCL Services including but not limited to:
i deliverables;
ii, personnel involved;
iii. existing timetable;
iv. implementation plans;
v. security;
system support;
vii. system management;
vill, standards;
ix. accom modation/location;
x. documentation;
xi, Charges and charging mechanism;
xii. Service delivery criteria;
xiii. POCUs Responsibilities,
xiv. contractual issues;
xy risk;
xvi. Service Levels;
proposed revised wording to the Codified Agreement;
44
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5
(I) the date for expiry of validity of the CCN;
() provision for POCL to record the progress with dates of the CCN for each stage
as follows:
i submitted;
ii. evaluated;
ii, further information requested;
iv, further information received;
v. modified CCN received;
vie modified CCN evaluated;
vii. approved;
viii. rejected; and
(m) provision for signature by POCL and by the Contractor.
Record Keeping
The Contractor shall retain a record of all Change Control Notes (CCN) raised.
The Contractor shall make the CCN record available on demand to POCL,
The Contractor's CCN record shall include without limitation the following
information:
(a) the CCN number;
(b) date CCN raised;
(©) CCN sponsor(i.e. POCL or Contractor);
(d) the approvals required for the CCN in accordance with Schedule A4;
(e) changes made pursuant to the CCN.
EMERGENCY PROCEDURES
If the Contractor considers that any change is necessary in order for it to comply with
its obligations under the Codified Agreement and there is insufficient time to comply
with the procedures described above, the Contractor shall be entitled to proceed with
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such change, provided that it shall as soon as practicable provide POCL with a CCN
for retrospective change. Such change shall be subject to the procedures described in
this Schedule, and if POCL, acting reasonably, does not agree to such change, such
change shall be invalid and the Contractor shall at its own expense promptly take all
steps necessary to reverse and remove the effects of such change.
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SCHEDULE A06 - APPROACH TO REMEDIES
oe
41
4.2
PURPOSE
This Schedule sets out the approach to remedies which shall be applicable to all POCL
Services.
GENERAL PRINCIPLES
‘The purpose of remedies is that POCL shall not be disadvantaged by failures of the
Contractor to provide the POCL Services to the agreed specification and reliability.
Remedies in failure to meet Service Levels are designed so that:
(a) POCL will not pay for POCL Services which it does not receive or will pay a
reduced amount for POCL Services which fail to meet the Service Levels;
(b} POCL wil be compensated for loss or damage which it incurs as a result of
unavailability of POCL Services or POCL Services failing to meet Service
Levels;
{c) Repeated failure as defined in paragraph 4.4 or serious failure as defined in
paragraph 4.5 by the Contractor to provide any POCL Service to the
appropriate Service Levels will entitle POCL to terminate the Codified
Agreement in accordance with Clause 902.2.
The limits on the Contractor's Habiliry contained in Clause 810 shall apply to financial
remedies due in accordance with this Schedule.
APPLICATION TO SERVICES
For each POCL Service supplied under the Codified Agreement the relevant Service
Levels and Remedies Schedule shal! define the measures of Service Levels and
remedies.
SERVICE LEVELS
There are two (2) Service Level thresholds:
(a) Minimum Acceptable Threshold;
{b) Termination Review Threshold.
Service Levels shall be measured and reported over Service Level Measurement
Periods and using metrics defined for each POCL Service. Additionally all levels of
service shall be monitored on a weekly and monthly basis and any failure to meet a
Service Level shall be reported to POCL detailing the required Service Level and the
actual level of service achieved.
4.3
44
45
6.2
63
6.4
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in respect of any Service Level Measurement Period when the level of service falls
below the threshold in paragraph 4.1{a), POCL shall be entitled to remedies at the
end of that period as set out in the relevant Service Level and Remedies Schedule.
Unless specified otherwise in the relevant Service Levels and Remedies Schedule,
where the Contractor fails to meet the threshold in paragraph 4.1 (a) for a particular
POCL Service for three (3) quarterly Service Level Measurement Periods in any
twenty four (24) month period, then POCL may terminate the Codified Agreement in
accordance with Clause 902.2. If POCL decides not to exercise its termination rights
hereto, then rectification of the Default shall be made in accordance with paragraph
7.
If the Jevel of service fails to meet the threshold in paragraph 4.1 (b) for a particular
POCL Service, POCL may terminate the Codified Agreement in accordance with
Clause 902.2. If POCL decides not to exercise its termination rights hereto, then
rectification of the Default shall be made in accordance with paragraph 7.
PAYMENT OF REMEDIES
The remedies due shal! be available in the form specified in Clause 802.
CALCULATION OF TOTAL COMPENSATION DUE
[not used]
[not used]
The remedies due to POCL from the Contractor in accordance with paragraph 4 are
cumulative.
Without prejudice to paragraph 4.4, in the event that a POCL Service meets the
threshold in paragraph 4.1 (b) but fails tc meet that in paragraph 4.1 (a), the Service
Credits and liquidated damages for such failure shall be POCLs exclusive remedy in
damages for such failure.
Without prejudice to paragraph 4.4, in the event that a POCL Service fails to meet rhe
threshold specified in paragraph 4.1(b), liquidated damages shall be payable to the
extent the POCL Service fails to meet the levels between the thresholds in 4.1 (a) and
in 4.1 (b), but not to the extent the POCL Service fails to meet the threshold in para
4.1 (b), in respect of which failure damages at large will be recoverable.
RECTIFICATION IN CASE OF SERIOUS FAILURE
In the event that POCL decides not to exercise its rights to termination pursuant to
paragraphs 4.4 or 4.5, then the Contractor and POCL shall agree a method of
rectification, including a timetable, for the Default. For the avoidance of doubt, the
Contractor remains liable for financial remedies in respect of the failure giving rise to
7.2
7.3
74
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the Default.
In the event that the rectification plan involves a change to the provision of the POCL
Services, the procedures set out in Schedule AS shall apply. For the avoidance of
doubt, changes to the provision of the POCL Services made in accordance with this
paragraph shall be made at no cost to POCL.
Notwithstanding the provisions of paragraph 7.1, POCL reserves its termination rights
in the event of the Contractor and POCL being unable to reach agreement on a
rectification plan.
Without prejudice to POCLs general rights to remedies, during the rectification period
the Contractor shall maintain the levels for all other POCL Services above the
threshold in paragraph 4.1 (a) unless otherwise agreed with POCL as part of the
rectification plan.
©4991590.132
SCHEDULE A7 - CONTRACT TERMINATION
1.
11
1.2
1.4
2.2.1
2.1.2
2.1.3
INTRODUCTION
This Schedule covers the responsibilities and payments related to termination of
the Codified Agreement. Termination of the Codified Agreement includes:
(a) termination of the Codified Agreement before its expiry due to
Contractor Default;
S
termination of the Codified Agreement before its expiry without
Contractor Default;
(c) termination of the Codified Agreement at its expiry,
In any ef the above termination conditions POCL may seek to obtain the
delivery of services equivalent to the POCL Services under the Codified
Agreement, either by performing them itself or by means of a replacement
contractor.
Where POCL intends to continue the POCL Services after termination, either by
performing them itself or by means of a replacement contractor, the Contractor
shall use all reasonable endeavours to ensure the smooth transition of the POCL
Services and shall co-cperate with POCL or the replacement contractor as
required in order to fulfil che obligations under this Schedule,
POCL shall notify the Contractor of its intent under paragraph 1.3 of this
Schedule no later than one month after the time of notifying the Contractor of
termination of this Codified Agreement.
SERVICES REQUIRED ON TERMINATION
General
On notice of termination of this Codified Agreement the Contractor shall
perform the services defined in paragraph 4 of this Schedule.
If notice is given under paragraph 1.4 of this Schedule, the Contractor shall, in
addition to the services identified in paragraph 4 of this Schedule, perform the
services specified in the remainder of this paragraph 2.
in performance of such services, the Contractor and POCL shall take into
account that all the POCL Services under this Codified Agreement are being
terminated or transferred, and the effect that has on the availability of assets for
transfer under Clause 903.1.
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2.2.1
2.2.3
2.3
2.31
2.3.2
Training services
Once POCL has provided the Contractor with the list of data and assets required
for transfer under paragraphs 4.1 and 4.2 of this Schedule, POCL and the
Contractor shall enter inta good faith negotiations to identify and specify any
training requirements related to such transfers.
The purpose of such training shall be to enable POCL, or a replacement
contractor, to adopt, integrate and utilise the data and assets transferred to
deliver an equivalent set of services to the POCL Services being delivered under
this Codified Agreement.
The Contractor shall produce within one month of notice of termination unless
otherwise agreed between the parties, and POCL shall approve:
(a) a training strategy, which details the required courses and their
objectives;
(b) training materials (including assessment criteria);
(c} a training plan of the required training events.
The Contractor shall schedule all necessary resources to fulfil the training plan,
and deliver the training as agreed with POCL,
Transfer support activities
Where POCL intends to continue services equivalent to any or all of the POCL
Services after termination, either by performing them itself or by means of a
replacement contractor, the Contractor shall use all reasonable endeavours to
ensure the smooth transition from the relevant POCL Services to such
equivalent services.
The Contractor shall, within one month of notification of the intent to acquire
services equivalent to the POCL Services, deliver to POCL for its approval:
{a} Transition plan
A detailed plan of the tasks and responsibilities required to enable the
transition to the replacement services. The transition plan shall include,
but not be limited to:
i. a timetable of events;
ii resources;
fii assumptions;
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2.3.3
3.
3.2
iv. activities;
vw responsibilities.
{b) Interfaces definition
A detailed specification of the interfaces between each POCL Service
provided by the Contractor, and between each POCL Service and the
POCL Service Environment. This specification shall be sufficient to allow
POCL or a replacement contractor to deliver and maintain the
replacement services, without loss of functionality, integrity or security.
On receipt of the documents identified in paragraph 2.3.2, POCL (or any
replacement contractor) and the Contractor shall enter good faith negotiations
to approve them, and the commitments defined in them.
TERMINATION CHARGE
The Termination Charge is intended to represent a good faith recognition of
the loss of revenues the Contractor may reasonably have planned for in
establishing the POCL Services and supporting infrastructure (not applicable in
case of Default).
Where a Termination Charge is payable to the Contractor, such payment shall
be equal to X+Y+2Z, where:
{a} X shall be £543 million less:
(i) an amount equal co the aggregate of all payments received by
the Contractor prior to the date of termination by way of Roll
Out Payment. For the avoidance of doubt, sums which are
retained by POCL at the date of termination shall not be deemed
to have been received by the Contractor for this purpose; and
Gd an amount equal to such future costs included within the Roll
Out Payment as the Contractor is reasonably able to avoid or
mitigate as a result of the early termination; and
{b} Y shall be equal to the aggregate of all costs associated with the
termination or transfer of the POCL Services, including but not limited
to the closure of the Contractor’s facilities and termination of its
personnel, plus any termination charges payable to suppliers and sub-
contractors (the Contractor being required to mitigate such exposure);
and
(ce) Z shall be an allowance for lost profit, equal to 15% of (A+B-C-D)
where:
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4,1
41.1
A shall be equal to the aggregate of:
@ the Periodic Payments for each Operating Fee Period
ended prior to the date of termination less the aggregate
of all instalments of the Monthly Operating Fee (as
defined in paragraph 5.1 of Schedule A12) received by
the Contractor prior to the date of termination;
ai) the aggregate of the RPI Base Amounts in respect of the
Operating Fee Period in which the date of termination.
falls and each subsequent Operating Fee Period, each
multiplied by the sum of one hundred per cent. and the
difference, expressed as a percentage of 163.7, between
{i) the level of RPI published in respect of the RPI
Reference Month for the month in which termination
occurs and (ii) the level of RPI published in respect of the
RPI Reference Month for May 1999 (being 163.7); and
B shall be equal to the aggregate of all Adjustment Amounts paid
to the Contractor pursuant to paragraph 5.8.2 of Schedule Al2 in
respect of each Operating Fee Period ended prior to the date of
termination;
C shail be equal to all Adjustment Amounts deducted pursuant to
paragraph 5.8.3 of Schedule A12 in respect of each Operating
Fee Period ended prior to the date of termination; and
D shall be equal to the aggregate of all permitted non-payments
of, or reductions in, the Monthly Operating Fee accrued pricr to
the date of termination under paragraphs 5.5, 5.6 and 5.9 of
Schedule A12,
All costs shall be determined in accordance with the Contractor's standard
accounting practice, supported by proper vouchers and records and verified by
the Contractor's auditors.
SERVICES ON TERMINATION
Transfer of data
On notice of termination of the Codified Agreement the Contractor shall, within
one month, deliver to POCL:
(a) an inventory of the POCL Data, plus any other data available for
transfer;
{b} a data structure definition covering all data available for transfer;
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4.1.2
4.1.3
4.2
4.2.3
4.3
(ce) a proposed physical transfer method;
(d) a proposed method for testing the integrity and completeness of the
data transferred.
Within two months or other period agreed by the parties (such agreement not
to be unreasonably withheld or delayed) of receiving the Contractor’s data
transfer proposals as described in paragraph 4.1.1 above, POCL shall notify the
Contractor of the data it wishes to be transferred, and POCL and the Contractor
shall enter good faith discussions to develop a data transfer plan.
No later than five months after the date of notice of termination of the Codified
Agreement, the Contractor and POCL shall co-operate in commencing testing
and proving the data transfer plan, such that a transfer may be concluded in
accordance with the agreed plan.
Transfer of assets
On notice of termination of the Codified Agreement the Contractor shall, within
one month, deliver to POCL an asset register comprising:
(a) a list of all assets eligible for transfer to POCL under the terms of Clause
903.1, and the terms for such transfer in accordance with paragraph 4.3
of this Schedule;
(b) a list identifying all other assets, other than human resources, skills and
know how, that are ineligible for transfer under Clause 903.1, but which
are essential to the delivery of any of the POCL Services. The purpose of
each component shall be included in the list.
Within three months of receiving the Contractor's asset register as described in
paragraph 4.2.1(a) above, POCL shall notify the Contractor of the assets it
wishes to be transferred, and POCL and the Contractor shall enter good faith
discussions to develop a plan for asset transfer, covering both passing of title to
assets and any physical transfer required.
The Contractor and POCL shall co-operate in transferring the assets in
accordance with the plan developed under paragraph 4.2.2 above.
‘Transfer Payment
The Transfer Payment for the purposes of Clause 903.1 of the Codified
Agreement shail be as follows:-
4.3.1 if the option under Clause 903.1 is exercised on or after the date on
which the final Progress Payment is due pursuant to paragraph 4.3 of
Schedule Al2 the Transfer Payment shall be £1;
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4.3.2
4.3.3
cA991610,209
If the option under Clause 903.1 is exercised in circumstances in which
a Termination Charge is payable the Transfer Payment shall be £1; and
in all other cases the Transfer Payment shall be an amount equal to
xD where
aA
B-C
A = the number of Outlets to which, on the date of termination, Roll
Out shall have occurred since the later of:-
Q the date of the Codified Agreement; and
(ii) the time when Roll Out oceurred to that Outlet which triggered
the entitlement of the Contractor to its most recent Progress
Payment under Schedule Al2 (or which would have triggered
such entitlement had the time in question not occurred prior to
the date shown in Column 2 of the table in paragraph 1 of
Schedule Al2 against the Progress Payment in question);
B = the aggregate number of Outlets to which, on the date of
termination, Roll Out is required in order to trigger the entitlement of
the Contractor to its next Progress Payment;
c= (a) the aggregate number of Outlets to which Roll Out was
required in order to trigger the entitlement of the
Contractor to its most recent Progress Payment under
Schedule Al2 (or which would have triggered such
entitlement had the time in question not cecurred prior to
the date shown in Column 2 of the table in paragraph 1
of Schedule Al2 against the Progress Payment in
question); or
(b) where at the date of termination, Roll Out has occurred to
less than 1,800 Outlets in aggregate, zero; and
D= £90 million,
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CODIFIED AGREEMENT
SCHEDULE AOS
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RESTRICTED ~- CONTRACTS
SCHEDULE AO8- SUBCONTRACTORS
1. Pathway’s Subcontractors, together with a description of
their areas of responsibility, are listed in the
following table.
SUBCONTRACTOR RESPONSIBILITY
Energis Communications
Limited
Provision of
telecommunications lines
and services.
CFM Limited
- Development of the
Contractor’s Data
Warehouse MIS system,
which will record and
store the contractual
transactions;
- Operation of TMS system
and Client Links Network.
The Escher Group Limited
- Post Office Counter
Automation Network
Software and Consultancy;
- Design and development of
RIPOSTE middleware,
ICL Sorbus Limited
~ Provision of maintenance
services for OPS
hardware;
~ Operation of Horizon
System Help Desk and
Limited
Service Management
Centre.
NFC UK Limited, trading as Installation of OPS
Exel Logistics hardware.
Pearce Security Systems Provi n of Post Office
site modification work.
Training Services
Provision of awareness and
ited (formerly Peritas training courses for POCL
Limited) staff.
Workplace Technologies ple Provision of Post Office
site preparation work.
DSS
Provision of interim OBCS
Relpdesk services.
page l of 1
Version 1.0
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SCHEDULE AO9 - INITIAL ASSET TRANSFER
1. PURPOSE
Ld This Schedule sets out the Assets which shall be transferred by POCL to the
Contractor.
2. POCL TRANSEERRED ASSETS
21 None listed
3. TRANSFER DATE (FOR ISDN LINES)
3.1 The Transfer Date for the benefit of the ISDN Agreement for each ISDN line shall be
the date on which the Outlet to which that ISDN line is connected shall have been
Rolled Out.
€A991830,012
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SCHEDULE A10 - ORDERING, INVOICING AND PAYMENT
1
Li
1.2
1.3
21
2.2
Purpose
This Schedule sets out the procedures for:
(a) the ordering of POCL Consumables;
(b) the ordering of Optional Products;
(c) the ordering of Optional POCL Services;
{d) the raising and issue of invoices by the Contractor for POCL Consumables,
POCL Services and POCL Products;
(e) payment of all invoices by POCL.
POCI's preferred method of requesting the Contractor to provide an Optional POCL
Service or an Optional Product shall be by written notification in accordance with
Clause 202 or Clause 206 of the Codified Agreement. For those Optional POCL
Services and Optional Products for which a price is set out or referred to in Part B of
Schedule Al2 of the Codified Agreement, such written notification shall be in the
form of a purchase order raised in accordance with the procedures in this Schedule.
In the event of Additional POCL Services and Additional Products being identified,
the Change Contro! Procedure shall apply.
Authorised ordering points
In the event that POCL shall in future exercise its option to obtain POCL Consumables
from the Contractor, POCL shall inform the Contractor of the nominated ordering
point(s} for ordering such POCL Consumables.
The following nominated ordering points shall be authorised to place orders for
Optional POCL Services and Optional Products:
The Horizon Programme Director,
Ordering
POCL shall be entitled to place purchase orders in respect of the following in
accordance with this paragraph 3:
(a) for POCL Consumables pursuant to Clause 208;
(b) for Optional Products pursuant to Clause 206;
(e) for Optional POCL Services pursuant to Clause 202.
3.3
we
uw
3.6
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The Contractor shall only supply the items listed in paragraph 3.1 above in response
to a purchase order raised by the nominated ordering points listed in, or notified for
the purposes of, paragraph 2.
The purchase order shall be uniquely numbered and will contain the following
information as a minimum:
{a} product code;
(b) product description;
(ce) unit price;
(da) quantity required;
{e} order value (excluding VAT);
isa) date of order;
(g) order reference number;
(h) order originator;
a) required delivery date/timerable;
ref) delivery point;
Ck) invoice point.
The Contractor shall use reasonable endeavours to confirm receipt of the purchase
order as soon as possible but in any event shall send to the relevant nominated
ordering point of POCL written order confirmation of its receipt of the order within
fourteen (14) calendar days from the time of its receipt.
The Contractor shall indicate on the order confirmation sent in accordance with
paragraph 3.4 either:
{a} that the order will be actioned as stated;
(b) that the order will not be actioned as stated, and that the Contractor will
therefore not meet its obligations under Clause 202, 206 or 208 as
appropriate.
In the event that the Contractor indicates on the order confirmation that the order
will not be actioned as stated, POCL may at its sole discretion by notice in writing to
the Contractor agree to any amendment to the order proposed on the order
confirmation, in which case any such amendment shall not constitute a breach of the
4.1
4.2
4.3
44
8.1
5.2
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Contractor's obligations under Clause 202, 206 or 208 (as appropriate). For the
avoidance of doubt, no such amendment shall amend or change the Clauses or
Schedules hereto, nor seel: to exclude the general application of such Clauses and
Schedules in relation to the order in question,
Frequency and Timing of invoices
The Contractor shall raise invoices for the provision of POCL Services charged for
pursuant to Schedule Al2 or otherwise under this Codified Agreement:
(a) in the case of each part of the Roll Out Payment, on or following the due date
of that part of the Roll Out Payment; and
(b) in all other cases, calendar monthly in arrears. For the purposes of this
Schedule A16 each calendar month shall constitute an Invoicing Period and
each Invoicing Period shall commence on the first (1st) day of the relevant
calendar month and end on the last day of that calendar month.
Save for invoices for the Roll Out Payment (or part thereof), the Contractor shall
submit invoices for POCL Services charged for pursuant to Schedule Al2 or otherwise
under the Codified Agreement to the relevant invoicing point within fourteen (14)
calendar days of the end of the Invoicing Period.
The Contractor shall raise invoices for any Optional POCL Services or Optional
Products for which a price is set out or referred to in Part B of Schedule Al2 of the
Codified Agreement, in accordance with the charging mechanism and payment
schedule agreed for these particular Optional POCL Services or Optional Products.
The Contractor shall raise invoices for POCL Consumables following the acceptance
of the POCL Consumables by POCUs designated delivery point.
Notwithstanding the above, invoicing in respect of further releases of Software to
which Clause 301.10.2 applies shall be dealt with as agreed by the parties at the
time.
Invoice Design
The Contractor shall invoice separately for POCL Services, POCL Consumables and
Optional Products.
The Contractor shall only submit invoices which conform to the design agreed with
POCL. The Contractor shall ensure that the invoice design conforms to the Customs
and Excise requirements for VAT purposes. POCL may at any time require the invoices
to be submitted in electronic form.
5.3
5.4
5.5
w
ca
The Charges on each invoice shall be exclusive of VAT and the VAT shown as a
separate amount and the prevailing rate expressed in percentage terms. The total
sum payable inclusive of VAT must also be shown.
On POCL Service invoices, the Contractor shall separately identify the Charges for
Core System Services and Charges for each Optional POCL Service on each invoice
raised.
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The Contractor shall include, as a minimum, the following information on each POCL
Service invoice submitted:
The Contractor shall include, as a minimum, the following i:
invoice date;
such purchase order number as may have been supplied by POCL to the
Contractor;
Invoicing Period;
the Contractor’s address and reference number for ACT purposes;
the Contractor’s VAT number
the POCL invoice address;
the total charge per POCL Service;
Service Credits applied;
discounts for early invoice sertlement;
other adjustments made.
Optional Product & POCL Consumables invoice submitted:
(b)
(c)
(d)
invoice date;
the purchase order number;
the Contractor's address and reference number for ACT purposes;
the POCL invoice address;
the delivery point;
the delivery date;
61
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(g) description of goods supplied;
(h} quantity of goods supplied
w unit price of goods supplied;
oO total invoice value excluding VAT;
(k) VAT charged;
@ total invoice value.
In addition, the Contractor shall provide to POCL together with such invoice, a goods
received notice (GRN) in respect of the goods to which such invoice relates.
In addition to paragraph 5.5, the Contractor shall include, as a minimum, on each
invoice for Operational Business Change those additional invoice details set out in the
Operational Business Change Catalogue.
Application of Service Credits
Each Invoice in respect of Charges payable under Schedule Al2 or otherwise
pursuant to the Codified Agreement shall be calculated as follows:
fa} calculate the gross Charges due in respect of the period to which the Invoice
relates; then
(b) adjust for any remedies due to POCL in accordance with Clause 802.2 of the
Codified Agreement; then
{e} adjust for any credits due to POCL and for any remedies carried forward from
previous invoices in accordance with paragraph 6.2.
In the event that remedies due in respect of any Invoicing Period equal or exceed the
gross Charges for that Invoicing Period, then POCL shall make no payment in respect
of the invoice relating to that Invoicing Period. Unless POCL exercises its option
under Clause 802.2 of the Codified Agreement to recover liquidated damages as a
payment to it, then any balance of remedies due to POCL shall be carried forward
and the adjustment to the first and subsequent interim invoices in respect of the
following Inveicing Period sha!] take account of such carried forward remedies.
Final Year Retention
For the penultimate and pre-penultimate invoices in the final quarter of the Codified
Agreement, the Contractor shall:
7.2
7.3
7.4
81
8.2
{a} submit to POCL documentation supporting 100% (one hundred percent) of
the Charges payable in accordance with this Schedule; and
(b) submit to POCL an invoice equal to 80% (eighty percent) of the Charges
calculated in accordance with sub-paragraph (a) above.
POCL shall pay to the Contractor the value of the invoice submitted in accordance
with sub-paragraph 7.1{b) plus VAT at the prevailing rate.
The final invoice for the final Financial Year of the Codified Agreement shail include:
(a) a calculation of all moneys outstanding to the Contractor (including the
retentions referred to in paragraph 7.1(b));
(b) less any adjustments in respect of discounts and remedies;
(c) plus an amount equal to interest on the amounts retained pursuant to
paragraph 7.1 at a rate per annum equal ro LIBOR plus 1 per cent for the
periods of the retentions;
(da) plus VAT at the prevailing rate.
POCL shail pay to the Contractor the value of the invoice submitted in accordance
with paragraph 7.3.
Invoicing point
The Contractor shall submit invoices relating to POCL Services to the following
address:
fanager, ‘GRO
The Horizon Commerci
The Contractor shall submit invoices relating to Optional Products and POCL
Consumables to the following address:
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Invoice Matching Section,! GRO
Payment of invoices
The Horizon Commercial Manager shail review the invoices and shall authorise valid
invoices for payment.
Payment of Charges in relation to the POCL Services performed hereunder shall be
made:
9.3
10.2
10.3
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@ in the case of each Progress Payment, by the later of (a) thirty days of that
Progress Payment falling due and (b) twenty-three days after receipt by POCL
(at its nominated address for invoices) of a valid invoice for that Progress
Payment;
ap in the case of that part of the Roll Out Payment of £68 million payable on CSR
Acceptance of the Core System pursuant to paragraph 1 of Schedule A12, by
the later of (a) thirty days of such payment falling due and (b) twenty-three
days after receipt by POCL (at its nominated address for invoices) of a valid
invoice for such payment;
Gii) in the case of payments to which Clause 301.10.2 applies, as agreed by the
parties at the time; and
Civ} in the case of other amounts, within thirty days after receipt by POCL (at its
nominated address for invoices) of a valid invoice for such amounts.
Payments will be made by POCL to the Contractor by Automated Credit Transfer
(ACT) unless otherwise specified by POCL.
Disputes arising from invoices
In the event of any dispute arising from an invoice submitted by the Contractor to
POCL, then the Contractor and POCL will make reasonable endeavours to resolve the
dispute within fifteen (15) calendar days of the invoice date.
if the dispute is nor resolved within fifteen (15) calendar days of the invoice date,
either the Contractor or POCL may escalate the dispute to the Contractor’s Contract
Manager or to the POCL Horizon Commercial Manager respectively for discussion at
the next meeting of the Contract Steering Group which meeting may be convened by
either party on seven days’ notice. In such cases the party escalating the dispute shall
inform the other that the invoice dispute is to be discussed at the meeting.
In the event that an invoice dispute cannot be resolved via the Contract Steering
Group meeting, either party to the dispute may invoke the Dispute Resolution
Procedure set out in Clause 807.
CA991S30.019
SCHEDULE All - ACCEPTANCE PROCEDURES-
rs)
ACCEPTANCE PROCEDURE FOR CORE SYSTEM
ACCEPTANCE TESTING
The Acceptance Procedure for Acceptance of the Core System (“CSR
Acceptance”) shall be as set out in this Schedule.
in respect of CSR Acceptance there will be agreed:~
a)
ab
Gili)
(iv)
as cceptance Criter!
a set of Acceptance Specifications (the “CSR Acceptance Specifications”)
as described in Annex 1 tc this Schedule;
a set of Acceptance Tests (the “CSR Acceptance Tests”) being Acceptance
Trials or Acceptance Reviews as described in Annex 1 to this Schedule;
an Acceptance timetable including, inter alia, a CSR Core Observation
Period;
a Final Deadline for CSR Acceptance; and
a CSR Operational Trial Review Period (being the three week
immediately following the end of the CSR Core Observation Period).
For the purposes of paragraph 1.2 above:-
all Acceptance Specifications have been agreed and are contained in the
CCNs listed in Annex 2 to this Schedule; and
the Acceptance timetable for CSR shail be consistent with Schedule BO9
and the Final Deadline for CSR Acceptance and the CSR Oper:
Trial Review Period shall be as set out in Schedule BO9,
nal
REQUIREMENTS FOR CSR ACCEPTANCE
Subject to any extension pursuant to paragraph 2.4 of this Schedule CSR.
Acceptance will occur once:
ie)
Gi)
the CSR Acceptance Tests have been carried our successfully;
the CSR Core Observation Period and the CSR Operational Trial Review
Period have expired;
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N
is)
2.3
2.4
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Gii) the thresholds referred to in paragraph 2.2 of this Schedule have been
met as at the end of the CSR Core Observation Period taking into
account all substantive faults raised by POCL beyond those defined in
the CSR Acceptance Specifications, as described in paragraph 7,1(d) of
this Schedule; and
(iv) a timetable has been agreed between the parties to resolve all
outstanding faults falling within the category described in paragraph
7.1(b) of this Schedule (‘category (b) faults”).
The thresholds will not be met if in respect of CSR Acceptance there are:
one or more high severity deficiencies as categorised in paragraph
7.1(a) of this Schedule { “category (a) faults”);
Gi more than 20 category (b) faults; or
(iii) more than 10 category (b) faults in respect of any one CSR Acceptance
Specification.
lt is acknowledged that if a CSR Acceptance Test is repeated following
corrective work by the Contractor, POCL shall have the right to test for and
raise new faults which may be caused by that corrective work or may come to
light only as a result of that corrective work.
It is agreed that, notwithstanding the provisions of paragraph 2.1 of this
Schedule, if at the end of the CSR Core Observation Period all CSR Acceptance
Tests have been carried out and the thresholds referred to in paragraph 2.2 of
this Schedule have not all been met, POCL shall permit the Contractor to repeat
the relevant CSR Acceptance Tests in the two week period following the end of
the CSR Core Observation Period provided that POCL is given sufficient
opportunity to review the results of such CSR Acceptance Tests to its reasonable
satisfaction prior to the end of the CSR Operational Trial Review Period.
Subject to paragraph 2.3 of this Schedule, once all Acceptance Tests have been
successfully carried out and the CSR Core Observation Period has expired, no
new Acceptance Incidents may be raised. For this purpose, a “new Acceptance
Incident” is an Acceptance Incident which had not occurred before the end of
the relevant CSR Core Observation Period and does not include Acceptance
Incidents which occurred before the end of the CSR Core Observation Period
but were not reported until after that date, provided always that POCL shall
report to the Contractor an Acceptance incident within seven days of the
relevant POCL test manager identifying or being notified of the same.
If, at the end of the CSR Operational Trial Review Period the parties do not
agree as to whether the Core System Release should be accepted, the provisions
of paragraph 6 of this Schedule shall apply.
3.
3.2
3.3
3.4
5.1
wn
ie)
_ CONSEQUENCES OF FAILURE TO ACHIEVE CSR ACCEPTANCE
If CSR Acceptance is not achieved at the end of the CSR Operational Trial
Review Period the Contractor shall be entitled to a period of three months in
which to remedy the defaults, which (subject to paragraph 6.9 of this Schedule)
it shall do at its own expense. Upon the expiry of that period, or at such e. T
date as the parties shall agree, the Core System Release shall be re-submitted in
its entirety for Acceptance testing (the “Second CSR Acceptance Test”).
if CSR Acceptance is not successfully achieved at the end of the Second CSR
Acceptance Test then POCL shall have the right to terminate the Codified
Agreement, but without prejudice to all other remedies available to POCL under
the Codified Agreement and otherwise and without prejudice to paragraph 3.3
of this Schedule.
Schedule LS of this Codified Agreement (liquidated damages to a maximum of
13 weeks of delay) shail apply on failure to achieve CSR Acceptance by 30th
September, 1999 and on failure to achieve the CS Completion Date by 31st
March, 2001 (as such date is adjusted to reflect any delay in CSR Acceptance),
in both cases where such delay is due to Default by the Contractor.
If CSR Acceprance has not been achieved by the Finaj Deadline for CSR
Acceptance as listed in Schedule BO9 then POCL shall be entitled to serve a
notice upon the Contractor under this paragraph, whereupon the Contractor
shall be deemed to have failed the Second CSR Acceptance Test in accordance
with paragraph 3.2 of this Schedule.
CONSEQUENCES OF ACHIEVING CSR ACCEPTANCE
Upon Acceptance of the Core System Release the Release Authorisation Board
shali decide whether or not to authorise national rallout of the Core System.
APPOINTMENT OF EXPERT
The parties have agreed to appoint an expert (the “Expert”) as soon as
reasonably practicable to assist in resolving disputes relating to CSR
Acceptance.
The Expert shail be Peter Copping of PA Consulting or, if he has a con of
interest or is unavailable, such other partner of PA Consulting as shall be:
y) qualified to resolve such disputes:
ii} independent of both parties; and
(iil) approved by both parties, such approval not to be unreasonably
withheld.
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5.4
6.1
6.3
6.5
6.6
In the event that no other partners of PA Consulting shall be available and meet
the Criteria in paragraphs 5.2(i) and (ii) above, the Expert shall be appointed at
the request of POCL or the Contractor by the President for the time being of the
Institute of Electrical Engineers so long as such appointee shall meet the criteria
in paragraphs 5.2(i) and (ii) above.
The Expert shal! act as an expert and not an arbitrator and his fees shall be
borne by the parties in equal shares.
ACCEPTANCE DISPUTES
If paragraph 2.6 of this Schedule applies and/or POCL and the Contractor do
not agree on:
qi) the CSR Acceptance Specifications;
Gi whether an event or occurrence is an Acceptance Incident; or
Gil} the assigned severity of an Acceptance Incident:
the parties will refer such dispute (the “Dispute”) to the Expert to obtain initial
guidance. The parties do not expect that the identification and notification of
the Dispute, reference of the Dispute to the Expert and obtaining his initial
guidance should take longer than seven days.
Once the Expert has given to the parties his initial guidance on the Dispute, the
Managing Director of POCL and the Commercia! Director of ICL shall meet an
attempt to resolve the Dispute with the advice and guidance of the Expert.
If the Dispute is not resolved during the meeting pursuant to paragraph 6.2
above, then the Expert shall be required to make a decision (the “Decision”) as
to how the Dispute should be resolved.
Once the Decision has been made, the Managing Director of POCL and the
Commercial Director of ICL shall meet to review and respond to the Decision.
The Decision shall be binding unless vetoed by POCL in accordance with
paragraph 6.6 below.
POCL may veto the Decision if:
fa) POCL disagrees with the Decision and provides to the Contractor written
reasons for such disagreement; and
(b) asserts a Veto Ground (as defined in paragraph 6.8 of this Schedule).
If POCL vetoes the Decision, the Managing Director of POCL and the
Commercial! Director of ICL shall meet and attempt to resolve the Dispute. If
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6.8
6.9
6.11
they fail to resolve the Dispute within three working days of either party
requesting a meeting for that purpose then the Chief Executives of the Post
Office and of ICL shall meet and attempt to resolve the Dispute. However,
unless and until otherwise agreed, the veto will stand.
Each of the following shall be a Veto Ground, namely if the issue:-
@ materially affects POCUs ability to settle with clients in a timely and
accurate way;
ai) materially affects POCLs ability to transact with sub-postmasters in a
timely and accurate way;
(iii) is Ukely to materially and adversely affect POCL customers in areas
covered by service level agreements;
(iv) materially affects ical operational processes necessary for the running
of POCL;
{v) materially compromises the integrity of Post Office accounting systems;
or
(vi) is Likely to lead to the qualification of Post Office accounts or those of its
subsidiary companies.
If POCL vetoes a Decision and that Decision was in favour of the Contractor
then sub-paragraph 3.1 of this Schedule shall apply save that the direct costs of
and associated with such extra work as shall be required as a consequence of
the exercise of the veto shall be dealt with in accordance with paragraph 6.10
of this Schedule. If, but for POCL vetoing a Decision in favour of the Contractor,
CSR Acceptance would have been achieved, and the Acceptance Test in
question was the Second CSR Acceptance Test, it shall be deemed to have been
the first.
The direct costs of and associated with the extra work referred to in paragraph
6.9 of this Schedule shall initially be borne by POCL. However, POCL shail be
entitled to refer the Expert's decision in relation to the Dispute to an arbitrator
in accordance with paragraphs 6.11 and 6.12 of this Schedule. If the arbitrator
rules in favour of POCL in respect of the Dispute then the Contractor shall,
within seven days of the arbitrator's decision, refund to POCL the amount so
borne by POCL, together with interest thereon from the date when the Dispute
was referred to the arbitrator until the date of payment thereof at a commercial
rate determined by the arbitrator.
Any matter referred to arbitration by POCL pursuant to paragraph 6.9 of this
Schedule shall be finally settled under the Rules of Arbitration of the
international Chamber of Commerce (“ICC”) by one arbitrator appointed in
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7A
7.3
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accordance with the said rules (or under such other arbitration procedure as the
parties shall agree).
The place of arbitration shall be London, the governing law of the arbitration
shall be English and the language of the arbitration shall be English.
ACCEPTANCE DEFICIENCIES
The Contractor shall analyse each Acceptance Incident in accordance with the
guidelines defined in the relevant Acceptance Specification, and categorise each
Acceptance Incident within the following principles: .
(ay failure to meet an Acceptance Criterion essential te the Deliverable or
POCL Service shall be designated a high severity deficiency;
(b} failure to meet an Acceptance Criterion which is highly desirable for the
Deliverable or POCL Service shall be designated a medium severity
deficiency;
(c) failure to meet an Acceptance Criterion which is desirable for the
Deliverable or PO shall be designated a low severity
deficiency;
(d} an Acceptance Incident which does not relate to an Acceptance
Criterion, but which identifies a failure to meet any other obligation
under this Codified Agreement and, in the reasonable opinion of POCL,
represents a substantive fault equivalent to, and categorised according
to, part (a), (b) or (ec) of this paragraph; or
(e} none of the above.
Other than for category (e) above, the analysis of an Acceptance Incident shall
not of itself be sufficient to resolve the Acceptance Incident. Resolution of an
Acceptance Incident shall only occur when the deficiency or fault has been
corrected by the Contractor and the relevant parts of the Acceptance Test have
been repeated without further category (a), (b) or (c) Acceptance Incidents
arising.
POCL may, at its sole discretion and in accordance with Clause 612, waive in
writing the resolution of an Acceptance Incident and deem it resolved.
n
vw
to
3.1
Annex 1 to Schedule AlL
An Acceptance Test shall take the form of one or more Acceptance Trials as
defined in paragraph 2 of this Annex, one or more Acceptance Reviews as
defined in paragraph 3 of this Annex, or combinations thereof.
ACCEPTANCE TRIALS
An Acceptance Trial shall consist of one or more of the following:
(a) inspection of any system used to provide a POCL Service;
(b) demonstration of any system used to provide a POCL Service;
(¢) running a real or simulated operational workload on any system used to
provide a POCL Service;
(d) monitoring provision of a POCL Service over a trial period to verify
performance to the Service Levels specified in the POCL Service.
The scope and conduet of any Acceptance Trial proposed shall be documented
in the Acceptance Specification and the Acceptance Trial shall not commence
until the Accepta Specification has been approved by POCL.
(a) inspection of a Deliverable (e.g. a document) by one or more competent
ers nominated by POCL;
(b} inspect by one or more competent reviewers nominated by POCL of
documentary evidence that a POCL Service has be
n provided;
(c} a meeting between POCL and the Contractor at which one or more of
the following occur:
i. Deliverables or documentary evidence are inspected;
ik, a presentation is given by the Contractor;
iii. the results of prior inspections, visits or presentations are
reviewed and the outcome agreed
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3.2 The scope and conduct of any Acceptance Review proposed shall be
documented in an Acceptance Specification and the Acceptance Review shall
not commence until th: Acceptance Specification has been approved by POCL.
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Annex 2 to Schedule All
CCNs Containing Agreed Acce ptance Specifications for CSR
0370
0378
0379
0380 ~
0381
0382
0383
0388
0458
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SCHEDULE Ai2 - CHARGING MECHANISM
PART A - CORE SYSTEM CHARGES
1. Roll Out Payment
The Contractor shall be paid the Roll Out Payment subject to and in accordance with
this Schedule. Of this Roll Out Payment, £480 million shall be paid in four equal
Progress Payments (subject to paragraph 7.2 and to retention described below), one
Progress Payment to become due on each of the dates set out in column 2 of the
table below or, if later, upon achieving Roll Out to the cumulative number of Outlets
set out against that date in column ] and the final Progress Payment to become due
in accordance with paragraph 4.3 of this Schedule A12.
1. Cumulative number of Outlets in 2. Date
the Roll Out Programme
1,800 1/11/1999
5,590 1/5/2000
10,680 1/11/2000
The remaining £68 million of the Rol] Out Payment (in addition to the £480 million
described above) will be payable to the Contractor in accordance with Schedule A10
on CSR Acceptance.
A retention of 25% shall be withheld from each Progress Payment (prior to the -
application of paragraph 7.2 below).
2. Firse Availability Fee
Upon the later of (i) approval by the Release Authorisation Board of CSR+ and (ii) 1
January, 2001, the sums retained on the first two Progress Payments (the “First
Retention Sum”) shall be converted into an availability fee (the “First Availability
Fee”) to be paid as described below.
At the end of each calendar month following conversion of the First Retention Sum,
POCL shall (subject to paragraph 3.3 below) be due to pay to the Contractor in
respect thereof an amount equal to the First Retention Sum divided by the lesser of
48 and the number of months from the date of such conversion to 31 March 2005
until the full amount of the First Retention Sum is paid.
31
3.2
3.4
3.6
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Second Availability Fee
Following the end of the first period of three consecutive months occurring after the
CS Completion Date during which in each month the Contractor shall have achieved
Service Levels which relate to the performance (as opposed to the operation) of the
Core System which exceed the Termination Review Thresholds (as referred to in
Schedule AO6) the sums retained on the third and fourth Progress Payments (the
“Second Retention Sum”) shall be converted into a further availability fee (the
“Second Availability Fee”) to be paid as described below.
At the end of each calendar month following such conversion of the Second
Retention Sum, POCL shall (subject to paragraph 3.3 below) be due to pay to the
Contractor in respect thereof an amount equal to the Second Retention Sum divided
by the lower of 48 and the number of months from the date of such conversion to 31
March 2005 until the full amount of the Second Retention Sum is paid.
If in the event that after nine months following the CS Completion Date, completion
of National Roll Out (by reference to the Roll Out Programme as the same may be
amended through change control} has not been achieved, then retentions from the
First and Second Availability Fees will be made in accordance with paragraph 3.4
below.
The amount of the retention to be made pursuant to paragraph 3,3 from each
monthly payment in respect of the First and Second Availability Fees shall be
whichever is the lesser of:-
3.4.1 the whole of the monthly payment; and
3.4.2 such amount as would bring the total amount withheld to the Relevant
Percentage of £19 million.
Tf, on any date on which payment of any monthly payment in respect of any
Availability Fee shall be due, the net amount of all retentions made pursuant to
paragraph 3.4 less those released pursuant to this paragraph 3.5 exceeds the
Relevant Percentage of £19 million then POCL shall on that date refund to the
Contractor the difference.
For the purpose of this paragraph 3, “Relevant Percentage” shall mean, in respect of
any date when any monthly payment in respect of any Availability Fee shall be due, a
percentage equal to the number of Outlets remaining to be installed as at close of
business on the day falling five business days prior to that date, expressed as a
percentage of the number of Outlets which remained to be installed, as at the CS
Completion Date, in order to achieve National Roll Out.
Upon completion of National Roll Gut the remaining balance of the amounts
retained pursuant to paragraph 3.3 shall be released in full to the Contractor.
4.3
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Progress Payments
All Progress Payments to the Contractor will be made in accordance with Schedule
AlO.
In the event that Acceptance of the Core System is delayed as a result of the Default
of POCL then payment of the next Progress Payment following the delay will be
adjusted in accordance with Clause 606.2 of the Codified Agreement .
The final Progress Payment will be due on the date of completion of National Roll
Out or, if National Roll Out has not been completed by 31 March, 2001, on the later
of 31 March, 2001 and the CS Completion Date.
In the event that, as a result of the Default of POCL, any date in the Roll Out
Programme is not met then the relevant Progress Payments will be adjusted in
accordance with Clause 606.2 of the Codified Agreement.
For the avoidance of doubt, transition costs associated with converting existing
Benefits Agency customers with benefit payment cards back to order books have not
been taken into account in calculating the charges set out in this Schedule.
Cperating payments
For the purposes of this paragraph 5S:
‘Adjustment Amount” means, in respect of each Operating Fee Period, an amount
equal to the difference between the Periodic Payment for that Operating Fee Period
and the Adjusted Periodic Payment for that Operating Fee Period;
“Adjusted Periodic Payment” means, in respect of each Operating Fee Period, the
RPI Base Adjusted Amount for that Operating Fee Period multiplied by the RPI Factor
for that Operating Fee Period;
“Monthly Operating Fee” has the meaning ascribed thereto in paragraph 5.3 below;
“Operating Fee Period” means each of the periods contained in column 1 of the
table set out in paragraph 5.2 below;
“Periodic Payment” means, in respect of each Operating Period, the amount set out
against that Operating Period in column 2 of the table set out in paragraph 5.2
below;
“RPI Base Adjusted Amount” means, in respect of each Operating Fee Period, the
RPI Base Amount for that Operating Fee Period multiplied by the RPI Base
Adjustment Factor.
“RPI Base Adjustment Factor” means, in respect of each Operating Fee Period, A
divided by B where:
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A = the Periodic Payment for that Operating Fee Period after adjusting for all
permitted non-payments, reductions and adjustments accrued in respect of that
Operating Fee Period under paragraphs 5.5, 5.6 and 5.9 of Schedule A12; and
B = the Periodic Payment for that Operating Fee Period;
“RPI Base Amount” means, in respect of each Operating Fee Period, the amount set
out against that Operating Fee Period in column 3 of the table set out in paragraph
5.2 below;
“RPI Factor” means, in respect of each Operating Fee Period, a percentage equal to
the sum of:
(i) 160%; plus
ii) the difference, expressed as a percentage of 163.7, between the level
of RPI in respect of the RP] Reference Month for May, 1999 (163.7)
and the level of RP! in respect of the RPI Reference Month for the last
month in that Operating Fee Period;
“RPI Reference Month” means, in respect of any month, the month commencing
three calendar months before the beginning of that month (so that, for example, the
RPI Reference Month for December, 2001 shall be September, 2001); and
“87% Date” means the date on which Roll Out shall have taken place in 87 per cent.
of all Outlets then planned to be installed under Part A of the Roll Out Programme
(as updated from time to time pursuant to the Change Control Procedure).
5.2 The Table
1. 5 ° ~
Operating Fee Period periodic Payment RPI base Amount
1/4/2001 - 31/12/2001 £63.0m £59.1m
1/1/2002 - 31/12/2002 £85.0m £77.8m
1/1/2003 - 31/12/2003 £87.0m £77.7m
1/1/2004 - 31/12/2004 £81.0m £70.6m
1/1/2005 - 31/3/2008 £21.0m £18.1m
5.3 In addition to the Roll Out Payment referred to in paragraph 1 above, subject to the
remaining sub-paragraphs of this paragraph 5, further payments with respect to
operating the Core System (the “Monthly Operating Fee”) shall be made ona
5.4
5.5
5.6
5.8
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monthly basis from 1 April, 2001 in accordance with this paragraph 5. The Monthly
Operating Fee in respect of each Operating Fee Period shall be calculated by dividing
the Periodic Payment for that Operating Fee Period by the number of months in that
Operating Fee Period.
The Monthly Operating Fee shall be payable in accordance with Schedule A10.
If by 31 March, 2001 the CS Completion Date shall not have been achieved but the
87% Date shail have been achieved then in respect of each month which falls before
the CS Completion Date the Monthly Operating Fee shall be reduced by multiplying
it by the fraction equal to the number of Outlets in respect of which Roll Out shall
have taken place by the end of that month divided by the number of Outlets in
respect of which Roll Out is required in order for the CS Completion Date to be
achieved.
if by 31 March, 2001 the 87% Date shall not have been achieved then the Monthly
Operating Fee shall not commence unti! the month in which the 67% Date is
achieved,
For the avoidance of doubt, reimbursement to the Contractor of all operating and
maintenance costs incurred prior to the Monthly Operating Fee becoming payable is
included within the Roll Out Payment referred to above.
The Periodic Payments assume an RPI of 2,5% per annum from 24th May, 1999 until
31st March, 2005, In the event that RPI is not equal to 2.5% per annum over this
period the Monthly Operating Fee shali be subject to adjustment at the end of each
Operating Fee Period as follows:
5.8.1 Prior to issue of the invoice relating to the Monthly Operating Fee payable in
respect of the final month in each Operating Fee Period the Contractor shall
calculate:-
(a} the aggregate of all Monthly Operating Fees paid or payable by POCL
in respect of that Operating Fee Period;
(b) the RPI Factor in respect of that Operating Fee Period;
{e) the RPI Base Adjusted Amount in respect of that Operating Fee Period;
{d) the Adjusted Periodic Payment in respect of that Operating Fee Period;
and
{e} the Adjustment Amount in respect of that Operating Fee Period
and shall, with the invoice for that final month, send to the Horizon
Commercial Manager at POCL details of those calculations.
8.9
5.10.2
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5.8.2 If in respect of any Operating Fee Period the Adjusted Periodic Payment is
greater than the Periodic Payment then the Monthly Operating Fee in respect
of the final month in that Operating Fee Period shall be increased by an
amount equal to the Adjustment Amount for that Operating Fee Period.
5.8.3 If in respect of any Operating Fee Period the Adjusted Periodic Payment is less
than the Periodic Payment then the Monthly Operating Fee in respect of the
final month in that Operating Fee Period shall be reduced by an amount equal
to the Adjustment Amount for that Operating Fee Period.
The parties acknowledge that with effect from the CS Completion Date the Monthly
Operating Fee includes:
@ a Transaction volume cost element of 7%, which is based upon the
Transaction volume forecast as set out in Annex 2 to this Schedule; and
ap an Outlet cost element of 32%, which is based upon the parties’ intention that
the Contractor will roll out the Core System to 18,527 Outlets.
The amount of the Transaction volume cost element shall be adjusted for each month
by multiplying it by the proportion which the actual Transaction volume (calculated
in accordance with Annex 3 to this Schedule 4) in respect of that month bears to the
Transaction volume forecast in respect of that month (ascertained by dividing by 12
the annual forecast for the relevant year set out in Annex 2 to this Schedule A12).
The Outlet cost element shall be adjusted for each month by multiplying it by the
proportion which the average number of Outlets to which Roll Out had occurred
during that month (calculated by adding the number of Outlets to which Roll Out
had occurred on the last day of that month to the number to which Roll Out had
occurred on the last day of the immediately preceding month and dividing by two)
bears to 18,527.
In respect of the following Outlets Roll Out shall take place under the Operational
Business Change regime (subject to paragraph 5.10.2), namely:-
(a) those Outlets in Part B of the Roll Out Programme; and
(b) those Outlets in Part A of the Roll Out Programme in respect of which, after
the Outlet has been made ready for installation, circumstances arise (other
than as a result of Default by the Contractor or where such Outlet requires a
Mobile Counter Configuration which has not been made available by the
Contractor to the reasonable satisfaction of POCL) which make it impractical
to complete such installation prior to 12 February, 2001.
The cost of installation of Outlets as Operational Business Change as referred to in
paragraph 5.10.1 is included in the Roll Out Payment (but without prejudice to the
provisions of paragraph 6.1 of, and Annex 4 to, this Schedule A12) and shall be
disregarded for the purposes of calculating other charges payable from time to time
5.10.3
§.16.4
a
_
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in respect of Operational Business Change, except, in each case, where the work
carried out in respect of the Outlet takes place after the end of the week commencing
14 May, 2001 (other than where the delay in carrying out such work arises as a
result of Default by the Contractor or where such outlet requires a Mobile Counter
Configuration which had not been made available by the Contractor to the
reasonable satisfaction of POCL). Where the aforesaid exception applies the
Contractor may be required to carry out the relevant work as Operational Business
Change but subject to the normal Operational Business Change charges applicable to
that work,
Subject to paragraph 5.10.4, Outlets which are transferred to the Operational
Business Change regime under paragraph 5.10.1 will be taken into account in
calculating the total number of Outlets at which installation of counter equipment is
to take place for the purpose of determining whether POCL is entitled to make a
retention, or required to refund any retention, under paragraph 3 of Part A of
Schedule A12.
Where pursuant to paragraph 5.10.1(b) above an Outlet becomes subject to the
Operational Business Change regime and by 30 June, 2001 POCL shall have failed to
instruct the Contractor to schedule that Outlet for installation of counter equipment
by 30 November, 2001 then (excepr where such failure is as a result of a Default by
the Contractor or where such Outlet requires a Mobile Counter Configuration which
shall not have been made available by the Contractor to the reasonable satisfaction
of POCL):
(a) that Outlet will cease to be taken into account in calculating the number of
Outlets requiring to be installed for the purpose of determining whether
POCL is entitled to make a retention, or required to refund any retention,
under paragraph 3 of Part A of Schedule A12; and
(b) the Contractor shall not be obliged to carry out the installation of counter
equipment in that Outlet under paragraph 5.10.2 abave, but may be required
to do so as Operational Business Change, subject to the normal Operational
Business Change charges applicable to that work.
The above Charges are based on the POCL Services comprised in the Core System
Release. For the avoidance of doubt the payments cover all the Contractor’s costs
relating to all aspects of the Core System, including without limitation maintenance
of the POCL Service Infrastructure, help desk support, all telecoms charges including
line costs and usage charges, and Management Information Systems.
Infrastructure programme in Outlets
In respect of the cost of site preparations in and modifications to Outlets, the
Contractor and POCL have agreed (i) a budget and contributions thereto and (ii) the
allocation of responsibility as to which party is to bear the cost of actual costs
exceeding budget costs as set out in Annex 4 to this Schedule.
6.2
6.3
7A
7.2
7.4
75
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In addition the Contractor will provide flat screens in all non-crown post offices for
no additional charge,
The reasonable costs of maintaining power supply at National Lottery node post
offices are to be borne by the Contractor.
In office data migration and training credit
POCL and the Contractor shall comply with their respective obligations in relation to
in-office data migration set out in the Migration Specification.
In consideration for POCL agreeing to carry out the work referred to in paragraph
7.1 above:-
7.2.1 the first Progress Payment referred to in paragraph 1 of this Schedule A1l2
shall be reduced by £500,000 and each of the three subsequent Progress
Payments shall be reduced by £1,500,000;
7.2.2 Pathway shall provide to POCL 25 training courses (excluding refresher
courses) in accordance with the Migration Specification; and
7.2.3 Pathway shall provide to POCL 25 laptops in accordance with the Migration
Specification.
Each training course in addition to the 25 training courses referred to in paragraph
7.2.2 which POCL may require Pathway to provide shall be charged at a rate of
£6,345 per initial course and £2,135 per refresher course,
Subject to paragraph 7.5, each laptop in addition to the 25 laptops referred to in
paragraph 7.2.3 which POCL may require Pathway to provide shall be charged at a
rate of £1,285 per laptop.
To the extent that POCL reasonably requires more than 25 laptops in order to comply
with its obligations under paragraph 7.1 as a result of the distribution of ECCO +
Outlets in the Roll Out Programme, then Pathway shall provide to POCL such
additional laptops at no additional charge.
The Contractor shall provide training for POCL staff and sub-postmasters in the use
of the Core System in accordance with CCN 286(d), as modified to take account of
the removal of the Benefit Payment Card and to provide POCL with training to a
value equivalent to the costs saved under CCN 286(d) as a result of the removal of
the Benefit Payment Card.
8.1
8.2
8.3
PART_B - CHARGES FOR SERVICES AND PRODUCTS OTHER THAN CORE SYSTEM
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SERVICES
Optional POCL Services
Operational Business Change
POCL shall pay for the cost of the Contractor carrying out Operational Business
Change in excess of the limits set out in Annex 5 to this Schedule Al2 on an
incremental basis at marginal cost plus 10 per cent. Prices for such Services and for
other Services which are to be treated as Operational Business Change shall be
agreed by the parties as soon as practical in accordance with the principles set out in
the Operational Business Change Catalogue.
Out of Hours Support (Site Visits)
Out of Hours Support (site visits) shall be charged at the hourly rates set out in the
table below.
Period Rate per person/hour
From 01/01/1999
(RPI Baseline)
Outside POCL Core Day £58.55
Saturdays and Sundays £69.49
Public holidays £79.84
Call-out charge £106.45
Training post Roll Out and turnover trainin,
Training provided by the Contractor post National Roll Out and turnover training
shall be charged at the following rates:-
9.
10.
iL.
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10
Training Charge from 01/01/1999 (RPI Baseline)
Counter staff training £1,541 per course (maximum of ten (10) delegates)
Systems manager £ 2,055 per course (maximum of four (4) delegates)
training
Remedial visits £822 per Outlet, plus expenses
The operational element of POCL Client Services provided by the Contractor shall be
charged at the Contractor's marginal running costs.
Additional POCL Services
Charges for Additicnal POCL Services shall be as agreed between POCL and the
Contractor from time to time.
Core System Products
The costs of supply of Core System Products are included within the Charges referred
to in Part A of this Schedule Al2.
Optional Products
The Charges for Optional Products shall be the manufacturer's recommended list
prices from time to time less the following discounts:-
Product Discount
Back-office printer 20%
Counter printer 40%
PC including 8 port card and NT, 40%
with/without ISDN card & software
Keyboard 40%
Bar code reader 40%
Monitor with touch screen 40%
14.
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1i
Electrical Wiring
Electrical wiring carried out by the Contractor pursuant to Clause 406.2 of the
Codified Agreement or in connection with Operational Business Change shall be
charged in accordance with whichever of the following is the relevant measured term
book for such work, plus 15 per cent.:-
- Luckins (latest edition)
- Trade Service Information (latest edition)
- Prestige ESP 5 Estimating Package.
Where such rates are not applicable, charges shall be calculated on a time and
materials basis as follows:
Item Charge From 01/01/99
(RPI Baseline)
Electrical labour, normal working hours £31.93 per hour
Materials Cost to the Contractor’s subcontractor
plus 30%
Time and Materials Rates
Wherever in the Codified Agreement or any of its schedules Services are to be
supplied by the Contractor on a time and materials basis, the following rates will
apply, a working day being classified as 09.00-17.30 Monday to Thursday and 09.00-
17.00 on Friday:
Professional services Rate per working day
From 01/01/1999 (RPI Baseline)
Software engineer £798
Project Manager £958
Senior Consultant (1) £1,277
Senior Consultant (2) £1,685
Senior Management £1,926
15.
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12
The above charges will be subject to discounts for continuous periods of at least six
months, based on a five (5} day working week excluding public and bank holidays.
‘Travel and subsistence will be chargeable separately.
Where further releases of Core System software are provided by the Contractor on
the basis of appropriate time and material charges pursuant to Clause 301.10 of the
Codified Agreement:
{a} POCL shall also reimburse to the Contractor all expenses directly
incurred by the Contractor in connection with such further releases;
and
(b) such charges shall be invoiced monthly in arrears.
Adjustment to Charges
The Charges in paragraphs 8.2, 8.3, 13 and 14 shown as being from 01/01/1999
shall be subject to increases with effect from 01/01/2000 and annually thereafter
during the term of this Codified Agreement. Such increases will be capped at the
percentage increase in RPI as measured by comparison to the RPI index of twelve
months earlier eg. the increase applied with effect from January 2000 would be
capped at the difference between the All Items RPI Index at December 1998 and
December 1999 (the percentage increase to be applied shall be taken to two decimal
places),
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13
ANNEX 1 TO SCHEDULE Al2
Roll Out Programme
PartA
Week Commencing Number of Outlets (inc. live trial)
Already rolled out 299
23/08/99 . 22
30/08/99 44
06/09/99 64
13/09/99 94
20/09/99 165
27/09/99 188
04/10/99 205
11/10/99 205
18/10/99 203
25/10/99 203
01/11/99 203
08/11/99 203
15/11/99 203
22/11/99 203
29/11/99 o
06/12/99 9
13/12/99 9
20/12/99 id
27/12/99 ie
93/01/00 9
10/01/00 183
17/01/00 305 “
24/01/00 305
31/01/00 305
07/02/00 305
14/02/00 305
21/02/99 305
28/02/00 305
06/03/99 308
13/03/00 306
20/93/00 306
27/03/00 306
03/04/00 306
10/04/90 306
17/04/00 244
24/04/00 244
01/05/00 244
08/05/00 306
15/05/00 306
22/05/00 306
29/05/00 244
05/06/00 306
12/06/00
19/06/00
26/06/00
05/07/00
10/07/00
17/07/00
24/07/00
31/07/00
07/08/00
14/08/00
21/08/00
28/08/00
04/09/00
11/09/00
18/09/00
25/09/00
92/10/00
09/10/00
16/10/00
23/10/00
30/10/00
06/11/00
13/11/00
20/11/00
27/11/00
04/12/00
11/12/00
18/12/00
25/12/00
01/01/01
08/01/01
45/01/01
22/01/01
29/01/01
05/02/01
Sub total
14
306
181
17,797
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is
Part B
Qutlets to be Rolled Out under
Pp! ess Chang
Week Commencing Number of Outlets
12/02/01 155
19/02/01 136
26/02/01 11?
05/03/01 80
12/03/01 50
19/03/01 36
26/03/01 26
02/04/01 24
09/04/01 22
16/04/01 20
23/04/01 18
30/04/01 17
07/05/01 15
14/08/01 14
Sub total 730
National Roll Out Total 18,527
16
Annex 2 to Schedule A12
Transaction Volumes
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OBCS volumes are volumes through Horizon only and are included in the Orderbook Transactions. All others are totals, whether through Horizon or
not,
Year Commencing April 7
Millions 1999 2000 2001-2002, 2003-2004 = 2008
Orderbook Transactions 7758 749.8 6968 611.6 251.9 73 0.0
Girocheque Transactions 52.0 52.0 48.9 43.9 18.4 os 0.0
EPOSS and APS 1337.0 1404.0 1313.0 1297.0 1265.0 11700 0.0
Toral 2164.8 2,205.8 2,058.7 1,952.5 1,535.3 1,177.8 0.0
184.0 353.0 627.0 5881 242.1 7.0 00
oBcs
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17
ANNEX 3 TO SCHEDULE A12
Transaction Metrics for Charges
It is proposed that transactions should be counted for charging purposes according to
the following rules. The default is that 1 customer-facing transaction in reference data
= 1 chargeable transaction. The following are the main exceptions:
Transaction items: 1 chargeable transaction per transcash item. For the avoidance of
doubt, there will be no chargeable transaction associated with the fee payable on the
transcash item,
Postal orders: 1 chargeable transaction per customer session, regardless of number of
postal orders sold. For the avoidance of doubt, there will be no chargeable transaction
associated with the fee(s) payable on the postal order(s), Where postal stamps are
sold to make up the odd amount of a postal order value (e.g. the 27p of a postal order
of value £35.27), these stamps will be counted as a chargeable transaction in
accordance with the metrics for postal stamps (see below).
Phone cards: Sales of phone cards of the same denomination to be rolled up within a
customer session. For example, if a customer buys 2 x £2.00 cards this would be 1
chargeable transaction; however if the customer buys 1 x £2.00 and 1 x £5.00 cards
this would be 2 chargeable transactions.
Saving stamps: 1 chargeable transaction per client, per customer session regardless of
the quantity and combination of saving stamp values sold. For example, if a customer
buys 1 x £2.00 and 2 x £5.00 British Gas saving stamps and 2 x £2.00 BBC licence
stamps this would result in 2 chargeable transactions.
Postage stamps: Sales of postage stamps within a customer session to be rolled up into
1 chargeable transaction regardless of quantity and combinations of stamps sold. For ”
the avoidance of doubt, postage stamps includes definitive and special issue stamps of
all values, stamp books and postage-paid stationery. It does not include other postal
products such as datapost or special delivery. For example, if a customer buys 2 x Ist
class, 42p of other postage, 3 x stamp books (10 x 2nd class) and a book of 10 x Ist
class stamps, this would be 1 chargeable transaction.
Because it is recognised that the volumes of postage stamp sales in the Workload Brief
is subject to statistical uncertainty in deriving the average value of transactions, the
charges will if necessary be adjusted retrospectively as follows:
. The actual average value of stamp sales per transaction will be calculated by
dividing the total value of stamp sales recorded on POCL by the number of
customer sessions in which stamp sales were recorded.
. The intended average value of stamp sales will be calculated as £2.51
multiplied by the average RPI for the relevant invoicing year and divided by the
average RPI for the year ending February 1996.
18
* The adjusted amount payable for postage stamp sale transactions will be
calculated by multiplying the charges by the actual average value and dividing
by the intended average value, any under or over payment will be included as
an adjustment to the next monthly invoice.
e An adjustment factor, to apply in all Operating Fee Periods, will be calculated at
the end of the first Operating Fee Period based on the previous 12 months’ data.
Retail items sold over the post office counter: Charged as 1 transaction per line, ie. 1
item of each of 2 different lines = 2 transactions, 2 of the same line = 1 transaction.
Entry of sales not transacted on the POCL Service Infrastructure: ie. postshop,
vending, lottery etc. Charged as 1 transaction per batch entry for each product (e.g.
60 lottery ticket sales and 60 vending items = 2 transactions),
Reversals: Where transactions are subsequently reversed, the transaction itself will be
chargeable as usual, the reversal will not be chargeable, and any related fresh
transaction will be chargeable.
Use of scales: A price look-up for postage items using the scales link or by manually
keyed input will not count as a separate transaction.
Premium Mails Services: Each item requiring separate entry will count as 1 transaction
(e.g. posting 3 datapost packages which require separate recording). Where items are
entered as multiples (e.g. posting 2 parcels of the same weight with recorded delivery
to the same zone) these will count as a single transaction.
Seales, premium services, and postal order transactions are additional to any related
sale of postage stamps, but no more than 1 postage stamp sale wil] be recorded per
customer session regardless of the use of those stamps.
Order Book Transactions: Each encashed foil shall count as a separate transaction,
Girocheques: Each Girocheque encashed shail count as a separate transaction.
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we
»
fs)
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19
ANNEX 4 TO SCHEDULE A12
Management of Site Preparation and Modification Costs
Contractor Responsibilities
The Contractor will be responsible for all site preparation and modification
costs (the “infrastructure programme”) other than those covered by the POCL
contributions pursuant to paragraph 2 of this Annex and for which POCL is to
be responsible pursuant to paragraph 3 of this Annex.
In this Annex, “Modified Total Infrastructure Costs” means the total costs
incurred under the infrastructure programme (excluding payments made or to
be made by POCL pursuant to paragraph 3 of this Annex).
Contributions
Of the first £34 million of the Modified Total Infrastructure Costs, the
Contractor will pay £29 million and POCL will pay £5 million.
The £5 million which POCL is required to pay pursuant to paragraph 2.1 of this
Annex is to be phased over time in proportion to the number of Outlets made
ready for installation. The Contractor and POCL acknowledge that of this £5
million, £512,267 has been allocated to meeting the costs of aborts, suspends
and revisits, relating to site preparation and surveys at any Outlet, and £39,147
has been allocated to meeting the costs of out of hours work for standard sub-
post offices (excluding the 100 largest standard sub-post offices) relating to site
preparation and modifications, together totalling £551,414.
If the agreed forecasts of the Modified Total Infrastructure Costs exceed £34
million, POCL will pay the next £4 million, such payment to be phased pro rata 7
to the number of Outlets installed.
if the Modified Total Infrastructure Costs exceed £38 million POCL and the
Contractor will determine the approximate number of weeks which will be
required to complete the infrastructure programme, and POCL will pay a
further £1 million phased on a weekly basis evenly over the period so
determined for the forecast completion of the infrastructure programme.
If, on the NR Completion Date, the Modified Total Infrastructure Costs are:
2.5.1 less than or equal to £34 million, the Contractor will pay POCL by way
of refund £4 million;
2.5.2 greater than £34 million but less than or equal 10 £38 million, the
Contractor will pay POCL by way of refund an amount equal to £38
million less the Modified Total Infrastructure Costs;
3.1
3.2
3.3
20
2.5.3 greater than £38 million but less than or equal to £39 million, the
Contractor will pay to POCL by way of refund an amount equal to £39
million less the Modified Total Infrastructure Costs; and
2.5.4 greater than £39 million, the Contractor will not be obliged to make a
payment to POCL by way of refund in respect of the Modified Total
Infrastructure Costs.
Any payment to be made by the Contractor to POCL pursuant to this paragraph
shall be made within 30 days of the NR Completion Date.
POCL Excess Casts
Records
The Contractor shall keep and make available appropriate records to verify:
(a) those costs of the infrastructure programme which are to be borne by
POCL; and
(b) the Contractor's forecasts of the Modified Total Infrastructure Costs
referred co in paragraph 2.3 of this Annex.
Electrical work
The Contractor shall bear the costs of supplying and installing the necessary
equipment and carrying out the necessary electrical work for new distribution
boards and earthing in the first 10,000 Outlets in which there is a requirement
for such distribution board or earthing work to be carried out. Thereafter POCL
shall bear such costs in accordance with paragraph 13 of Schedule A12.
(Without prejudice to POCLs obligation to bear such costs, an estimated cost to
POCL of £1.1 million for such work has been derived from an estimate that
such work will be required in altogether 14,273 Outlets and that such work in
the final 4,273 of such Outlets will cost on average £257 per Outlet.)
In all cases the Contractor will take responsibility for co-ordinating with the
regional electricity board to carry out final connections to the power supply.
Any charges levied by the regional electricity board will be charged to POCL.”
Cost thresholds
3.3.1 In respect of any Outlet to be modified, where the estimated cost of
modification work (excluding site preparation work) does not exceed
the threshold (the “Cost Threshold”) for that Outlet set out below based
on the number of counter positions in that Outlet, namely:
@ one counter position - £2,500 per counter;
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3.3.3
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ai
(ii) two counter positions - £1,800 per counter; and
(ii) three or more counter positions - £1,200 per counter
then the Contractor shall carry out the modification work in accordance
with the Roll Out Programme.
In respect of any Outlet to be modified, where the estimated cost of
modification work (excluding site preparation, survey and re-survey
work) exceeds the Cost Threshold for that Outlet then:
{a} the Contractor shall promptly notify POCL im writing of the
Financial Accounting Division (“FAD”) code, the name and the
location of that Outlet, the number of counter positions at that
Outlet, the estimated cost of modification work and a scope of
the proposed works; and
(b) the Contractor shall not carry out any modification work for that
Outlet without the prior written consent of POCL pursuant to
paragraph 3.3.3 of this Annex and on receipt of such consent
shall carry out the type of modification specified by POCL.
Following receipt by POCL of a written notice from the Contractor
pursuant to paragraph 3.3.2(a) of this Annex, POCL shall, in respect of
an Outler with:
fa) four or more counter positions, determine whether or not to
modify that Outlet, and what modifications are to be carried out
within the scope of modifications to which the estimated costs
relate;
(b) exactly three counter positions, determine whether thar Outlet is
to:
G) be relocated to new premises or premises refurbished by
POCL or its sub-contractors so that such refurbished
premises shall require no modifications and not more
than standard site preparation;
Gi have its number of counter positions reduced to two; or
(iii) be modified as is; and
(ce) exactly one or two counter positions, determine whether that
Outlet is to be:
iw closed;
3.3.4
3.3.6
22
(ii) relocated to new premises or refurbished by POCL or its
sub-contractors so that such refurbished premises shalt
require no modification and not more than standard site
preparation; or
(iii) modified as is
and notify the Contractor of such decision in accordance with paragraph
3.3.4 of this Annex.
In the case of an Outlet which POCL wishes to be dealt with in
accordance with:
{a)
paragraphs 3.3.3(a), 3.3.3(b)(ii), 3.3.3(b) (iii) or 3.3.3(c) (iii) of
this Annex, POCL shall use its reasonable endeavours to notify
the Contractor of such decision within four working days of the
date of receipt by POCL of the notice relating to that Outlet from
the Contractor pursuant to paragraph 3.3.2(a) of this Annex. If
POCL does not notify the Contractor within such notice period,
POCL shall be liable to the Contractor for the additional costs
which the Contractor shall have incurred solely as a result of
modification work at that Outlet being done later than had been
originally scheduled but excluding all costs arising out of the
Contractor failing to notify POCL promptly pursuant to
paragraph 3.3.2(a) of this Annex; and
paragraphs 3.3.3(b)(i), 3.3.3(c)(i) or 3.3.3{c) (ii) of this Annex,
POCL shall provide Pathway with sufficient notice as is consistent
with the operational requirements of the infrastructure
programme.
In respect of Outlets to which paragraph 3.3.2 of this Annex applies, the
parties have assumed that:
(a)
()
(c)
all four counter position Outlets will be modified;
the numbers of three counter position Outlets modified pursuant
to each sub-paragraph of paragraph 3.3.3(b) of this Annex shall
be equal; and
the numbers of one or two counter position Outlets modified
pursuant to each sub-paragraph of paragraph 3.3.3(c) of this
Annex shall be equal.
POCL shall bear those reasonable costs in respect of the Outlets to be
modified which exceed the Cost Threshold. POCL shall also bear those
reasonable costs that may arise and shall benefit from any savings that
may arise as a result of any of the assumptions in paragraph 3.3.5 of this
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3.4
23
Annex being incorrect. Any such benefit shall be credited to POCL in
the invoice for the calendar month in which the POCL decision giving
rise to that benefit shall have been made.
Aborts, Suspends and Revisits and Out of Hours Work at Standard Sub-Post
Offices
3.4.1 Of the costs of site preparation aborts, suspends and revisits at any
Outlet, and the costs of out-of-hours work at standard (i.e.
non-franchise) sub-post offices (excluding the 100 largest standard
sub-post offices), which exceed £551,414 as referred to in paragraph 2.2
of this Annex POCL shall bear such of those costs as are specified in
paragraph 3.4.2 of this Annex.
3.4.2 The costs referred to in paragraph 3.4.1 of this Annex which are to be
borne by POCL are:
{a} the costs of aborts, suspends or revisits which are caused by
POCL or its sub-postmasters or franchisees and are recorded as
such on the implementation programme database;
{b) that proportion of the cost of aborts, suspends or revisits based
on the extent of responsibility of POCL to the overall
responsibility as agreed by POCL and the Contractor, or failing
such agreement as agreed by the Programme directors of POCL
and the Contractor, or failing such agreement POCL and the
Contractor will bear such costs equally. POCL will not be
responsible for the costs of the suspension of offices that are
classified as no fixed counters (“NFC”); and
(c) the cost of out-of-hours work due to any standard sub-post office
(other than the 100 Jargest standard sub-post offices) not
permitting continuous access between 8.00 a.m. and 6.00 p.m,
on weekdays (excluding bank holidays) or not permitting work
to be done in accordance with the CCD entitled “Mitigating
Disruption in Post Offices During Preparation Activities”.
Other excess site preparation costs
POCL shall bear those costs of out of hours work and revised (at POCIs
request) processes as compared with what is stated in the CCD entitled
“Mitigating Disruption in Post Offices During Preparation Activities” for site
preparation for the 100 largest standard sub-post offices, all branch offices and
franchise offices, which exceed £715,876.
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24
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ANNEX 5 to Schedule Al2 - PHYSICAL, TECHNICAL & SERVICE LIMITS
Row SERVICE LIMIT CONDITIONS
OPS
1. Number of 20,000 maximum at any I GB & Northern Ireland, excluding:
Outlets and one time during the term
geography of the Codified Channel Islands
Agreement, subject to
the rates of change
contained in row 2 of
this table and the limit
on counter positions in
row 3,
Isle of Man
BFPO
Other territories
2. I Post Offices:
» relocated or 1.6% per annum
opened,
® closed (and 1.0% per annum
not relocated)
3. Counter positions I 39,750 maximum This includes counter positions in
training centres, without a separate
limit for these. If Counter positions
are required in excess of the limits
contained in this Annex, POCL may
procure these as Optional POCL
I Services under Operational Business
Change, the pricing of equipment to
be by reference to the pricing of
Optional Products.
4, I Counter 39,750 maximum Including: workstations, screens,
configurations slip/receipt printers and
keyboards/MSR/SGR
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25
Row SERVICE LIMIT CONDITIONS
5. I Mobile Counter 250 at any one time This relates to notebook computer
Configurations during the term of the based counter configurations which
Codified Agreement are designed to be removed and
stored away from the service position
{not to be confused with standard
computer configurations on trolleys or
in vans)
6. I Back Office PC's 1,000 maximum
7. I A4 Princers:
« Laser 4,000 maximum
© Inkjet 18,570 minus the If the number of Outlets is increased
number of Laser printers I beyond 18,527 in accordance with the
limit and conditions in row 1 of this
table POCL may procure an equivalent
number of additional printers as
Optional POCL Services, the pricing of
equipment to be by reference to the
pricing of Optional Products.
8. I Users to be 72,000 maximum
trained during
Roll Our
Programme
9. I Documentation:
° Releases 2 per annum
« Emergency A4, lpp, 12 per annum
updates
€A991600,044
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SCHEDULE A13
GUARANTEE
(Clause 1004)
DATED [ ] 1899
Ich PLC
POST OFFICE COUNTERS LTD
DEED OF GUARANTEE
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TRIS DEED is made the [ } day of [ ] 1999
BETWEEN
(1) IcL PLC whose registered office is at 26 Finsbury Square,
London EC2A 1DS (“the GUARANTOR”) favour of
(2) POST OFFICE COUNTERS LTD whose registered office is situated
at Gavrelle House, 2-14 Bunhill Row, London EC1LY 8HQ
(“POCL”).
WHEREAS
(A) This Deed is supplemental to the Codified Information
Technology Services Agreement for Bringing Technology to Post
Offices dated [ ] 1999 between POCL and ICL Pathway
Limited (“the CONTRACTOR") (the “Codified Agreement”).
{B) The services to be provided by the CONTRACTOR to POCL under
the Codified Agreement are critical to the accomplishment of
the statutory functions and business objectives of POCL.
(Cc) POCL would not have entered into the Codified Agreement
without a satisfactory guarantee being provided by the
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GUARANTOR of the CONTRACTOR’s obligations and liabilities
thereunder.
NOW, THEREFORE, in consideration of POCL entering into the
Codified Agreement, the GUARANTOR hereby guarantees to POCL as
follows: -
1. $f the CONTRACTOR fails fully and punctually to perform its
obligations under the Codified Agreement or commits any breach of
ite obligations under the Codified Agreement which is not remedied
in accordance therewith, the GUARANTOR unconditionally undertakes
that vpon demand by POCL in accordance with Clause 3 hereof it
shall:
1.1 subject to the provisions of Clause 910 of the
Codified Agreement, indemnify and maintain POCL
indemnified against all losses, damages, costs and
expenses (including court costs and legal fees on a
solicitor and own client basis) which may be incurred by
POCL arising out of all and any such failures or
breaches, but only to the extent that the CONTRACTOR is
liable for the same under the Codified Agreement;
1.2 as a separate and independent obligation and as
primary obliger, be responsible for and hereby guarantee
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to POCL the due performance by the CONTRACTOR of the
CONTRACTOR's obligations under the Codified Agreement;
and
1.3 as a separate and independent obligation and as
primary obliger, fully, punctually and specifically
perform the CONTRACTOR's obligations under the Codified
Agreement which are not performed as a result of the
Default of the CONTRACTOR thereunder. The GUARANTOR
shall perform, fulfil and observe all terms, warranties
and representations in the Codified Agreement which are
not performed as a resuit of the Default of the
CONTRACTOR thereunder as if the Codified Agreement were
directly entered into by the GUARANTOR and POCL.
PROVIDED THAT in no event shall the liability of the GUARANTOR to
PO
hereunder be greater than the liability of the CONTRACTOR to
POCL under the Codified Agreement, and provided further that any
limitation on the liability of, and any defences available to, the
CONTRACTOR under the Codified Agreement shall be available to the
GUARANTOR hereunder.
2. POCL shall have no greater rights under this Deed of Guarantee
in relation to the CONTRACTOR’s obligations under the Codi
Agreement than it has under the Codified Agreement.
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3. Any demand under this Deed of Guarantee shall be in writing,
addressed to the registered office of the GUARANTOR and
accompanied by a statement identifying the nature of the claim by
poCcL, and shall be copied to the CONTRACTOR at its registered
office or such other address as the GUARANTOR has from time to
time notified to POCL as being an address for the receipt of such
demands.
4.1 The GUARANTOR shall not be discharged or released from the Deed
of Guarantee by any arrangement made between the CONTRACTOR and
pOCL without the assent of the GUARANTOR or by any amendment to or
termination of the Codified Agreement or by any forbearance or
indulgence whether as to payment, time, performance or otherwise
granted by POCL in relation thereto.
4.2 The obligations of the GUARANTOR under this Deed of Guarantee
may not be assigned or subcontracted in whole or in part without
the express written authority of POCL. For the avoidance of
doubt, and without prejudice to the gen
vality of the foregoing
provisions of this Clause 4.2, the obligations of the GUARANTOR
under Clauses 1.2 and 1.3 hereof may be sub-contracted if agreed
in accordance with this Clause 4.2.
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S. This Deed of Guarantee shall be a continuing security and
accordingly it shall:
5.1 not be discharged by any partial performance
(except to the extent of such partial performance) by
the CONTRACTOR of its obligations under the Codified
Agreement, and
5.2 extend to cover the unperformed part of the
obligations cf the CONTRACTOR from time to time under
the Codified Agreement.
6. The obligations of the GUARANTOR under this Deed of Guarantee
are those of primary obliger and such obligations exist
irrespective of any total or partial invalidity, illegality or
unenforceability of the Codified Agreement. POCL shall not be
obliged before taking steps to enforce this Deed of Guarantee
against the GUARANTOR te cbtain judgment against the CONTRACTOR or
the GUARANTOR or any third party in any Court, or to make or file
any claim in a bankruptcy or liquidation of the CONTRACTOR or any
third party, or to take any action whatsoever against the
CONTRACTOR or the GUARANTOR or any third party (other than serving
a copy of the notice of demand upon the CONTRACTOR in accordance
with Clause 3 above).
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7. The GUARANTOR warrants that it is either a company or a body
corporate duly organised and validly existing under the laws of
England with limited liability and has all power and authority to
enter into and perform the obligations contemplated by this Deed
of Guarantee to be performed by it and that this Deed of Guarantee
constitutes a legal, valid and binding obligation.
8. All sums payable by the GUARANTOR under this Deed of Guarantee
shall be paid without any set-off, lien or counterclaim, deduction
or withholding, howsoever arising.
9. None of the liabilities or o gations of the GUARANTOR under
this Deed of Guarantee shall be impaired or discharged by the
winding up, amalgamation, reconstruction or reorganisation of the
GUARANTOR or the CONTRACTOR {or the commencement of any of the
foregoing).
10, If any provision of this Deed of Guarantee is held invalid,
illegal or unenforceable for any reason by any Court of competent
visdiction, such provision shall be severed and the remainder of
the provisions hereof shall continue in full force and effect as
if this Deed of Guarantee had been executed with the invalid,
illegal or unenforceable provision eliminated.
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11. This Deed of Guarantee shall be governed by and construed in
all respects in accordance with the laws of England and the
parties hereby submit to the non-exclusive jurisdiction of the
courts of England in respect of any dispute which may arise
between the parties concerning this Deed of Guarantee.
12.2 In the event that there shall, in the reasonable opinion of
POCL occur a material adverse change in the financial condition of
the GUARANTOR by comparison with such a financial condition as at
the date of this Deed of Guarantee, which change in financial
condition could reasonably be expected to have an adverse effect
on the ability of the GUARANTOR to perform its obligations under
the Deed of Guarantee, then the GUARANTOR shall, if so required by
POCL in writing, procure that there is provided to POCL an
Acceptable Additional Guarantee. Such an Acceptable Additional
Guarantee shall be provided within one (1) month after POCL
requires the provision of the same. For the purposes of this
Clause, an “Acceptable Additional Guarantee” shall be a guarantee
of the obligations of the GUARANTOR under this Deed of Guarantee
given in favour of POCL which:
fa) is given by an entity acceptable to POCL which has a
Y Y Pp
financial condition at least as good as that of the
GUARANTOR as at the date of this Deed of Guarantee; and
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(b) is substantially in the form of this Deed of Guarantee
with such amendments as POCL shall reasonably require to
take account of the identity and place of incorporation
of, and any other factors relevant to, the new
guarantor.
Any such Acceptable Additional Guarantee shall be in addition to
and not in substitution for this Deed of Guarantee.
12.2 In the event that there shall, in the reasonable opinion of
POCL, occur a material adverse change in the financial condition
of any person liable as guarantor under an Acceptable Additional
Guarantee by comparison with such financial condition as at the
date of the relevant Acceptable Additional Guarantee, which change
in financial condition could reasonably be expected to have an
adverse effect on the ability of the relevant party to perform its
obligations under the applicable Acceptable Additional Guarantee,
then the GUARANTOR shall, if so required by POCL in writing,
procure that there is provided to POCL a further Acceptable
Additional Guarantee from another entity. Any such Acceptable
Additional Guarantee shall be provided within one (1) month after
POCL requires the provision of the same.
12.3 Any failure by the GUARANTOR to provide an Acceptable
Additional Guarantee in acordance with the provisions of this
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Clause shall be treated as a Default by the CONTRACTOR entitling
pOCcL to terminate the Codified Agreement pursuant to Clause
$02.2.2 thereof.
IN WITNESS whereof the GUARANTOR has caused this instrument to be
executed as a Deed the day and year first before written.
SIGNED and DELIVERED for and on behalf of ICL PLC
Name:
and
Name:
in the presence of:
CAS91E00199
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CODIFIED AGREEMENT SCHEDULE Al4 RESTRICTED CONTRACTS
SCHEDULE Al4- CONTRACTOR'S KEY PERSONNEL
1. PATHWAY BOARD
Ld. The Pathway board has been set up under the chairmanship
of Sir Michael Butler with board representatives from
IckL.
I Sir Michael Butler
i Chairman
_ Deputy Chairman I RChriston I JH Bennett : AE. Oppenheim
TA. Tedd I ICL : Pathway I. Commercial and
ICL ' Legal and Comm I Managing I_I Finance Directo!
' Director : Director i I Pathway
Fig 1 - The Pathway Board
CONTRACTOR's Key Personnel Page 1 of 20 Version 1.0
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CODIFIED AGRE. SCHEDULE Ald RESTRICTED CONTRACTS
2. PATHWAY MANAGEMENT TEAM
2.1. The Pathway team is in place. The management
tructure has been agreed and the positions filled. The
ructure of the team is as follows
nt Board
- The Pathway Manage’
Managing Orector !
cowl r ae I
& Director Director Owector Oreste I {Personnel
Coren& Quay 8 Risk Business Customer Customer I} Director:
Finaree Management Development I I Reg Service 5 SHotson I
I MH Benner L Foley IS Meshow
3. EXPERIENCE PROFILES AND RESPONSIBILITIES
3.1. Curriculum Vitae
Name: John H, Bennett
Role: Managing Director, Pathway
Age: 55
Key Experience
1994-present: Managing Director, Pathway
1993-1994 Director Marketing Support. and
Communications, ICL (UK) Ltd. (65 staff and £8m
promotion budget) . Responsible for corporate
communication, brand development, marketing services and
international account development.
1989-1992 Sales and Marketing Director, ICL (UK) Ltd
150 marketing staff, $00 sales staff, £1 billion
i Responsible for all sales and marketing
CONTRACTOR's Key Personnel Page 2 of 20 Version 1.0
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CODIFIED AGREEMENT SCHEDULE Al4 RESTRICTED CONTRACTS
1985- 1988 Regional Director, Central Sales Region,
CL (UK)Ltd.550 staff, £165m revenue.
Career Summary
1994-present: Managing Director, Pathway
1993-1994 Director Marketing Support and
Communications, ICL (UK) Ltd
1989-1992 Sales and Marketing Director, ICL (UK) Ltd
1985-1988 Regional Director, Central Sales Region,
ICL (UK) Ltd
1983-1985 Account Manager DHSS, Central Sales Region
ICL (UK) Ltd
1981-1983 Customer Service Regional Manager, ICL
1980-1981 Project Director Inland Revenue, ICL
Previous Career History
1977-1880 Regional Sales Manager, Civil Government,
cL
1975-1977 Regional Sales Manager, Transport, ICL
1973-1975 Area Sales Manager, Local Government
Role
Direct Pathway’s business supported by the Functions of
Commerce and Finance, Business Development, Risk
Management, Technical, Programmes and Customer Services.
Responsibilities
° Ensure success of Pathway’s business plan.
. Grow Pathway’s relationship with POCL.
sure the fulfilment of the main contract.
° Establish strategic direction and vision supported by
appropriate policy.
« Identify and promote the culture and values of the
Organisation.
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. Provide leadership for Pathway and promote
communication,
° Ensure and report the integrity of the business.
. Ensure the provisions of the SQM are observed.
3.2 CURRICULUM VITAE
Name: M.J.B. Coombs
Role: Deputy Managing Director, Pathway
Age: 52
Key Experience
May 99- Present ~ Deputy Managing Director ICL Pathway
August 97 ~ April 99 ICL Pathway Programme Director
Accountable for all aspects of the Programme
deliverables.
July 95 - July 97 - High Performance Systems (HPS)-
Director, Business Development & Quality, also Director,
Millenium Systems Server Group (MSSP). Accountable for
Strategic Planning activities across HPS including input
to ICL group on the HPS Strategic Plan, the quality
community and quality initiatives across HPS, Change
Programme introducing Project/Programne based approach
to development activities, introduction of a UNIX
strategy and associated Millenium Product Strategy.
May 94 ~ June 95 ~ DSS Strategic Bids, Bid Director
Accountable for: Estabi
strategies for the followi
NIRS2, BA/POCL Automation.
ishing bid and consortium
g procurements: Focus 95,
Jan 93 - April 94 — GMS Business Applications Director
Jan 92 ~ Dec 93 - GMC Director of Business Development
Oct 69 - Dec 91 - worked in ICL in a variety of
management roles including: Services and Support
Management, Project Management (UKAEA, Inland Revenue,
British Gas, GIN), Product Marketing and Software
Development.
Responsibilities
» Deputising for the Managing Director for all aspects
of ICL Pathway’s activities
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+» Establishing and managing the relationship between
ICL Pathway and itsu in the co-ordination of
Fujitsu Group activities in delivering the Horizon
programme.
« Managing the interface between ICL Pathway and ICL
group to ensure resources are efficiently acquired
and shared processes established and followed.
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3.3 CURRICULUM VITAE
Name: Anthony E. Oppenheim
Role: Director Commerc and Finance, Pathway
Age: 48
Key Experience
1994-present Director Commercial and Finance, Pathway
1991-1994 Manager, Strategic Business Initiatives,
IcL
Focus on Mergers and Acquisitions, new business start-
ups and disposals. Role involved full project management
from concept to live operation.
1988-1991 VP of Finance, ICL Retail Systems
100% growth, focus on the acquisition and
integration, and the development of the UK and US
operations. Turnover increased from £150m per annum to
£300m per annum.
19866-1988 VP of Finance, ICL Inc., USA
Predominantly retail business in early phase of
expansion. Turnover of £40m per annum, now £150 million
1984-1986 Controller of Mainframes Systems
Mature business at a critical point of product
transition from one generation to another. Focus on
commer l ‘smoothing’ and product introduction.
Turnover at transfer prices £250 million per annum.
Career Summary
1994-present Director Commercial Finance, Pathway
1991-1994 Manager, Strategic Business Initiatives,
Ich
1988-1991 VP of Finance, ICL Retail Systems
1986-1988 VP of Finance, ICL Inc., USA
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1984-1986 Controller of Mainframes Systems
1981-1984 Controller of Scotland and North East
Division, ICL
1981 Controller of Local Government and Public
Corporations Division, ICL
1978-1981 Manager, Profit Planning, ICL
Previous Career History
1976-1978 Manager, Preduct and Price analysis, Rank
Xerox
Role
Manage all Commercial, Legal and Financial aspects of
Pathway Business in support of the Managing Director
and all Pathway functions.
Responsibilities
. Manage all commercial, financial and legal activities
and the Functions resources.
. Own and manage the Client contract plus all
associated subcontracts.
re clients settle all accounts in accordance with
rms and conditions.
. En,
contractual
° Ensure shareholders, subcontractors and staff are
paid in accordance with agreements.
° Ensure compliance with all applicable legislation. ~
° Produce Pathway statutory accounts.
° Produce Pathway’s five year and one year business
plans and monitor performance against these and the
business case.
° Analyse internal and external socio-economic trends
of relevance to Pathway.
° Own and manage Functional subcontracts which are not
client related.
° Manage Risk with regard to the Commerce and Finance
Function.
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CURRICULUM VITAE
Name: Martyn H. Bennett
Role : Directer, Quality and Risk Management, Pathway
Age: 47
Key Experience
1995-present Director, Quality and Risk Management,
Pathway
1993-1995
PLC
1990-1992
Deloitte
1988-1990
Research and Development Manager, De La Rue
20 staff and budget of £1 million.
Establishment and management of a balance
of short-term, low-risk and longer-tern,
high-risk projects resulting in new
products and features, and the adoption of
new manufacturing technologies. Responsible
for ISO¢001 new product development and
introduction processes.
Senior Associate, Coopers & Lybrand
Responsibility for generating business and
managing and participating in
Consultane gnments. Involved in the
development of technical strategy and
improvement of organisational effectiveness
of major multinationals.
Division Technical Manager, 3M United
Kingdom PLC
1986-1988
Technical responsibility for multi-million
pound business, including resource
management, strategic planning, identifying
business opportunities and liaison with
corporate product development organisations
and key account senior management,
Business Development Manager, Europe, 3M
Responsibility for establishing a new
business in Europe, identifying and
developing market opportunities and
distributing, communicating and con
operating with US nagers, developing
joint development projects wit systems
integrators and OEMs, and devolving
European subsidiary involvement.
Career Summary
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1995-present Director, Quality and Risk Management,
Pathway
1993-1995 Research and Development Manager, De La Rue
LC
1990-1992 Senior Associate, Coopers & Lybrand
Deloitte
1988-1990 Division Technical Manager, 3M United
Kingdom PLC
1986-1988 Business Development Manager, Europe, 3M
Previous Career History
1981-1986 Research Manager, Mars Confectionery, Mars
UK Ltd
1979-1980 Senior Design Engineer, Transducers (CEL
Led
1977-1878 Senior Research Scientist, GEC Ltd
Role
To manage quality policy, assurance and processes.
Responsibilities
e Assuring that ICL Pathway conducts its business in
as effective and efficient a manner as possible.
This involves management of the process improvement
cycle. Quality and Risk Management is the owner
within ICL Pathway for the end to end Business
Model and is involved in facilitation of process
development, reviewing process performance and
monitoring improvement activities.
e Assurance that ICL Pathway is providing and
continues to provide what it is contracted to, by -
means of:
Auditing the system,
Applying quality assurance and escalation
processes, including the Business Excellence Model
and self-assessment,
Co-ordinating Disaster Recovery plans,
Defining security policy and providing security
incident management and instigation,
Assuring that ICL Pathway minimises year 2000 risks
and has adequate contingency plans against residual
risk,
Investigating the requirement for specialist
insurance e.g. theft, fraud.
* Pro ng specific services which require internal
objectivity, for example:
Fraud Risk Management
System audit for the customer
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3.5 CURRICULUM VITAE
Name : William M Foley
Role : Director,Business Development, Pathway
Age : 48
Key Experience
1995-present Director, Business Development, Pathway
September 1994 - January 1995 Account Director - Japanese
Companies [Fujitsu Systems Europe]
Responsible for building a profitable business with
panese multinational companies in Europe
January 1994 ~ August 1994 Account Director, ICL Hong Kong
Responsible for developing and winning profitable major
bids and to spearhead ICL's bid campaign to win the
Provisional Airport Authority (Hong Kong) Major Systems
Integration contract.
September 1991 - December 1993 Account Director - HIT
{Hongkong International Terminals)
Responsible for increasing ICL'’s on-going revenue from
ICL A "s largest client, customer satisfaction and for
maintaining on-going dialogue at top management level
between HIT and ICL
May 1990 - September 1991 Sales Development Manager, ICL
Asia
Responsible for ensuring ICL Asia achieved its sales
targets and for the development of the sales force.
Career Summary
1995-present Director, Business Development, Pathway
1994 - 1995 Account Director -~- Japanese Companies
{Fujitsu Systems Europe]
1994 ~- 1994 Account Director, ICL Hong Kong
1991 ~ 1993 Account Director - HIT (Hong Kong
International Terminals)
1990 - 1991 Sales Development Manager, ICL Asia
1989 ~- 1990 Sales Development Manager, ICL Europe
1987 - 1988 Major Accounts Manager - ICL International
1985 - 1986 Manager ~ Management and Account
Development Unit
1984 ~- 1985 Manager - Sales Management Programme
1982 - 1984 Sales Account Manager, ICL
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1983 - 1984 Area Manager, ICL
1980 - 1981 Sales Consultant, ICL
1977 - 1980 Sales Executive, ICL
Role
Generate new business for POCL and Pathway by working with
and through POCL.
Responsibilities
e Own and manage the Business Development Function
and its resources including the development of
Pathway’s own business development strategy.
« Manage Client relationships on behalf of the
Business Development Function.
* Build and sustain understanding of the Client’s
marketplace.
* Identify and orchestrate evaluation, impact
assessment and prioritisation of new business
opportunities, to POCL’s and Pathway’s joint
commercial benefit, comprising:
New services to existing Clients
Existing services to new Clients
New services to new Clients
Develop joint and pricritised business plan fo
exploiting business opportunities.
@ Through joint marketing and selling, implement the
business plan.
# In collaboration with the Director Commerce and
Finance define service provision and negotiate and
win contracts.
e@ Develop and manage Public Relations strategy
{internal and external).
e Maintain responsibility for internal and external
communications
e Chair the IT development committee responsible for
prioritising the use of IT resources.
e Provide market research and analysis to other
directorates.
* Manage performance of subcontracts to the Business
Development Function, for example promotion
ee @ @
i
campaigns, market research and collateral
development.
e Manage Risk with regard to the Business Development
Function.
« Develop & Manage International Business of ICL
Pathway
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3.6 CURRICULUM VITAE
Name : John C.C. Dicks
Role : Director Customer Requirements,
Pathway
Age : 57
Key Experience
1995-present Director Customer Requirements,
Pathway
1993-1995 Ganeral Manager Enterprise Engineering
Responsible for the technology backbone of
advanced or demanding products and technologies
which act as a differentiator for ICL in the
systems integration arena.
1988-1993 Director, Applications Product Group
Responsible for principal generic software
applications, Built up ICL’s office automation
product from small beginnings to world-wide,
by producing both European and Asian versions.
Produced the successful secure military version
for the Ministry of Defence (CHOTS) and was
responsible for the cross-company programme for
the total military product during the period up
to award of contract.
Career Summary
1995-present Director Technical, Pathway
1993-1995 General Manager Enterprise Engineering, ICL
Enterprises
1988-1993 Director, Applications Product Group, ICL
Midrange Systems Division
1988 General Manager Communications and
Integration Business, ICL Office Systems
1985-1988 General Manager Open Systems Business
Centre, ICL Network Systems Division
1983-1985 Manager, Mainframes and Wide Area
Networking, ICL Network and Communications Division
1982-1983 Manager Networked Product Line
Introduction, ICL Network and Communications
Division
Previous Career History
1975-1983 Project Management Roles, ICL
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Including 5 years as project manager at the DESS
Newcastle/Washington
Role
hitecture and its components,
MMES .
Design the solution ar
and hand over to Progr.
Responsibilities
e Own and manage the Technical Function and its
resources.
* Manage Client relationships on behalf of the
Technical Function.
e Authorise changes to technical architecture and
resultant design.
* Manage change control to technical architecture and
associated design.
* Ensure technology refreshment is considered and its
impact opt sed in line with business benefit.
@ Track and exploit new technology to the commercial
advantage of Pathway and its Clients.
® Undertake technical impact assessme on behalf of
the Technical Function and other functions.
« Undertake impact assessment, option evaluation,
contract scheduling and other relevant work in
respect of proposed new business.
® Identify and implement best practice methodologies
and tools in support of the Technical Function
« Manage Risk with regard to the Technical Func
® Undertake impact assessment, option evaluation,
contract scheduling and other relevant work in
respect of proposed new business including ~
activities in the 1995 Bid Process as agreed.
« Identify and implement best practice methodologies
and tools in support of the Technical function.
« Secure and protect appropriate Quality
accredita nm, for example ‘Tickit’.
« Manage Risk with regard to the Technical function.
ne
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3.7 CURRICULUM VITAE
Name = Terry P. Austin
Role : Director Development, Pathway
Age H 49
Key Experience
1999-present Director, Development Pathway
1995-1999 Director Programmes, Pathway
1993-1995 Programme Manager, Inland Revenue, Telford
End-to-end delivery of a complex ' system to
support the new Self Assessment taxation
legislation. At its peak some 500 people would
be working on the system, comprising 15
mainframes, more than a thousand servers and
over 56,000 PCs.
1990-1993 Project Manager, Inland Revenue, Telford
Implementation of the Corporation Tax Pay and
File System, a 400 man year project compri ga
mainframe, 800 UNIX Servers connected to 50,600
PCs located throughout the UK.
Career Summary
1995-present Director Programmes, Pathway
1989-1995 Programme Manager/Senior Consultant, Inland
Revenue, Telford
1988-1989 Information Technology Manager, Swan National
Rentals Ltd
1984-1986 Project Manager/Support Manager, Severn Trent
Water Authority
1981-1984 Project Manager/Technical Consultant, ICL
Previous Career History
1979-1981 Project Manager, Kuwait Oi1 Company, Arabian
Gulf
1968-1978 Various Positions, Ministry of Defence
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Role
Orchestrate the initial end-te-end programme delivery
including development and test. Subsequently, no an as
needed basis, orchestrate increments on that ini i base.
Responsibilities
* Own and manage the initial development and build
implementation.
* Own and manage the Programmes Function and its
resources,
e Define the Programme and its baseline.
e Manage contract and subcontract performance with
regard to the development, test, pilot and build
phases of the initial implementation.
* Prepare and maintain the programme plan.
« Direct prograrme plementation through:
* Project and technical managers nominated from other
functions in Pathway
* Client nominees
* Subcontractors owned by e Programmes Function
* Monitor and control the sub-activities of the
Programme to reflect its priorities.
ify and plement best practice programme
candards, methodologies and tools, and associated
Project management counterparts.
® Manage Client relationships on behalf of the
Programmes Function.
® Manage Risk with regard to the Programmes Function.
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Name ¢ Stephen Muchow
Role ¢ Director, Customer Service Pathway
Age : 46
Key Experience
1996 present Director Customer Service, Pathway
Responsible for all aspects of Customer Service
across all boundaries, both internal (ICL) and
external and with subcontractors
1995-1996 Deputy Operations Manager, Pathway
Responsible for defining the operational services
required to support the delivery of the BA/POCL
contract, including the selection of service
providers. This included the negotiation of service
level contracts.
1993-1995 Technology Manager, ICL Customer Services
Unit
Responsible for the development of internal IT and
business process systems for a £250M revenue Customer
Services Unit.
1991-1993 South East Regional Manager, ICL Customer
Services
Management of 700 regionally based staff, including
Sales, Engineering and Senior Professional
Consultancy staff.
Career Summary
1994-present Director Customer Service, Pathway
1995-1996 Deputy Operations Manager
1993-1995 Technology Manager, ICL Customer Services
Unit
1991-1993 South East Regional Manager, ICL Customer
Services
1988-1991 Customer Service Manager, ICL Customer
Services
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Previous Career History
1982 - 1985 ICL Office Systems Consultant
1985 - 1987 ICL Mainframe Systems Manager
1987 ~ 1990 TcL Customer Service / Service
Management Manager
Role
Operate services in accordance with service level
agreements (SLAs). The current role includes:
e Client
*® POCL operational support services
* Help desks
* Counter support services
Site services
Training (ongoing)
Management information (MIS
Pathway
Help desks
Site services
Training
MIS
eee e
Responsibilities
* Own and manage the Customer Service Function.
® On behalf of Pathway take responsibility for
Configuration and Asset Management.
@ Manage Client relationships on behalf of the
Customer Service Function.
* Manage contract and subcontract performance with
regard to Pathway Customer Service.
e Maintain the designated Client IT infrastructure in
accordance with the technical architecture and
associated design authority.
e Manage change control in respect of the Customer
Service Function.
® Undertake work in respect of proposed new business.
« Identify and implement best practice methodologies
and tools in support of the Customer Service
Function. ;
* Manage Risk with regard to the Customer Service
Function,
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3.9 CURRICULUM VITAE
Name ¢ John Hobson
Role ¢' Personnel Director - ICL Pathway
Age = : 38
Key Experience
1998 ~- Present Personnel Director - ICL Pathway
1995 ~ 1998 Personnel Manager ICL Government/PFI Business
Responsible for all aspects of resourcing, training and
development within the Government/PFI Business Unit.
Implemented a flexible resource model to facilitate the
more efficient deployment of employees to satisfy customer
requirements. ance management o
employees to improvements in
productivity.
1987-1995 ~— Human Resources Manager Akzo Nobel N.V.
Responsible for a number of business divisions with Akzo
Nobel, one of the largest chemical companies in the world.
Supported the growth of the U.K. company to market
leadership in its industry sector. Substantial
experience in the acquisition and integration of
busin aS. Concentrated on performance management,
industrial relations and training and development.
Previous career history
1985-87 Personnel Officer ~ Thomas Cook -
1982~85 Graduate Trainee UKAEA
Current Role
Responsible for the efficient deployment of the Human
Resources within ICL Pathway.
Responsibilities
» Ensure ICL Pathway is correctly resourced with the
right numbers and quality of people.
* Control the salary review process within budget,
mployees are rewarded appropriately to their
nm and market value.
employees receive the appropriate training
development to carry out their role effectively
» Produce and maintain the ICL Pathway succession plan so
that vacancies can be f din a planned manner
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Liase closely with managers to ensure all the
requirements of the ICL performance management process
are being followed. All employees to be appraised, to
have SMART objectives which are regularly reviewed and
to have a personal development plan which maps out
their future development.
Ensure the organisation structure is regularly reviewed
and is able to meet the key tasks of the organisation.
Manage the relationship with internal and external
service suppliers, e.g. training and recruitment
organisations to ensure a cost-effective service.
Ensure all administrative activity is carried out
accurately and on time.
Control the allocation of space within all ICL Pathway
locations and ensure it is used efficiently.
Responsibility for all operational employee relations
issues.
Responsible for Health and Safety
Curriculum Vitae
Name: Jim Flynn
Role: Implementation Director ~ ICL Pathway
Age: 35
Key Experience
1999-date Implementation Director - ICL Pathway
1996 - 1999 ~ Senior Programme/Project Manager Storage
Technology Ltd.
Responsible for project management of major customer
programmes, creation and implementation of European
business plans, the definition of operating procedures
for project and bid management, and the management of
bids for major opportunities.
1995 - 1996 Project Manager - GEC Marconi Naval Systems
Responsible for management of major submarine defence
project and implementing a Strategy for success.
Technical coverage included management of Sub-contract
software development, and in house team of 70 design
development and test engineers, hardware and software
development and production. Project covered the full
lifecycle from requirements, through design and
development to implementation and acceptance.
1991 — 1995 Project Manager, GEC Marconi
Responsible for managing a number of projects and bids,
including programmes for major mine warfare detection
systems for the Royal Navy, Australia and Spain
Career summary
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1996-99 Senior Programme/Project Manager IT Projects
1995-96 Senior Project Manager, Submarine Control System
Programme
1993-95 Project Manager, Command System Software
Development Programme
1991-93 Project Manager, Feasibility Study in Torpedo
Defence
1983-91 Royal Navy Submarine Navigation Officer
Current Role
Manage all activities and resources, responsible for the
Implementation of the Pathway selution, ensuring timely
and accurate handover of all identified deliverables.
Responsibilities
* Own and manage the implementation processes and
resources
* Plan and manage the programme to achieve
Implementation contract milestones
* Manage risk in relation to the Implementation
function
* Ass 5 and authorise implementation tools and process
changes
« Identify, implement and manage the processes tools
and resources, adopting best practice to rollout
services for Migration, Training, Installation and
Infrastructure Preparation,
« Manage Client Relationships on behalf of
Implementation
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SCHEDULE Al5 ~ REQUIREMENTS
1.1. Requirement 463 ~ POCL Service Infrastructure - OPS: Additional
Requirements for OPS Equipment ........ eee &
1.2. Requirement 464 ~ POCL Service Infrastructure ~ OPS: POCL’ s
Agreement to Offer Services
1.3, Requirement 465 ~ POCL Service Infrastructure - OPS:
of the OPS Equipment
1.4, Requirement 466 ~ POCL Service Infrastr
Consumables 21... s sees eee .
1.5. Requirement 467 ~ POCL Service Infrastructure
OPS to TMS oe ese eee eee eee eee
1.6. Requirement 468 ~ POCL Service Infrastructure -
engineering visits
1.7. Requirement 469 ~ POCL Service Infrastructure
Documentation .... oe
1.8. Requirement 470 ~ POCL Service Infrastruct re ~.OP:
Technical Documentation ....
1.9. Requirement 471 - POCL Service Infrastructure - OPS: Messaging
facilities .............0- rns
1.106. Requirement 472 ~ POCL Service Infrastructure - OPS: Securi ty
of Data and Audit Trail ree 3
1.11. Requirement 473 - POCL Service Infrastructure ~ OPS: User
ACCESS 2... eee ee bane
1.12, Requirement 474 - POCL Service Infrastru z
Safety, and Legal Obligatio
1.13, Requirement 475 - POCL Ser
Guide ...
1.14. Requirement 476 - POCL Service
control
1.15. ~ L Service
register
1.16. Requirement 478 ~ POCL Service
Facilities .
2.17. Requirement 479 - POCL Service
and Monitoring of TMS links
1.18. Requirement 480 - FOCL Service Infrastructure
Discreteness of TMS .. . “
1.19. Réquirement 481 ~- POCL Implementation - Documentation:
and Procedures Documentation ..
1.20. Requirement 482 - POCL Implementation - Doc n
Decumentation Standards for PPD:
1.21. Requirement 484 ~ POCL Implementa mo - Documentation:
Availability of PPDS oo. .... ce cece eee +16
i Requirement 485 ~- POCL Implementation - Documentation:
Updating PPD Informat ae eevee eee LG
1.23, Requirement 486 - POCL Imple tation - Documentation: POCL's
Approval .. cobb teen ene ee serene 16
1.24. Requirement 487 ~ POCL Implementation ~ Installation: Survey
of Outlets by the Contractor .. .
1.25. Recuirement 488 ~ POCL Implementation installation:
Installation and Acceptance of the Office
Plat£Orm 2... ce eve eee eee eee
2.26, Requirement 489 - POCL Implementation ~
of Existing Equipment
1.27. Requirement 490 - POCL Implementation
nstallation within Normal Business Hours .1?
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1.28. Requirement 49] ~ POCL Implementation - Installation:
Completion of Internal Modifications ol?
1.29. Requirement 492 - POCL Implementation ~ Installation:
Modifications ~ Compliance with Legislation]?
station ~ Installation: Removal
/ Fitting of Equipment at Relocated é
Refurbished Outlet ..
1.31. Requirement 494 - POCL Implementation - Installati
to Network Change Requests ....
1,32. Requirement 495 - POCL Implementation - Installation:
Provision of Equipment at Counter Positions18
1.33. Requirement 486 ~ POCL Implementation ~- Installation:
Installation of Equipment at Any Site
Designated by POCL ..
1.34. Requirement 497 - POCL Implementation - Installation:
Installation by the Contractor in Outlets .18
1.35. Requirement 498 ~ POCL Implementation ~ Integration: Migration
1.30. Requirement 493
1
Response
17
1.36. Requirement 499 - POCL Implementation ~ Integ ation: Timing of
Installation ............. steer eee era e ee AB
1.37. Requirement 500 ~ POCL Implementation - Roll out: Confirmation
of Permissions for Modifications .......... 19
1.38. Requirement 501 - POCL Implementation ~ Roll Gut: Planning ana
Agreement of Site Visits .. cc cee eee eee eee 19
1.39. Requirement 502 - POCL Implementation - Roll Out: Survey
ctivities to Avoid Disruption to Service .19
POCL Implementation ~ Roll Out:
Modifications to Avoid Disruption to Services19
1-41. Requirement 504 ~ POCL Implementation ~ Roll Out: Use of
Existing Equipment .. .
1.42. Requirement 507 - POCL Implementation - Rol? out
to Avoid Pressure Periods
PpocL on - Roll Out
tion - Roll
Equipment in Outlets ..... :
1.48. Requirement S10 - POCL Implementation oll Out: Common
Planning Base for All Types of Outlet ..... 20
1.46. Requirement 511 - POCL Implementation - Roll Out: Installation
to avoid disruption to services ... 20
1.47. Requirement 512 - POCL Implementation ~- Roll Out: Overriding
Constraints to Speed of Roll Out ..
1.48. Requirement 513 - POCL Implementation ~ Roll Out: POCL's
Agreement to Equipment Upgrades
1.49, Requirement 514 - POCL Implementation - Roll Out: Mechar
for Determining that Outlets are Ready
Live ...-...-5-- seees
POCL Implementation ~ Roll Out: P
to Amend Roll Out Programme ..
1.51. Requirement 517 ~ POCL Implementation ~ Roll Out: Outlet
Modifications to be Completed in One vi
1.52. Requirement 518 - POCL Implementation ~ Roll Out: Outlet
Survey to be Completed in One Visit ....... 22
1.53. Reguirement 519 - POCL Implementatio:
Installa moat Previously Unequipped Counter
Positions oe. see ee eee nsec eee bee
1.54. Requirement 520 ~- POCL Implementation - Supporting Servic
Availability from Day One ..
1.55. Requirement 521 - POCL Implementation - Supporting Services:
Help Desk Services Single Point of Access .22
o
°
ces
'
1.40. Requirement
Requirement S08 -
Requirement 509 -
1.50. Requirement 516
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1.56, Requirement ~ POCL Implementation ~ Supporting Services:
Help Desk Telephone Number .. .22
.57. Requirement 523 OCL Implementation ~ Supporting ‘se
Levels of Support Service ......... ae
1.58. Requirement 524 - POCL Implementation - Supporting Serv
lp Desk Hardware Support . Lee
~ POCL Implementation ~ Supporting Service
Help Desk Additional support services .....23
POCL Implementation - Supporting Services:
Help Desk Resolution of Reported Incidents 23
POCL Implementation ~ Supporting Services:
POCL Help Desk .
1.62. Requirement 528 - POCL Implementation ~ Supporting Services:
Help Desk Re-Routing of Calls see een 23
1.63. Requirement 529 ~ POCL Implementation ~ Supporting Services:
Help Desk Compliance with POCL Help Service
Behavioural Standards .
1.64, Requirement 530 POCL Implementation - EPOSS Fun
Availability of Services .............08 1. 24
POCL Implementation - Training
Standards in Key Competencies .
POCL Implementation - Training
and Product Changes .........
1.67. Requirement $33 ~- POCL Implementation ~ Trai
Interference with Data Transfer
1,68. Requirement 534 - POCL Implementation - Training:
for Different User Groups ........
1.69, Requirement 536 - POCL Service Infrastructure
General Requirements ...........08
quirement 537 - POCL Service Infrastructure
Manage! Loses sees
1.71. Requirement 538 ~ POCL Service Infrastructure
Synchronisation of Time ..... wae
1.72. Requirement 539 - POCL Service Infrastructure - SMS: Reference
Data Handling sence eee 2B
1,73. Requirement 540 - POCL Service Infrastructure - Ops: Equipment
Environmental Considerations
1.74. Requirement 541 ~ POCL Service Infrastructure
Scaleabilit pene ene ZB
POCL Service Infrastructure ~ OPS: Continued
Suppert of Cperating Systems, Middleware and
Applications Sof . cece eee 27
1.76. Requirement 543 - POCL App
1.77, Requirement 544 ~ POCL Applications
Service Types
1.78. Requirement 545 - PO entation
1.79, Requirement 546 - ': ations ~ APS: General Constraints29
80. Requirement 547 - POCL Applicat ions - APS: Data Capture and
1.59, Requirement
wo
i
a
’
1.60. Requirement
1.61. Requirement 527
~23
1.65. Requirement 531
1.66. Requirement $32
ngs
1.75. Requirement 542
1.81. Requirement 548 - Transaction
Committal . sence +29
1.82. Requirement 549 - POCL Applications - Transaction
Reversal see ete ener e nee one 30
1.83. Requirement 550 - POCL Applications - APS: Update of APS
Tokens .. pee ee eee eee nero ee JO
1.84. Requirement 551 - POCL Applications Receip: ing .......30
1.85. Requirement 552 - POCL Applications - APS: Transaction
Cellection / Delivery ... ieee weeeee SL
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1.86. Requirement 553 - POCL Applications - APS: Client Data
Collection and Distribution ....., veeee 32
1.87. Requirement 554 - POCL Applications ~ APS: Fallback and
Recovery ..
1.88. Requirement 555 - POCL Service Infrastructure - OPS:
Capabilities on Initial Irplementation ....32
POCL Service Infxr.
Flexibility .... +2233
1.90. Requirement 558 - POCL Service Infrastructure - OPS: Equipment
Capacity voce eee eee ce eee eee eee vane eee 34
1.91. Requirement 559 - POCL Service Infr cture ~ OPS: Extent .34
1.92. Requirement 560 - POCL Service Infrastructure ~ OPS:
Technology Refresh oo. ccc cece eee ec eee OF
Requirement 561 - POCL Service Infrastructure - OPS: Licence
Indemnities ...
1.94. Requirement 692 - POCL Applications -
1.89. Requirement 557
ructure ~ OPS:
Inventory
anagement . * es peeve 3S
1.95, Requirement 692 ~ POCL Applications - Methods of
Payment . pee eee eee OE
Requirement ~ POCL Application. EP : Receipting .....36
Data Capture ...37
Stock Unit
693
Requirement 694 - POCL App
Requirement 695 ~ POCL App.
Control
1.99. Requirement 696 - POCL Applications - EPOS
Requirement 1 = Audit: Access ....
Requirement - Security: Policy.
Requiremer l- Audits Trail
Requirement
Requirement 800 ~- POCL Applicati ons
(A) vc ee ce eeee .
105 801 - POCL Applica Product Styles
1.106. 202 - POCL Applica Value Stock
Management tere ere eee ee AB
1.107. Requirement 803 ~ POCL Applications ~- EPOSS: Data Resilience43
1.108. Requirement 604 - POCL Applications ~ EPOSS: Transaction Log
/ Inspection
1.109, Requirement 805 - POCL Applications
Log and Inspection
1.4110. Requirement 806 - POCL Applications
Time se... eee ee ee oe
Requirement 807 ~- POCL Applications
between Stock Units
Requirement 808 ~ POCL Applications
Requirement 809 ~ POCL Applications -
Requirement 810 ~ POCL Applications -
Rules
2.118. Requirement 611 - POC Appli cations
Transmi ON veveeee
1.116. Requirement 812 - POCL Applications
Reversal .
1.117, Requirement 813 - POCL Applications
Value Stock .. .
1.2118. Requirement 814 ~ POCL Applications
Outlet Bal
Customer
Transaction
@
ssiond
1.119. Requirement 815 - POCL Applications : Process Dormant
Stock UMits cee secs cere eee eee ee nen 47
Requirement 816 - POCL Applications ~ Audit ...... oe 4B
Requirement 817 - POCL Applications =
Requirement 818 ~ POCL Ay ications -
Discounting ...48
Reference Data 49
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1.123. Requirement 819 - POCL Applications - EPOSS: The Outlet
Trial/Final Cash Account .....e. ee ee eee eee 49
Requirement 829 - POCL Applications - EPOSS: Fallback and
Recovery . eee eee eee 50
Requirement 621 ~ POCL App Business Rules 51
Requirement 822 - POCL Applications - EPOSS: Interface with
Inventory Management . «+52
1.127. Requirement 823 ~- POCL Appl ~ Data ManagementS2
1.128. Requirement 824 - POCL Applications ~ Weighing Scales52
1.12 Requirement 825 ~ POCL Applications ~ Serve Customer
(B) wee bees cece ee eeeenees .. ~52
1.130. Requirement 826 ~ POCL Service I OPS Future
Flexibility for Sharing of Specialist
Peripherals .........eeeeeee becca eee eeene 54
1.131, Requirement 827 - POCL Serv Infrastructure - OPS: Ability
to Maintain Authorisation Data ............54
1.132. Requirement 828 ~- General - Security: Data Security ........54
1.133. Requirement 829 ~ General ~ Secu y: Prosecution support ..54
1.134. Requirement 830 - General - Security: Contingency Plans ....55
1 Requirement 831 ~ End to End Service ~- POCL Interfaces .....56
1 Requirement 832 ~ POCL Applications - EPOSS: Business
Requirement
Requirement
Processes .
~ POCL Appl Training Mode.
~ POCL Applications ~ EPOSS: Transitional /
Contingency Arrangements ....
1.139. Requirement ~ POCL Applications - EPOSS: EPOSS Related
1.140. Requirement ~ POCL Applications ~ EPOSS: Service
Development ....- ccc cece eee e eee ee eee
1. Requirement 837 - POCL Applications - EPOSS: Reporting ..
1. Requirem $38 - POCL Applications - EPOSS: General .
i. Requireme €39 - POCL Applications EPOSS: Retail
mality .... . sentence eee 6
1.144, Requireme - POCL Service Infrastructure ~ Service
Levels: Transaction Monito ring System (TMS) 61
1.165. Requirement 870 ~ POCL Appl
Times ... ; sees 62
1.146. Requirement 871 POCL Applicata ons - Service
LEVELS coe e veer ene nee n eect erent erennes wee 63
1.147. Requirement 880 - POCL Applications: Specification of
Transaction Data from Outlet to TIP vee OF
1.148. Requirem - POCL Applications - APS: Rec tiation .. 64
1.149. Requireme €91 - End to End Service - Reconciliation
REQULTEMENES Cece cece e eee eee ee 64
1.180. Requirement §84 - General ~ Management. Information
Requirement ........005 cece sence ees 67
1.151. Requirement 895 - General - Se regul x . Encashment
Patterns .... eee een een eens OB
1.152. Requirement 896 - POCL Implementation~ ‘Documentation: Access
to Documentation by Electronic Means ......68
1.153. Requirement 898 - Order Book Control Service (CBCS} - General
Requirements ... . vee 68
1.184. Requirement 899 - OBCS ~ Stop List Maintenance .. . ... 69
1.155. Requirement 900 - OBCS ~ Order Book Processing: Bar-Coded
Order Books .. .
1.156. Requirement 901 - CBCS - Order Book Processing:
BOOkS ...-a-e ae
1.157. Requirement 902 - OBCS ~ Tra i .
1.158 903 OBCS ~ General Service Levels ae
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Requirement 905 - POCL Implementation ~ User Support for
Transaction Accuracy
1.160, Requirement $96 - POCL Implementation - Roll Out: ......
1.161. Requirement $11 - End to End Service - Integrity Across
Changes . .. sees a 73
1.162. Requirement 912 ~- POCL Service Ther structure - ‘SMS Portable
Appliance Testing ....... . severe ee eee TA
1.163. Requirement 913 - Implementation - Service Level Agreement:
POCL User Documentation 2... cece eee eee eee 74
1.164. Requirement 914 - Implementation ~ Service Level Agreement:
Operational Systems Help Desk .... .78
Requirement 915 ~ Implementation - Service Level Agreement:
Training Services co.cc cece eee eee eee 83
918 ~ General - Communic, . pee n cee BF
Requirement 921 - POCL Service Infrastructure ~ Security: OPS
Secure Time-out penne ee BF
168. Requirement 922 ~ POCL Service Infrastructure ~ OPS: No.
Emissions .....-... beeen sae
1.169. Requirement 925 - Joint Implementation - Operationa
Acceptance Testing Requirements ..
170. Requirement 926 - Roll Out: Generic Requirement ...
171. Requirement 938 - Data Protection ......... beeen ees
.172. Requirement 942 ~ Implementation ~- Roll Out: Pose Office Roll
out : wee BS
1.173. Requirement 945 - Implementation ~- Service , Level Agreements:
Installation of POCL Service Infrastructure89
174. Requirement 949 ~ POCL Implementation - Training .. on 89
175. Requirement 951 ~ General ~ Service Architecture De sy
Document .. Wee e eee e nee evens we BG
1.176. Requirement $52 - POCL Service Infrast ructure ~ OPS: APS Key
Management : . :
1. Requirement $53 - POCL Service Infras ructe
Concurrency ........ .
78. Requirement 956 - OBCS - OPS Ir rface: ESNCS ‘to ‘BCs sees 90
9. Requirement 960 - POCL Applications ~ EPOSS: Zero-Value
Transactions .
1.180, Requirement 371 - POCL Impiementati: on = 5
Requirement ........-..--000- cee ce ee 94 .
181. Requirement 972 - Implementation - Roll Out rategy .. 94
.182. Requirement 973 ~ End to End Service ~- Internal Interface
pecifications ......... rere. I
he
1. REQUIREMENTS
1.1. Requirement 463 - POCL Service Infrastructure - OPS:
Additional Requirements for OPS Equipment
1.1.1. The Contractor shall supply samples of all elements of
the POCL Service Infrastructure used to provide OPS for
purposes other than (i) Roll Out and (ii) live use in
POCL Premises as part of the Operational Services.
Examples of these purposes incl
a)testing by POCL;
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b) training;
c)demonstrations and marketing.
1.1.2. The Contractor shall provide specimens of all elements
and proposed elements of the POCL Service Infrastructure
used to provide OPS from time to time to undergo
destructive safety testing.
. POCL shall notify the Contractor from time to time of
how many samples are requ a for the purposes of
testing such elements of the POCL Service Infrastructure
at Operational Trial. They sha not in total exceed the
eguivalent of 8 post offices with a total of 50 Counter
Positions. Any requirements thereafter for samples of
equipment for testing purposes (beyond the initial 50
Counter Positions) shall be subject to a process
approved by a date consistent with the Project Plan.
1.1.4. Unless testing demonstrates a breach of the relevant
standards in Schedule AQ2, the number of specimens for
destructive testing purposes shall not exceed one
example of each component of Hardware within the
elements of the POCL Service Infrastructure that are
proposed for the OPS.
1.1.5. The quantity of samples for training purposes depends on
the training methodology employed.
1.2. Requirement 464 - POCL Service Infrastructure - OPS:
POCL's Agreement to Offer Services Using OPS and TMS
1.2.1. Services which utilise OPS or TMS shall only be provided
subject to the agreement of POCL.
1.3. Requirement 465 - POCL Service Infrastructure ~- OPS:
Appearance of the OPS Equipment
1.3.1. The livery of the elements of the POCL Service
Infrastructure te be used for OPS shall be agreed with
POCL before Roll Out. A single livery shall be approved
for all Outlets that is consistent with the POCL Style
Guide for Post Offices.
1.3.2. The effort required to maintain the appearance of the
Equipment to a level reasonably acceptable to POCL shall
be minimal.
1.4. Requirement 466 - POCL Service Infrastructure - OPS:
Consumables
1.4.1. The Contractor shall supply detailed specifications of
all the consumables used by th OPS. The Contractor
shall provide estimates of the likely consumption of
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1.5.
each consumable and, as part of an impact assessment,
the impact on consumption of any changes, including new
Services.
The Contractor shall be capable of supplying ali
consumables, but POCL shall have the option to source
consumables from another supplier.
Requirement 467 - POCL Service Infrastructure - OPS:
Links from OPS to TMS
. Each instance of OPS within Outlets shall interface with
TMS to allow the transfer, in both directions, of
authorised data files and messages.
The transfer of data between OPS and TMS shall be
secure, complete, accurate and robust.
1.5.3. Within OPS it shall be possible to identify whether data
.6.
-7.
1.8.
from OPS have been received by TMS or not.
Requirement 468 ~ POCL Service Infrastructure - OPS:
engineering visits
. Maintenance and repair of the elements of the POCL
Serv Infrastructure used to provide OPS involving on-
site attendance at POCL Premises by the Contractor’s
engineers shall not interfere unduly with the ability of
an let to serve Customers, even where Outlets have a
singl Counter Position and/or extremely limited
physical space.
Requirement 469 - POCL Service Infrastructure - OPS:
Technical Documentation
. The Contractor shall provide technical documentation
concerning OPS and the elements of the POCL Service
Infrastructure used to provide OPS. This documentation
shall be suitable to allow POCL to procure applications
which utilise OPS or hardware which interfaces with OPS.
These procurements shall not necessarily be from the
Contractor.
All changes to such documentation shall be subject to
the Change Control Procedure.
Requirement 470 - POCL Service Infrastructure ~ OPS: TMS
Technical Documentation
1.8.1. The Contractor shall provide technical documentation
concerning TMS and the elements of the POCL Service
Infrastructure used to provide TMS. This documentation
shall be suitable to allow POCL to precure applications
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which out se TMS. These procurements shall not
necessarily be from the Contractor.
1.8.2. All changes to such documentation shall be subject to
the Change Control Procedure.
1.9. Requirement 471 ~ POCL Service Infrastructure - OPS:
Messaging facilities
1.9.1. Using TMS and OPS it shall be possible to broadcast
short messages to all or a subset of Outlets. As a
guide, a message length of approximately 2000 bytes is
likely to be acceptable.
1.9.2. Such messages shall be brought to the attention of staff
working at automated Counter Positions in the Outlet at
the earliest practical opportunity. OPS shall enable
staff at Cutlet to preduce a hard copy of the
message within the Outlet.
1.9.3. TMS and OPS shall have the capability to be developed to
allow, subject to change control, staff working in the
Outlets to gain access to information held
electronically on the POCL Service Infrastructure such
as is currently published in ‘Counter News’ and the
operations manuals provided hereunder by the Contractor.
1.10. Requirement 472 ~- POCL Service Infrastructure - OPS:
Security of Data and Audit Trail
wie Data capture within CPS shall be accurate and robust.
1.10.2. The integrity and security of data held within the
OPS shall be prot at all times. Full logs of Events
within OPS shal é maintained and an audit trail of
interactions with, and ections within, OPS shall be
maintained.
1.10.3. The integrity and security of data held thin OPS
sha net be compromised by any Incident nor when OPS is
re-established following any cident.
L.1l. Requirement 473 - POCL Service Infrastructure - OPS: User
Access
1.1.1. Any remote access to OPS shall be restricted to Users
specifically authorised by POCL and shall only take
place via TMS.
Access to OPS and POCL Services offered via OPS to
staff working in the Qutlets shall be controlled by a
mechanism, conforming to the POCL Style Guide, offering
multiple access levels and providing specific
identification of each User.
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L.Li.3. It shall be possible to res ct the functionality
it (inter alia} some POCL
Outlets.
available at an Outlet, to pe
Services not to be offered at
1.il.4. There shall be support available to Users who have
forgotten their passwords, A large proportion of the
Outlets have only a single Counter Position. The support
mechanism used shall not unduly reduce the effectiveness
of access control.
1.11.5. there shall be a secure and reliable mechanism for
Users to suspend and resume access to OPS and POCL
Services ffered via OPS. This shall not be unduly
enerous or time consuming for Users.
1.12, Requirement 474 - POCL Service Infrastructure - OPS:
Health, Safety, and Legal Obligations
212.1, The Contractor shall ensure that all Equipment used
in the provision of OPS is rated for continuous
operation, and capable of functioning safe and
reliably for an unlimited period, attended or
unattended, in Outlets.
2.2. Each installation of such Equipment shall be
physically and electrically safe and in compliance with
relevant legislation and recognised best practice. Such
installation shall not cause interference with other
devices. Such Equipment may be required to be installed
in residential premises.
a} “Relevant legislation” includes all relevant OK
Regulations and, from the due date of UK
implementation, EC Directives. Such Equipment shall be
maintained to be complient with any subsequent
legislation.
b)“Relevant legislation and recognised best practice”
includes mandatory standards, cluding all relevant UK
Regulations and, on the due date of UK
implementation, EC Directives. Such Equipment shall be
maintained to be compliant wi any subsequent
legislation or mandatory standards.
c)All Equipment used in the provision of OPS shall comply
with BS EN60950 :; 1992 ({BS700 71992) and any
subsequent amendments.
d)All Equipment used in the provision of OPS comprising
AC power adaptors nall comply with BS EN60065 ; 1993
(BS7002 :1992).
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e)The workstation aspects of all Equipment used in the
provision of OPS shall comply with the Health and
Safety (Display Screen Equipment) Regulations 1992,
which implement Council Directive 90/270/BEC on working
with display screen equipment.
f)Any Equipment used in the provision of OPS containing
laser emitters (including, without limitation, laser
printers and laser barcode scanners} shall comply with
BS EN 60825:1992.
g)Any telecommunications Equipment used in the provision
of OPS shall comply with Council Directive 91/263/EEC
(the Telecommunication Terminal Equipment Directive}
and have a current BABT certificate or equivalent for
connection to the public telephone network.
h)ALL Equipment used in the provision of OPS which is
defined as machinery shall comply with the Supply of
Machinery (Safety) Regulations 1992, which implement
the Machine Directive 89/392/EEC as amended by
G1/368/EEC.
A}ALL Equipment used in the provision of OPS shall comply
with the Electrical quipment (Safety) Regulations
1994, which implement the Low Voltage Directive
7T3/23/EEC as amended by 93/6S/EEC.
J)ALL Eguipment used in the provision of OPS and
connected, or intended for connection, to weighing
devices shall mest the reguirements of the Non-
automatic Weighing Instruments {EEC Requirements}
Regulations 1932 Schedule 3 Appli ons.
k)All visual display terminal Equipment (including,
without limitation, keyboards) used in the provision of “
OPS shall comply ith the relevant requirements of
either BS 7179:1990 or ISO $241:1992,
I)ALL Equipment used in the provision of OPS which falls
within the scope of The Electromagnetic Compatibility
(EMC) Regulations 1992, which implement Council
Directive 89/336/EEC (as amended by 92/31/EEC), shall
comply with such Regulations.
m)ALL Equipment used in the provision of OPS shall meet
the minimum EMC requirements of both residential and
commercial installations, including compliance with BS
EN 50081 and BS EN 50082 with the following amended
test severity levels and with no degradation of
performance:
. ITEC 801 part 2 class 3, 6kV contact discharge;
° TEC 801 part 3 3V/m;
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* IEC 801 part 4 +/~ 1kV injected onte mains AC supply;
. TEC 801 part 5 +/- 2kv.
n)All Equipment used in the provision of OPS and covered
by EN45501:1992 shall comply with clause A4.5 (voltage
variations} and Annex B of that standard.
@}AlL items of Equipment used in the provision of OPS
shall have an Index of Protection rating of IP3X as
defined in BS EN 60529:1992.
1.12.3. The Equipment used in the provision of OPS and its
installation shail not constrain POCL or the Ag s from
meeting their legal safety responsibilities as
employers.
1.12.4. It shall be possible to prove compliance with
legislation or mandatory standards as and when
necessary.
1.13. Requirement 475 - POCL Service Infrastructure - OPS:
Style Guide
2.13.2. The Contractor shall draw up the Horizon OPS Style
Guide and agree this with POCL by a date consistent with
the Project Plan. Any POCL Services to be offered via
the OPS shall be provided in accordance with the Horizon
OPS Style Guide
1.13.2. The Horizon OPS Style Guide shall set out, inter
alia, general guidelines for the Human Computer
Interface, including screen layouts, system navigation
routes and help and manual entry facili
iat
1.13.3, The Human Computer Interface shall be intuitive and
easy to use, to minimise errors and delays. The Human
Computer Interface shall provide a consistent look and
feel across all Applications and be easy to adapt to
facilitate the introduction of new Applications.
1.14. Requirement 476 - POCL Service Infrastructure - OPS:
Release control
1.14.1. The following requirements shall be met in connection
with the distribution and subseguent activation of each
Release.
1.14.2. The following shall be approved by POCL before any
Release, this approval not being unreas
tably withheld:~
a)the contents of any Release;
b)the upgrade path for any Release;
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c)the timing of the distribution of any Release;
djthe timing of the activation of any Release.
1.14.3. The Contractor shall provide proof of sufficient and
satisfactory pre-testing of each Release, including the
following aspects:~-
ajat individual component {unit test) level;
bjof all components of the Release, both changed and
unchanged, working together (system test);
ejof all components in combination with different
hardware and software combinations which may be
encountered when the Release is in live, non-training,
use eunder.
1.14.4. The Contractor shall provide proof of sufficient and
Satisfactory preparation for the implementation of a
Release. This shall include testing the implementation,
reversion and regression from the Release.
ay
4.5. The implementation of any Release shall not cause any
sign cant disruption to Users, shall not disrupt the
normal working environment of Users and shall not
require significant involvement from Users.
1.14.6. The implementation of any Release shall not cause any
corruption to data held by or on behalf of POCL.
1.14.7. The Contractor shall maintain a detailed record of
all Releases and where they are deployed.
1.15. Requirement 477 - POCL Service Infrastructure ~ OPS:
Asset register
1.45.1. The Contractor sh maintain a detailed list of all
physical components installed at POCL Premises (an OPS
asset register) and make it available to POCL on
request. From the list it shall be possible to identify
all elements cf the POCL Service Infrastructure
installed at any location.
1.16, Requirement 478 - POCL Service Infrastructure - OPS:
Basic TMS Facilities
1.16.1. TMS shall link into each instance of OPS that is to
be used for live work.
2.16.2. TMS shall provide links into other computer systems
as required to support POCL. These systems inciude:-
a)Client systems operated on behalf of Clients; and
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b)other POCL syst
» including without limitation TI
1.16.3. TMS shall provide Data File collection and Data File
delivery Services,
a)It shall be pessible to collect Data Files from or
deliver Data Files to any computer system attached to
TMS,
b)The collection or delivery of Data Files shail be
triggerable by any of:
. User action;
. time;
° in response to a message from an attached computer
system or generated within TMS.
e)The collection or delivery of Data Files shall be
retried automatically, under parameter control, in the
event of any failure.
dj)It shall be possible for POCL to specify a pre-defined
list of computer systems to which a Data File is to be
delivered or from which a Data File is to be collected.
1.16.4. TMS shall provide a message switching capability,
where a message consists of electronic data ¥ ch shall
be passed from on computer system to another
(“switched”) with minimal delay.
a)It shall be possible to switch messages between any two
attached computer systems (including without limitation
between elements of the POCL Service Infrastructure in
individual Outlets}.
b)Where TMS is unable to deliver a message it shall
notify the originating computer system.
c)TMS shall inciude the following processing
capabilities:
. validation of Data Files;
. consolidation of many Data Files into one Data F
° generating many Data Files from one Data File;
° ceformatting the contents of Data Files;
* generating control totals through access to the
contents of Data Piles;
. reconciliation of control totals;
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* produce reports summarising financial transactions.
1.16.5. The Contractor shall maintain a full audit trail of
all TMS activity.
1.16.6. The Contractor shall ensure that any transfer of Date
Files or messages to or from TMS is, and can be shown to
be, secure, complete accurate and robust.
1.17. Requirement 479 ~ POCL Service Infrastructure - OPS:
Control and Monitoring of TMS links
1.17.
1. No computer system shall be connected to the elements
of the POCL Service Infrastructure on which TMS is
provided without the approval of POCL.
1.17.2. TMS shali only allow connections to such elements of
the POCL Service Infrastructure to be established with
computer systems which are approved by POCL to be
connected. The Contractor shall maintain a register of
computer systems with which such connections are
allowed.
1.17.3 TMS shall authenticate the identity of any computer
system with which a link is to be established.
1.17.4. TMS shall produce reports detailing any attempt to
establish a
provide these
ink which is rejected. The Contractor shall
reports to POCL on request.
1.18. Requirement 480 - POCL Service Infrastructure - OPS:
Legical Disereteness of TMS
1.18.1. TMS shall be logically discrete from other POCL
Services such that other services can be separately
procured that make use of TMS and such that, in
extremis, a replacement service for TMS could be
separately procured.
1.19. Requirement 481 ~- POCL Implementation - Documentation:
Process and Procedures Documentation
1.19.1. The Contractor shall provide, before training
commences, a comprehensive set of PPDs for completing
Transactions undertaken in Outlets. The PPDs shall also
include the definitive rocedural instructions for
Transaction support processes at Outlets e.g.
accounting, balancing, Value Stock taking, and details
of what to do in emergency situations e.g. failure of
the POCL Service Infrastructure.
1.19.2. In essence the PPDs shall provide full details of
completing all automated procedures in all Outlets.
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1.20. Requirement 482 ~ POCL Implementation - Documentation:
Documentation Standards for PPDs
1.20.1. The documentation standards applicable to PPDs shall
be agreed, from time to time,
1.21. Requirement 484 - POCL Implementation ~ Documentation:
Availability of PPDs
1.21.1. The Contractor shall provide POCL one paper copy and
one electronic copy of each PPD and subsequent updates.
1.22. Requirement 485 ~- POCL Implementation - Documentation:
Updating PPD Information
1.22.1. e PPDs shall be updatable and updated, in line with
any Service Levels agreed between the parties from
to ime, {or if not agreed, then within a reasonab.
time}, to ensure information is always current.
1.23. Requirement 486 ~ POCL Implementation - Documentation:
POCL’s Approval
1.23.1. All documentation provided hereunder by the
Contractor shall be subject to final approval by POCL.
1.24. Requirement 487 - POCL Implementation - Installation:
Survey of Outlets by the Contractor
The Contractor shall carry out the survey of Outlets
to ascertain what mo ications are needed to install
the POCL Service Infrastructure.
1.25. Requirement 488 - POCL Implementation - Installation:
Installation and Acceptance of the Office Platform
1.25.4. The installation and acceptance of the elements of
the POCL Service Infrastructure used te provide the OPS
shall be undertaken in one day at each location in the
POCL Premises.
1.26. Requirement 489 ~- POCL Implementation - Installation:
Removal of Existing Equipment
1.26.1. The Contractor shall, on completion of implementation
at an Outlet and using an agreed process, disconnect and
move existing automated equi mt as specified by POCL,
and identified during the relevant site survey, to a
single location in mainland UK agreed with POCL from
time to time.
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1.26.2. Such existing automated equipment shall be limited to
the PC configurations that support ECCO and / or ESNS at
15th May, 1996.
1.27. Requirement 490 - POCL Implementation ~ Installation:
Installation within Normal Business Hours
2.27.1. Installation at an Outlet shall be carried out at
times in accordance with the CCD entitled “Installation
Strategy”.
1.28. Requirement 491 ~- POCL Implementation - Installation:
Completion of Internal Modifications
1.28.1. The Contractor shall carry out internal office
modification work at all POCL Premises in accordance
with Clause 406 of the Codified Agreement.
1.29, Requirement 492 ~ POCL Implementation - Installation:
Modifications - Compliance with Legislation
1.29.1. The Contractor sh ensure that all staff and sub~-
contractors carrying out modification work shall conform
to all legislative requirements.
1.30, Requirement 493 - BOCL Implementation - Installation:
Removal / Fitting of Equipment at Relocated / Refurbished
Outlet
limitations defined in Annex 5 to Schedule
Al2, the Contractor shall, as an Optional POCL Service,:
aj}be responsible for the remova / fitting of the
Equipment when Outlets are either relocated or
refurbished. The Contractor shall move equipment within
Outlets if needed for refitment / refurbishment reasons
{including refitment / refurbishment to make such
Outlets open plan), and shall if necessary provide
extra Equipmen and
b)if requested by POCL, equip new sites / relocated sites
in line with POCL's evolving network strategy from time
o time.
ct ob
1.31. Requirement 494 ~ POCL Implementation - Installation:
Response to Network Change Requests
L.34.2. The Contractor shall respond within a
(which shall be agreed between POCL and the
before commencement of Roll Out of the POCL Services)
to network change requests supplied by POCL, in
accordance with Service Levels. This requirement covers
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provision and installation of equipment in new and
relocated POCL Premises as well as the movement /
reconfiguration of equipment within existing POCL
Premises.
1.32. Requirement 495 - POCL Implementation - Installation:
Provision of Equipment at Counter Positions
1.32.1. Subject to the limit in Annex 5 to Schedule Al2, the
Contractor shall provide the Equipment at Counter
Positions. These shall include modified parcel positions
and some non-modified positions.
1.33. Requirement 496 ~- POCL Implementation - Installation:
Installation of Equipment at Any Site Designated by POCL
1.33.1. The Contractor shall install the Equipment at any
site designated by POCL which may include training
centres.
1.34. Requirement 497 - POCL Implementation - Installation:
Installation by the Contractor in Outlets
1.34.1. The Contractor shall install the POCL Service
Infrastructure necessary for OPS in Outlets.
1.35. Requirement 498 - POCL Implementation - Integration:
Migration of Existing Preducts and Systems
1.35.1, The Contractor shall migrate existing POCL Products
and PCCL systems from current POCCL platforms - APT,
ECCO+, ALPS, manual - to the POCL Service Infrastructure
with no discontinuity of service to Customers and
Clients. The Contractor shall work closely with POCL to
plan how best to achieve effective migration. At
Outlets, data transfer and associated tasks shall be
expedited as efficiently as possible with minimum staff
/ subpostmaster involvement.
1.35.2.in office data migration shall be carried out in
accordance with the Migration Specification. To the
extent that the first paragraph of this requirement 498
is inconsistent or in conflict with the Migration
Specification, the Migration Specification prevails.
1.36. Requirement 499 - POCL Implementation - Integration:
Timing of Installation
1.36.1. Installation of the POCL Service Infrastructure shall
not take place until the support services are available.
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1.37. Requirement 500 - POCL Implementation - Roll Out:
Confirmation of Permissions for Modifications
1.37.1. The Contractor shall obtain in each case
certification from the appropriate Authorising Officer
that relevant permissions have been granted before
modifications to each POCL Premises are carried out.
1.38. Requirement 501 - POCL Implementation - Roll Out:
Planning and Agreement of Site Visits
1.38.1. The Contractor shall ensure there is a process in
place to ensure all Outlets and Horizon Implementation
Managers are aware of and agree the times and dates of
all site visits. The relevant Horizon Implementation
Manager shall be the final arbiter in case of
disagreements between the Contractor and the Outlet
Manager.
1.39. Requirement 502 - POCL Implementation - Roll Out: Survey
Activities to Avoid Disruption to Service
1.39.1. The Contractor shall carry out all survey activities
with minimum degradation of post off and retail
operations - including any existing computer,
telecommunications and other systems at the Outlet.
1.40. Requirement 503 - POCL Implementation - Roll Out:
Modifications to Avoid Disruption to Services
1.40.1. The Contractor shall carry out all modification
activities with minimum degradation of Post Office and
retail operations - including any existing computer,
telecommunications and other systems at the Outlet.
1.41. Requirement 504 - POCL Implementation ~ Roll Out: Use of
Existing Equipment
1.41.1. The Contractor shall utilise existing POCL equipment
as specified in Schedule A039.
1.42. Requirement 507 - POCL Implementation ~ Roll Out:
Installation to Avoid Pressure Periods
1.42.1. Unless otherwise agreed with the Horizon
Implementation Manager and / ox Outlet Manager, the
Contractor shall minimise installation activity of the
Equipment on POCL Premises during particular business
periods, namely Christmas and New Year pressure periods,
and other post office specific dates agreed by the
Contractor and POCL on an annual basis (such agreement
not to be unreasonably withheld or delayed).
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1.43. Requirement 508 - POCL Implementation - Roll Out:
Suspension
1.43.24 POCL may suspend the Roll Cut programme if the
Contractor fails te meet any of the Service Levels.
1.44. Requirement 509 - POCL Implementation ~ Roll Out: Siting
ef Equipment in Outlets
1.44.4. Within a specification to be agreed with POCL by a
date consistent with the Project Plan, the siting of the
elements of the POCL Service Infrastructure in each
Outlet shall be agreed by the Outlet manager.
1.45. Requirement 510 - POCL Implementation ~ Roll Out: Common
Planning Base for All Types of Outlet
1.45.1. For the purpose of Roll Out planning the Contractor
shall make no particular distinction between types of
"main" post office {e.g. branch offices, modified sub
post offices and franchis
1.46. Requirement 511 - POCL Implementation - Roll Out:
Installation to avoid disruption to services
1.46.1 The Contractor shall carry out all installation
activities with minimum degradation of post office and
etail operations - including any existing computer,
telecommunications and other systems at the Outlet.
1.47, Requirement 512 - POCL Implementation - Roll Out:
Overriding Constraints to Speed of Rell Out
1.47.1, Roll Out of the POCL Service Infrastructure and POCL
Services shall be undertaken as quickly as possible
subject to the over-riding requirement to:
a)maintain service and Client continuity;
b)maintain the quality of service delivery to Clients and
Customers;
c)appropriate support systems ~- including training -
being in place;
djavoidance of damage to POCL's brand, reputation and
integrity;
e)treat POCL's staff and Agents professionally and with
respect;
but in any case shall be completed by a date consistent
with the Project Plan.
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1.48. Requirement 513 - POCL Implementation - Roll Out: POCL’s
Agreement to Equipment Upgrades .
1.48.1. The Contractor shall only upgrade the Equipment at
Outlets with the prior approval of POCL. This approval
shall not be unreasonably withheld.
1.49. Requirement 514 ~- POCL Implementation - Roll Out:
Mechanism for Determining that Outlets are Ready to Go
Live
1.49.1. The Contractor shall provide a process for
determining that individual POCL Premises are ready to
go live i.e. that the new POCL Service Infrastructure
functionality at such POCL Premises shall be activated
for use. POCL may withheld agreement to such activation
if, for any reason, it determines that in a particular
set of circumstances such activation is detrimental to
its Customers, Clients, staff, or Agents. If such
activation is not sanctioned, POCL and the Contractor
shall resolve outstanding issues as soon as possible.
1.50. Requirement 516 - POCL Implementation - Roll Out: POCL
Rights to Amend Roll Out Programme
1.50.1. POCL reserves the right to request amendments to the
Roll Out Programme, in accordance with the Change
Control Procedure, as necessary to protect its Service
Levels.
1.51. Requirement 517 ~ POCL Implementation ~ Roll Out: Outlet
Modifications to be Completed in One Visit
1.51.1. The modifications will be completed in one visit to ~
the Outlet. Telecommunication line installation may be
carried out separately and with prior notification to
the Horizon Implementation Manager and / or Outlet
Manager (approval not required for telecommunication
installation provided that it is carried out during
normal working hours of the relevant Outlet). It is
recognised that modification work in larger Outlets,
i.e. those with more than six (6) counter positions, may
need to span more than one day. In these, or other
exceptional circumstances, arran nts to complete such
work over more than one day w be subject to mutual
agreement between the Contractor, the Horizon
Implementation Managers and / or Outlet Managers, but
such agreement shall not be unreasonably withheld.
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1.52. Requirement 518 ~ POCL Implementation ~ Roll Out: Outlet
Survey to be Completed in One Visit
1.52.1. Each Outlet survey shall be completed in one visit to
the Outlet.
1.53. Requirement 519 - POCL Implementation - Operational
Services: Installation at Previously Unequipped Counter
Positions
1.53.2. Subject to the limits in Annex 5 to Schedule Al2, the
Contractor shall pr de and install the POCL Service
Infrastructure used for OPS at Counter Positions not
previously so automated as directed by POCL.
1.54. Requirement 520 - POCL Implementation - Supporting
Services: Availability from Day One
21.54.21. The Contractor shall ensure that all the support
services shall be available before activation of the
POCL Service Infrastructure in each POCCL Premises in
line with the Service Levels.
1.55. Requirement 521 - POCL Implementation - Supporting
Services: Help Desk Services Single Point of Access
1.55.1. The Contractor shall provide one telephone number as
a single point of access to all Help Desk Services.
1.56. Requirement 522 - POCL Implementation - Supporting
Services: Help Desk Telephone Number
1.56.1. The Help Desk contact point for POCL Users shall be a
local rate telephone number.
1.57. Requirement 523 - POCL Implementation -~ Supporting
Services: Levels of Support Service
1.57.1. The Contractor shall provide appropriate levels of
support services:
a}toe all Users who have access to the POCL Service
infrastructure;
b)to cover the operation of interfaces with the POCL
Service Environment;
c)to provide support for all other help desks linked to
the Help Desk facility provided by the Contractor.
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1.58. Requirement 524 - POCL Implementation - Supporting
Services: Help Desk Hardware Support
1.58.1. The Help Desk Service shall deal, without limitation,
with calls relating to the Hardware. This shall include,
but is not exclusive to:
a}favlt diagnosis;
b)maintenance cail out;
c)caretaking advice;
d}configuration management.
1.59. Requirement 525 - POCL Implementation ~- Supporting
Services: Help Desk Additional support services
1.59.1. The Help Desk must be able to provide access for
Users to additional support services (including training
facilities, training materials, operational support
documentation, and consumables) by the commencement of
Roll Out and shall provide such access thereafter when
requested to do so by POCL.
1.60. Requirement 526 - POCL Implementation - Supporting
Services: Help Desk Resolution of Reported Incidents
1.60.1. All reported Incidents shall be
Service Levels.
solved in line wit
1.61. Requirement 527 - POCL Implementation - Supporting
Services: POCL Help Desk
1.61.1. A dedicated POCL Help Desk staffed by fully trained,
qualified and experienced personnel shall be provided
working to Service Levels.
1.62. Requirement 528 - POCL Implementation ~ Supporting
Services: Help Desk Re-Routing of Calls
1.62.1. Calls made to the POCL Help Desk t are not
pertinent to it shall be re-routed to the appropriate
point as per Service Levels.
1.63, Requirement 529 - POCL Implementation - Supporting
Services: Help Desk Compliance with POCL Help Service
Behavioural Standards
1.63.1. The Help Desk Service shall comply with POCL help
service behavioural standards in accordance with Service
Levels.
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.64. Requirement 530 - Poch Implementation - EPOSS
Functionality Availability of Services
64.1. If for any reason it is not possible to - or it is
decided by POCL not to - make EPOSS functionality
immediately ailable on commencement of Roll Out of the
POCL Service Infrastructure, APT functionality shall be
available and operational with no adverse system or
operational impacts. In effect it shall be a
reg ement to isolate EPOSS functionality so that it
cannot inadvertently be used/misused to the detriment of
Customer service and POCL accounting needs.
.65. Requirement 531 - POCL Implementation - Training:
Acceptable Standards in Key Competencies
265.1, {Training shall be provided te enable POCL‘'s target
audience to achieve acceptable standards in key
competencies as defined by POCL by a date consistent
with the Project Plan. These competencies shall be
reviewed from time to time. For some groups this may
mean familiarisation training only. The target audience
shall include Users, managers, trainers, auditors and
certain non User groups i.e. retail network managers,
regional helpline staff, and account teams in business
centres. The Contractor shall deliver the training in
the manner specified in the solution to this
Requirement.
65.2. Competence shall be measured by a method agreed
between POCL and the Contractor by a date consistent
with the Project Plan.
.66. Requirement 532 - POCL Implementation - Training: new
Products and Preduct Changes
66.1, The Contractor shall train all appropriate staff in
the handling of new Preducts or Product changes, when
such staff are trained in the five POCL Core Days before
live usage of the POCL Service Infrastructure at their
Outlet, as provided for by Requirement 915.
.67. Requirement 533 ~- POCL Implementation ~- Training: Non
Interference with Data Transfer or Integrity
-67.1. If the POCL Service Infrastructure has a facility to
operate in dummy training mode, it shall not interfere
with the transfer or integrity cof POCL Data.
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1.68. Requirement 534 - POCL Implementation - Training:
Suitability for Different User Groups
1.68.1. The Contractor's training solution shall take account
of Users' experiences in term of automated products and
plattiorms (ECCO+, APT, ALPS) and their differing
abilities to learn. The Contractor shall agree with POCL
(such agreement not to be unreasonably withheld or
delayed) the training requirements for the different
target audiences identified including training required
when individuals move between these target audiences.
This may include change of Outlet, promotion, new
recruits etc.
1.69. Requirement 536 - POCL Service Infrastructure - OPS:
Equipment General Requirements
1.69.1. Peripheral and input devices supplied as part of the
elements of the POCL Ser e Infrastructure on which OPS
is provided shall be reliable, rebust and easy to use.
1.69.2. Peripheral and input devices supplied part of the
elements of the POCL Service Infrastructure on which OPS
is provided shall be capable of detecting contention,
premature removal/swapping of Tokens etc, as
appropriate.
1.70. Requirement 537 - POCL Service Infrastructure - SMS:
System Management
70.2. The Contractor shall carry out system management of
all the POCL Services in a consistent and coherent
manner to ensure the following:
ajactivities within the POCL Services, inclu gq TMS,
* OPS, OBCS, APS and EPOSS, are co-ordinated such that,
for example, changes and faults can be tracked across
Service boundaries;
b)changes to the POCL Services can be made speedily and
accurately.
1.71, Requirement 538 - POCL Service Infrastructure ~- SMS:
Synchronisation of Time
1.71.1. SMS shall provide a facility for synchronising the
date and time across the POCL Services and the POCL
Service Infrastructure. This shall cater for the
handling of clock changes (e.g. at the beginning and end
of British Summer Time).
1.71.2. SMS shall permit Transactions to be processed using
local time and/or GMT, and all the relevant elements of
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the POCL Service Infrastructure shall be able to derive
both local time and GMT.
1.72. Requirement 539 - POCL Service Infrastructure - SMS:
Reference Data Handling
1.72.1. maintain Reference Data necessary to the
the POCL Service Infrastructure and the
POCL Services.
1.72.2. SMS shall receive store and utilise Reference Data
from sources outside the control of the Contractor (e.g.
the POCL Reference Data System and Client systems).
1.72.3. It shall be possible to plement changes to
Reference Data to tight timescales. As an example of
such timescales, it shall be possible to implement
Reference Data changes consequent on a Budget by start
of business on the following day.
1.73. Requirement 540 - POCL Service Infrastructure - OPS:
Equipment Environmental Considerations
1.73.1. The Contractor shall give due attention to the
effects of the Equipment used in the provision of OPS on
the environment during manufacture, installation and
use. This includes:
ajuse of CFCs;
b)energy consumption;
c)recyclability of components;
d)recyclability of consumables;
e})waste minimisation;
f}use of sustainable resources;
g)disposal of displaced equipment and waste;
h)making appropriate use of recycled materials.
1.73.2. The Contractor shall adhere to relevant environmental
legislation such as the Environmental Protection Act
1990 and publication ‘Waste Management: The Duty of Care
- A Code of Practice’.
1.74, Requirement 541 - BPOCL Service Infrastructure - TMS:
Scaleability
1.74.1. TMS shall be scaleable to meet POCL’s business needs
from time to time.
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1.74.2. This capability shall include the ability to support
any Client Transactions re-engineered by POCL, new
capabilities developed by POCL and considerable volumes
of Transactions needing authorisation from a Client
system or a central point in POCL.
1.75. Requirement 542 - POCL Service Infrastructure ~ OPS:
Continued Support of Operating Systems, Middleware and
Applications Software
1.75.1. The Contractor shall fully support the Software in
the POCL Service Infrastructure during the life of the
elements of the POCL Service Infrastructure on which
such Software is uti ed in providing the POCL
Services.
1.76. Requirement 543 ~ POCL Applications ~ APS: Tokens
1.76.1, The APS shall support the following range of Tokens:
a)Landis & Gyr PISCES Smart Token;
b)GEC Meters WATERCARD Smart Token;
c)Schlumberger Smart Key for the water industry;
d} Schlumberger Smart Key for the electrical industry;
e)magnetic stripe card;
f)British Gas Quantum Smart Token;
g)bar coded documents.
1.77. Requirement 544 - POCL Applications - APS: Clients/Client
Service Types
1.77.1. The Contractor shall provide the APS to POCL in
respect of all its APS Clients as at i5th May, 1996.
1.77.2. The Contractor shall provide the APS such that
Clients or APS Client Service Types (which conform to
generic APS) may be added to, modified cr removed from,
the APS on a regular basis.
1.77.3. The Contractor shall provide assistance to implement
an interface to additional third party
applications/Tokens if so required by POCL.
1.77.4. The Contractor shall provide t mical assistance to
support POCL’s relationship with Clients and potential
Clients.
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1.77.5. the Contractor shall develop and maintain the APS in
@ generic way that enables additional APS Client Service
Types to be added with minimum cost and disruption.
1.78. Requirement 545 ~ POCL Applications - APS: Documentation
1.78.1. The Contractor shall provide technical and overview
documentation describing the APS by a date consistent
with the Project Plan. The technical and overview
decumentation shall be in sufficient detail to allow
POCL to market the APS to Clients and potential Clients
and to consider the suitability of additional services.
1.78.2. The Contractor shall agree the content of the
technical and overview documentation with PCCL.
1.78.3. The Contractor shall develop and maintain an AP
Client Specification which specifies the details of each
Client/Client Service Type of the APS, including but not
limited to the Client interface specification, the
presentation of information on OPS, the data involved
and any necessary timings.
78.4. AP Client Specification contents shall include:
be
1. Client identity and overview
This section identifies the Client for whom a specifi
instance of the APS is to be provided and provides an
overview of the Client’s business objectives in relation
to the APS.
2. Tokens and Methods of Payment
Aad siption of the Token{s}) that the Client requires
its customers to use and the Method(s) of Payment that
are acceptable to the Client.
3. Transaction data
° Contents;
. Validation;
. Sert/Substitution/Customisation;
. Batching;
. Transfer.
. Other data
° Contents;
. Validation;
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* Availability.
5, Client service levels
1.78.5. The Contractor shall agree the content of the AP
Client Specification with POCL before the activation of
APS for that Client.
1.79. Requirement 546 ~ POCL Applications ~ APS: General
Constraints
1.79.1. The Contractor shall deliver the APS using the POCL
Service Infrastructure.
1.79.2. The Contractor shall make the APS available at all
Counter Positions, subject to the limits contained in
Annex 5 of Schedule Al2, and at such other places where
the POCL Service Infrastructure exists.
1.79.3. The Contractor shall ensure that the availability of
APS Client Service Type at each Outlet is
idually controllable on authority from POCL.
1.80. Requirement 547 ~- POCL Applications - APS: Data Capture
and Validation
1.80.1. The Contractor shall ensure that data are captured
correctly, robustly, accurately, securely and as agreed
with POCL.
2.80.2. The APS shall, as a minimum, validate data, whet
read from Tokens or entered by the User, in accordance
with a set of rules identified in:
@)POCL APS Generic Rules;
b}Teken Technology Specifications;
c}the AP Client Specification.
1.80.3. The APS shall check data, whether read from Tokens or
entered by the User, against any valid Client data or
Reference Data for the Client Service Type (e.g. stop
lists) and take the action prescribed in the relevant AP
Client Spec ‘ n Technology Specification,
ication or T
1.80.4, The APS shall display User instructions specific to a
Client Service Type as identified in the relevant AP
Client Specification.
1.81. Requirement 548 ~ POCL Applications ~ APS: Transaction
Committal
1.81.2. The APS shall commit the Transaction when:
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a}monies have been accepted; or
b)a Transaction has been reversed; or
c)a Token has been issued; or
dja Smart Token has been accessed (including an abandoned
or enquiry Transaction).
1.82. Requirement 549 - POCL Applications - APS: Transaction
Reversal
1.82.1. The APS shall enable the Reversal of com
Transactions if eligible for Reversal as defined in:
a)POCL APS Generic Rules;
b)Teken Technology Specifications;
c)AP Client Specification.
1.82.2. The Contractor shall provide a secure and auditable
process for dealing with such Reversals.
1.83. Requirement 550 - POCL Applications - APS: Update of APS
Tokens
1.83.1. The APS shall write data to APS Tokens in accordance
with the rules identified in the appropriate Token
Technology Specification, AP Client Specification and
POCL APS Generic Rules.
1.84. Requirement 551 - POCL Applications - APS: Receipting
1.84.1. The APS shall produce a Transaction receipt for each
committed Transaction.
1.84.2. The Transaction receipt shall include, as a minimum
information sufficient to provide a Transaction audit,
plus any other information identified in the appropriate
AP Client Specification and Token Technology
Specification.
1.84.3. The receipt produced for a Reversal Transaction shall
identify it as a Reversal and identify the original
(reversed) Transaction.
1.94.4. In the event of printer failure the APS shall provide
information to enable a manually completed receipt to be
produced.
The APS shall enable ind dual Outlets to produce
lingual receipts (Welsh/English).
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1.84.6. The APS shall support retrieval of Transaction
information for the purpose of resolving Customer
queries in the Outlets and this may be by retention of a
duplicate receipt or by other means.
1.85, Requirement 552 ~- POCL Applications - APS: Transaction
Collection / Delivery
1.85.1. The APS shall m tain and deliver committed
Transactions to POCL and Clients in accordance with the
following:
a) POCL APS Generic Rules;
b) the appropriate AP Client Specification;
c)Token Technology Specification.
1.86. Requirement 553 - POCL Applications - APS: Client Data
Collection and Distribution
1.86.1. The Contractor shall ensure that Data Files from POCL
and Clients are collected/received and validated in
accordance with the relevant AP Client Specification,
Token Technology Specification and POCL APS Generic
Rules.
1.86.2. The Contractor shall ensure that Data Files from POCL
and Clients are available te all, groups of, or specific
Outlets in accordance with the appropriate AP Client
Specification, Token Technology Specification and POCL
APS Generic Rules.
1.87. Requirement 554 - POCL Applications - APS: Fallback and
Recovery
1.87.1. The Contractor shall provide fallback facilities for
the APS in situations when a User is unable to use part
or all of the POCL Service Infrastructure (for whatever
reason) and this provision shall maintain the integrity,
auditability, security and levels of Customer service.
1.87.2. The Contractor shall ensure that following an
Incident that adversely affects the integrity of APS
data, the APS is automatically recovered to a known
position and each User is able to identify what
Transaction data have to be re-entered.
1.87.3. The Contractor shall ensure that following an
Incident any previously recorded APS data which may have
been corrupted are discarded.
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1.87.4. The APS shall provide facilities for the re-input
{Recovery} of previously captured Transaction data which
have been lost following an Incident.
1.87.5. The APS shall provide facilities for the input
(Recovery) of the details of Customer Transactions
performed whilst the OPS was unavailable.
1.87.6. The APS shall provide faci
Recovery to be achieved swiftly and
ries to enable data
in an auditable way.
1.87.7. The APS shall enable data Recovery to be achieved
with minimal impact to Customer service.
1.87.8. The APS is not required to produce a receipt for
recovered Transactions (a receipt would have been
produced, either manually or automatically produced, at
the time of the counter Transaction).
1.87.9. The APS shall facilitate the ove iding of certain
validation rules for recovery Transactions, as specified
in the POCL APS Generic Rules.
1,88. Requirement §55 - POCL Service Infrastructure - OPS:
Capabilities on Initial Implementation
1.38.1. In each Cutlet, at each automated Counter Positions,
from Roll Out at such Outlet, OPS shall:
a}support the reading of track 2 from magnetic stripe
cards complying with ISO 7811 parts 1-4;
b)support the reading from and writing to Smart Tokens
complying with:
° ISO 7816 parts 1 and 2;
° and /or ISO 7816 parts 1, 2 and 3;
and be capable of supporting future applications
complying with:
. ISO 7816 part 4.
c)support magnetic stripe cards and Smart Tokens that do
not match the above standards in all respects (e.g.
where embossing is not in the correct position, or the
magnetic stripe does not adhere fully to the standards
set out in paragraph 1.1) save to the extent specified
in the Solution to this Requirement;
dj)svupport the reading of one dimensional bar-codes. The
maximum bar-code width to be read shall be 10.9 cm at a
resolution of 9 mils. OPS shall support, at minimum
code 128, EAN 8, EAN 13, code 39.
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1.88.2. In each Outlet from Roll Out at such Outlet EPOSS
shall: .
a}support printing on manually fed pre-printed forms at
the counter, for example Girobank summary forms G4631,
G463Z and G4633;
b}support printing on cheques and other forms at the
counter;
c}support prin g of existing Client reports at the
counter. This shall include printing in large fonts and
printing with 90 degree rotation;
pport the connection of electronic weighing scales
{which shall not be supplied under the Codified
Agreement) to the POCL Service Infrastructure. As a
minimum, connections shall include Avery Berkel type
DLO4 and A702. It shall be possible to share a set of
weighing scales between two or more Counter Positions
at which the POCL Service Infrastructure has been
installed;
e}support the printing of reports necessary to meet
existing Client commitments;
f}support the printing of cash accounts and plain paper
summaries;
g)support the printing PDF417 two dimensional bar-
codes on forms generated through back office
processing. ‘Typically the two dimensional bar-code
shall be used to contain cash account information;
support the printing of one dimensional bar-codes at
the counter on forms as well as tally roll print, if
such support is provided for in the Solution to this
Requirement. As a minimum, code 128, EAN &, EAN 13 and
code 39 shall be printable;
ij}support the printing of one ¢ nsional bar-cedes at
the back office, if such support is provided for in the
Solution to this Requirement. As a minimum, code 126,
EAN 8, EAN 13 and code 39 shall be printable.
1.89. Requirement 557 - POCL Service Infrastructure ~ OPS:
Flexibility
1.89.1. OPS and the elements of the POCL Service
Infrastructure on which OPS is provided shall have the
flexibility for additional peripheral equipment to be
added in the future, including input devices and
printers.
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POCL shall have the option to add up to three types
of additional peripheral equipment.
POCL ll have the option to require OPS to support
the reading of OCR to interpret code lines on bills etc.
If such option is exerci , the Charges for such
Service shall be as set out in the Solution to this
Requirement.
o4. POCL shall have the option to require OPS to support
the veading of two dimensional bar-codes. If such option
is exercised, the Charges for such Service shall be as
set out in the Solution to this Requirement.
1.89.5. POCL may, as an Additional POCL Service, require OPS
and the elements of the POCL Service Infrastructure on
which OPS is provided to be linked to teller cash
dispensers. Such Additional POCL Service shall be
subject to agreement with the Contractor.
1.90. Requixement 558 - POCL Service Infrastructure - OPS:
Equipment Capacity
1.90.1. The OPS shall support the POCL imperative of keeping
Transaction times to a minimum.
1.90.2. The OPS shall be capable of supporting the entire
range of business transacted at 0 ets for current
volumes of business and volumes of business as projected
by POCL.
1,91, Requirement 559 - POCL Service Infrastructure - OPS:
Extent
1.91.1. OPS shall be provided in each Outlet.
1.91.2. OPS shall have the ability to support the automation
of all Transactions performed at Counters Positions.
1.91.3. From Roll Out in each Outlet OPS shall be capable of
supporting APS, O8CS and EPOSS in that Outlet.
1.92. Requirement 560 - POCL Service Infrastructure - OPS:
Technology Refresh
1.92.1. POCL wishes to take advantage of changes in
technology during the term of the Codified Agreement.
1.92.2. No change shall be made to the specification of
equipment to he used within the POCL Service
Infrastructere, without approval by POCL.
1.92.3, The specification of the equipment being used and
installed within the POCL Service Infrastructure shall
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be reviewed by the parties at times reasonably agreed by
them, to ensure that the most appropriate technology is
deployed.
1.93, Requirement 561 - POCL Service Infrastructure ~ OPS:
Licence Indemnities
1.93.1. The Contractor shall indemnify POCL against any
dispute of the Contractor's or POCL’s right to utilise
the Hardware, Software or any information used for any
of the POCL Services (e.g. third party challenges with
reference to licensing or Intellectual Property Rights).
In the event of any such dispute, the Contractor shall
ensure that there is no impact on the level of the POCL
Services.
1.94. Requirement 691 ~ POCL Applications - EPOSS: Inventory
Management
1.94.1, EPOSS shall support cash management by denomination
and Stock management by Stock Item.
1.94.2. EPOSS shall support the recording of Transfers of
cash and Stock into and cut of the Outlet.
de EPOSS shall provide a fac ty to allow the
authorised update of cash and Stock held in an Outlet
via the OPS.
1.95. Requirement 692 ~- POCL Applications ~- EPOSS: Methods of
Payment
1.98.1. EPOSS shall accept single or multiple Methods of
Payment as settlement.
1.98.2, EPOSS shall allow the implementation of new types of
Methods of Payment, including without limitation debit
cards and EFTPOS.
1.98.3. The Contractor shall indicate their proposals to
implement an EFTPOS Service.
1.95.4. The Contractor shall be aware that:
a)POCL may require an EFTPOS facility as Method of
Payment on EPOSS, probably just debit cards initially
{e.g. Switch, Connect) but perhaps extending to credit
cards later, (e.g. Visa and Mastercard). The capability
to handle both debit and credit cards from commencement
ef such a facility:
bjindicative volumes for EFTPOS at 15th May 1996 were:
° between 30 and 50 million EFTPOS payments per annum;
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. 70% above the floor limit {
and so needing authorisation;
15 working assumption}
¢)the main Transactions for which EFTPOS will be used are
expected to be:
. motor vehicle licence renewals (34%), i payments
(38%, about half BT and half others};
. television licence payments {11%) and payment for
purchases from PostShops (5%}, all estimates;
. other likely Transactions leading to EFTPOS are
expected to include travel insurance and bureau de
change and cash withdrawals;
. there would be no Cash-Back option initially;
d)business arrangements have not yet been finalised but
the current assumptions are for:
. a single Merchant Acquirer;
action
« on-line authorisation and batch
submission to be via TMS;
* reconciliation of EFTPOS on the EPOSS
Transaction log with an « data stream
version of the daily bank account updates;
gned receipts may be stored in the Outlets,
remitted to Distribution Centres or dispatched to a
central fac ty {which the Contractor may wish to
offer);
° POCL expects to need to retrieve receipts in order to
prove Transactions at 0,28 or between 60,060 and
100,000 per annum at above volumes.
.5. POCL requires guidance from the Contractor as to the
options for EFTPOS on the particular facilities being
proposed and the relative costs and benefits of each.
1.96. Requirement 693 - POCL Applications - EPOSS: Receipting
1.96.1. EPOSS shall allow production of a VAT receipt for
Customers at the end of each Customer Session, but
before the next Transaction is entered.
1.96.2. EPOSS shall allow automatic production of a non VAT
receipt for Customers to support a specific POCL Service
e.g. APS.
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1.96.3. The Contractor shall agree the format of all styles
of receipts with POCL by a date consistent with the
Project Plan.
1.96.4, A bilingual Welsh/English receipt header and footer
is reguired in designated Outlets.
1.96.5, EPOSS shall allow production of additional
{duplicate) receipts and they shall be marked as such.
1.97. Requirement 694 - POCL Applications - EPOSS: Data Capture
1.97.1. The Contractor shall provide a point of sale / "Tili™
function to record all sales.
1.97.2. Data shall be automatically recorded in EPOSS if
captured during another POCL Service at the point of
sale.
1.97.3. EPOSS shall allow the manual input by the User of
weight values where scales are not linked.
1.97.4. EPOSS shall be event driven so that both ta ca
and the recording of POCL Ser es are dynamic (e.g. the
swiping of a magnetic stripe card itiates the
Transaction).
1.97.5, EPOSS shall have the facility to read data from any
input device supplied as part of the POCL Service
Infrastructure used in providing OPS.
1.98. Requirement 695 ~ POCL Applications - EPOSS: Stock Unit
Control
1.98.1. EPOSS shall
Stock levels
levels on hand.
provide the facility to adjust cash and -
in a Stock Unit to reflect the actual
1.98.2. EPOSS shall provide each Outlet with the flexibility
te set up Stock Unit(s) according to the local working
practice requirement.
1.98.3. Within EPOSS there shall be a Stock Unit management
facility at Outlet level to change Stock Unit options
and assignments.
1.98.4. The Contractor shall be aware that Stock Units are
individual units of accountability which contain Stock
(fixed price Stock Items, Customer and Client specific
Tokens, retail Stock Items, cash and Transaction
Vouchers for a POCL Outlet Accounting Period.
1.98.5. EPOSS shall allow a User or group of Users to be
accountable for a Stock Unit, so that each Outlet has at
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least one Stock Unit, but there can be other Stock
Units, effectively operating independently.
1.98.6. Each Stock Unit can in turn be tied to both a User or
group of rs ora gie Till. or group of Tillis.
1.98.7. EPOSS shall allow each Stock Unit to be Balanced
individually. The Stock Unit may be Balanced more than
ence within a POCL Outlet Accounting Period. Cash and
Stock Items shall be entered by denomination or Stock
Item 1 . This applies whether or not multiple Tills
are linked to a single Stock Unit.
1.98.8. At the end of the POCL Outlet Accounting Period an
Outlet Balance is struck with the details previded by
ne Balanced Stock Units.
1.98.9. An Outlet brings to account manual voucher
Transactions including Transaction Vouchers, automated
voucher Transactions including Transaction
reports the Suspense Account position and the Stoc}
cash totals within the approved Cash Account format.
bn
.98.10. The cycle is repeated in the new POCL Outlet
Accounting Period with an Outlet Balance brought forward
value that includes the Stock and cash in hand, Suspense
Account and loss and gain position from the previo
POCL Outlet Accounting Period.
1.98.11. EPOSS shall provide a secure mechanism for
controlling access to a Stock Unit.
2.99. Requirement 696 - POCL Applications - EPOSS: Reporting
1.99.1. EPOSS shall allow production of a daily Report that
shows, at Outlet level, the cash holdings by individual
denomination of bank note and coin. The format of the
report shall be agreed by POCL and the Contractor by a
date consistent with the Project Plan.
1.99.2. EPOSS shall support the summarisation of daily and
weekly Transaction Vouchers at Stock Unit level.
1.99.3. EPOSS shall support a reporting facility to print on
Client cut sheet stationery where the Client requires it
(including without itation Girobank daily summaries).
ee
ire}
pre}
=
The Contractor shall be aware that Girobank is only
an example ~ POCL needs to keep the flexibility to print
on other cut sheets e.g. tax dises/cheques in due
course.
1.99.5. The format of all styles of receipts shall be agreed
by POCL and the Contractor by a date consistent with the
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Project Plan. A bilingual Welsh/fnglish ve is
required in designated Outlets.
1.99.6, EPOSS shall allow production of duplicate receipts
and they shall be marked as such.
1.99.7. EPOSS shall support a4 reporting facility to print on
Client cut sheet stationery to support Girobank and the
Postmaster’s Daily Record (PDR) summarisation.
99.8. BPOSS shall support reporting by journal/tally roll
and on A4 sheets to Client requirements at both Stock
Unit and Outlet levels, with the format to be agreed by
a date consistent with the Project Plan.
1.99.9. EPOSS shall allow reporting to be pre wed on
screen.
1.200. Requirement 697 ~ General ~ Audit: Access
1,100.1. The Contracter and his sub-contractors shall keep or
cause to be kept Records (including financial records)
of all Services, covering materials and POCL Services
provided, timesheet records, contracts let to sub-
contractors and Charges levied to POCL. These Records
shall not be more detailed than those held by the
Contractor for its own audit purposes.
1,100.2. The Contractor permit POCL or POCL’
representatives (including those bodies listed in
paragraph 2.1 of Schedule AO3) unrestricted access to
the Records for the purpose of auditing and reporting on
the performance, including charging and accounting
aspects, of the POCL Services.
Such access shall be provided on request and shall
include access to premises, facilities, Services,
documentation, information {magnetic or otherwise),
staff, procedures, timesheets and other data used
directly as a basis for charging belonging to the
Contractor which relate to the provision of the POCL
Services.
1,100.4. The Contractor shall implement audit recommendations
in accordance with provisions of the change control
procedures.
1.100.5. The Contractor shall provide within reasonable
timescales either documentary or demonstrable evidence
of such changes and shall if required provide access to
the POCL'S representatives to monitor and confirm the
implementation of such changes.
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1.201. Requirement 698 ~- General ~ Security: Policy
1,101.1. The Contractor shall minimise and control liabilities
to itself and POCL.
1.101.2. The Contractor shall, by a date consistent with the
Project Plan, set up an organised securit
infrastructure covering:
a)the agreement of a security policy;
bjallecation of security responsibilities;
c)security education and training;
djxreporting security incidents;
e) physical security control;
f)virus control;
g)business continuity;
h)control of Software;
i)safeguarding POCL records;
jjinformation classification;
k} compliance with data protection and other legislation;
ljinformation exchange control;
m)Contractor's sub-contractors and suppliers;
n}compliance with security policy;
ojthe management of fraud and risk during service
operation.
1,101.3. The Contractor shall be compliant with BS7799
1.102. Requirement 699 - General - Audit: Trail
1,102.1. An audit trail shall be maintained during periods of
POCL Service operation including fallback and Recovery.
.102.2. The audit trail shall record all Data File transfer
messaging and processing, whether as a result of manual
er automated action.
The information recorded shail be sufficient to
entify the action, by whom it was undertaken, when it
was undertaken, why it was undertaken, where it was
undertaken and the resulting outcome.
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1.162.4. The audit trail shall allow activities that utilise
more than one of the POCL Services to be traced across
the POCL Services from start to finish, or from an
intermediate POCL Service in any direction, with
certainty.
1.102.5. The audit trail shall provide information to allow
the original Transaction to be recreated.
1,102.6. The content of the audit trail shall be agreed with
POCL by a date consistent with the Project Plan.
1,102.7. Subject to Clause 8601, audit trail records shall be
ined for a period consistent with Companies Act
requirements, or for a period of eighteen {18} months,
whichever is longer.
1.102.8. The audit trail shall be available for inspection by
POCL or their representatives as listed in paragraph 2.1
of Schedule AO3.
1.102.9. The audit trail shall have a level of security such
that it cannot be altered or deleted.
-10. The integrity of the audit trail shall be continued
during periods of partial or complete service loss or
failure.
2.162.11. The audit trail shall comply with Requirement 828.
02.12. Technological changes to the POCL Services or the
POCL Service Infrastructure shall not rene the audit
trail unusable.
1.103. Requirement 799 - POCL Applications - APS: Token
Issue
1,103.1. The Contractor shall provide a facility that permits
the issue at Cutlets of replacement APS Tokens and APS
Tokens for new Customers, as directed by POCL.
1.104, Requirement 800 - POCL Applications - EPOSS: Serve
Customers (A)
am
-104.1. EPOSS shall support the recording of all Transactions
between the Customer and the User.
1.1064.2. EPOSS shall allow the selection of Customer Se
to allow for:
ions
a)normal Customer service; or
b)a Refund; or
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c)a Reversal.
1.104.3. EPOSS shall uniquely identify a Customer Session and
each Transaction within the Balancing Period.
1.104.4. EPOSS shall allow Customer Session competion to be
implemented in a way to encourage a ‘one Customer one
session’ rule.
1,104.5. EPOSS shall provide a cash tendered faci
calculate change due to the Customer. Use of this
feature shall be at the discretion of the User and not
forced by EPOSS.
1.105. Requirement 801 - POCL Applications - EPOSS: Product
Styles
1,105.1. EPOSS shall support the current range of business
performed within Outlets e.g.
@)Value Stock;
b) Method of Payment;
c)a counter shortage known as a "loss";
dja counter overage known as a "gain";
e}a POCL Product;
f}an inpay supported by a Client voucher (receipt);
g)an outpay supported by a Client voucher (payment).
1,108.2. EPOSS shall support the Customer Transaction by price
type as follows:
a)fixed price - where the price is held by EPOSS; or
b)variable price {open) - where the User enters the
actual price. If the valid range excludes zero the User
is forced to enter a non zero price; or
c)variable price (default) - where the default price i
non zero. The User can either ccept this price o
overtype to change it within the valid range.
x
1.105.3. Where necessary Composite Products shall be declared
at individual denomination or item level by the User as
part of the Balancing activity.
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1.106. Requirement 802 - POCL Applications - EPOSS: Value
Stock Management
1.106.1. EPOSS shall maintain the current Stock record for
Value Stock items and Methods of Payment to reflect the
Transactions completed, e.g. if a postal order and the
Associated Fee are sold for cash the Stock of the former
is decreased and that of the cash is increased.
1.106.2. nPOSS shall aliow compensatory corrections of errors
to be made without the need to perform a Reversal or a
sale.
1.107. Requirement 803 - POCL Applications - EPOSS: Data
Resilience
1.107.1. EPOSS shall accurately maintain data and record all
Transaction Sessions as double entries.
1.107.2. If EPOSS is interrupted or fails during a Customer
Session the POCL Service Infrastructure shall ensure
that data capture is resilient and consistent with the
need to retain a balanced status
1.108. Requirement 804 ~ POCL Applications - EPOSS:
Transaction Log / Inspection
.108.1. A journal of all Transaction data shall be available
to allow the User to refer back to a previous
Transaction.
Be
-108.2. EPOSS shall provide a Transaction log for any
Balancing Period in the POCL Outlet Accounting Period to
allow the User to refer back to a previous Transaction.
1.108.3, The Transaction log may be used in conjunction with a
Transaction Reversal by the User to identify the unique
Tra ction Id.
1.108.4. The Transaction log shall be easily accessible to the
User for the resolution of enquiries.
21.109. Requirement 805 ~- POCL Applications - EPOSS: Audit /
Event Log and Inspection
1.109.1. EPOSS shall maintain a log of Transactions attempted
and actioned at Stock Unit level.
1.109.2. EPOSS shall provide an audit/Event log for any
Balancing Period in the current POCL Outlet Accounting
Period by Stock Unit.
1,109.3. EPOSS shall provide a facility to allow the User to
inspect activities on the Stock Unit within the POCL
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Outlet Accounting Period so that, without limitation a
attempts to access a Stock Unit can be detected.
1.109.4. The audit/Event log shall be readily available to the
User for the resolution of enquiries.
1.110. Requirement 806 - POCL Applications - EPOSS: Set Date
and Time
1,110.1. The date and time within EPOSS shail be accurately
maintained and remain in step with Greenwich Mean Time
and/or British Summer Time as appropriate.
Lia. Requirement 8607 - POCL Applications - EPOSS:
Transfers between Stock Units
EPOSS shall allow the movements of Value Stock Items
and Methods of Payment into and out of Stock Units
within the same Outlet to be recorded.
1.211
1,111.2. The data recording a movement shall be entered in a
Transaction Session similar to a Customer Session except
that the session total comes to the Transfer total
rather than to zero. However, EPOSS shall adjust
overall item Stock levels when the data entry session is
complete so that the “balance" of the Stock Unit is
maintained.
11.3. h movement is entered to the current Balancing
Period for the Stock Unit.
1.112. Requirement 808 - POCL Applications - EPOSS: Outlet
Balance
12.1. EPOSS shall provide a facility to reconcile Non-value
Stock Stock Items with unique serial numbers.
1,112.2. Reconciliation shall be by volume and by Stock Unit
as:
a}number on hand at the start of the POCL Outlet
Accounting Period {plus};
b)number received {equals);
c)number on hand at close of POCL Outlet Accounting
Period (plus);
d)number issued/spoilt/returned.
1,112.3. EPOSS shall provide a Suspense Account fac y where
items that cannot be cleared operationally during one
POCL Outlet Accounting Period can be identified and
carried forward to the next.
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1.112.4. EPOSS shall provide an on demand Outlet Balance
Report to a POCL agreed format, this format shall be
agreed by a date consistent with the Project Plan. This
Report shall provide a “snap shot” of the Outlet
position within the current POCL Outlet Accounting
Period.
1.113. Requirement 809 - POCL Applications ~- EPOSS: Customer
Session
1.113.1. Within a Customer Session EPOSS shall maintain:
aja running record of all Transactions performed;
bj)the current balance;
c)the accounting sense (pay out/take in);
d)settlement details.
1,113.2. Multiple Transactions for the same Customer shall be
logically grouped into a single Customer Session.
1.114. Requirement 810 - POCL Applications - EPOSS:
Transaction Rules
1.114.1. EPOSS shall allow the Refund or Reversal of a
Transaction according to Client and POCL accounting and
business rules as agreed between the parties from time
to time. EPOSS shall enable certain Transacticns not to
be refundable or revers e to comply with any changes
to the Client and POCL accounting and business rules as
agreed with POCL from time to time.
1,114.2. EPOSS shall be able to validate Transaction details
against Reference Data.
OSS shall provide the ability to Rate Shop against
a value input for a fixed price POCL Product.
1.115, Requirement 811 - POCL Applications - EPOSS: Data
Transmission
1.115.1. EPOSS shall allew TMS to pass all recorded
information to autho ed remote locations (e.g. TIP}.
1.115.2. EpPosS shall be flexible enough to support the
introduction of new POCL Services for Clients in an
integrated manner and ensure that any new POCL Product
can be added, and that EPOSS is automatically updated.
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1.116. Requirement 812 - POCL Applications - EPOSS:
Transaction Reversal
2,116.1. EPOSS shall allow Reversals for Customer Transactions
and Transfers either within the Outlet or to a remote
location.
1,116.2. EPOSS shall allow Reversals to be entered for normal
Transactions (but not for Reversals) as follows:
1.116.3. only for Customer Transactions which are not part of
other POCL Services (e.g. APS) or disallowed in
Reference Date supplied by POCL to the Contractor from
time to time.
1,116.4. EPOSS shall permit Users to enter @ Reversal which
needs not correspond to a particular Transaction on the
Transaction log identified by the User according to
Client and POCL accounting and business rules as agreed
between the parties from time to time.
1.117. Requirement 813 - POCL Applications - POSS:
Revaluation of Value Stock
1.117.1. EPOSS shall allow revaluation of fixed price Value
Stock Steck Items and Methods of Payment when the price
changes.
1.117.2. (Note: While price changes would not normally apply
to Methods of Payment, it is a desirable feature in case
of future alternative currencies, e.g. the “Euro”,
However, the remainder of this requirement is written in
terms of Value Stock.)
When a price changes for a fixed price Value Stock
tock Item, the Stock value must change to maintain the
relationship Stock value = Stock quantity x price. The
change in Stock value must be "balanced" by one or more
Transactions for designated POCL Preducts (and thence
reported on designated Cash Account lines). Thus the
requirement for maintaining an equal and opposite effect
on the Stock Unit is maintained.
1,117.4. EpPOSS
Value Stock $
postal order fees.
mt revaluation of multiple
the same generic type e.g.
1.217.5. EPOSS shall ensure that only Value Stock Stock Irems
allowed in Reference Data provided by POCL te the
Contractor from time to time can be accessed.
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1.118. Requirement 814 ~ POCL Applications - EPOSS: Enter
Cash on Hand
1.118.1. EPOSS shall provide a function to record the value of
cash held in the Stock Unit by denomination for two
distinct purposes:
a)as part of the Cash Flow Reporting process;
b)as part of the Stock Unit Balancing process.
2.118.2. The dialogue to record the information screen may be
common for both activities to avoid unnecessary
duplication when Balancing.
2.118.3. The Cash Flow/Balancing reporting process aspect of
EPOSS may be used at any time but is normally used daily
as part of the end of day activity.
4. The EPOSS shall allow entry by cash value for each
denomination and total value declared (EPOSS validating
each field entry as numeric). The total entered is used
in the Stock Unit Balance Report and the difference
between this total and the EPOSS maintained figure for
the cash Method of Payment Stock value generates a loss
or gain.
. The EPOSS maintained Stock value for the cash Method
of Payment is not altered during the process. The User
advised of any discrepancy to warn of potential
errors and (in Balancing) the implied balancing loss or
gain.
6. A zero cash holding is declared by using the netion
in the normal way and confirming zero entries.
L.i18.7, EPOSS shall allow the last known declaration to he
earried forward for Cash Flow reporting purposes ere
no activity hb occurred to chenge the last known cash
position. This is required to cater for rest days
including Outlets that shut on Saturdays etc.
=
te
fe
©
Poy
In Outlets that Team Work EPOSS sh allow cash
laration across all the Tillis that contribute to the
Stock Unit position.
2.119. Requirement 815 - POCL Applications - EPOSS: Process
Dormant Stock Units
1.119.1. EPOSS shall allow a facility to bring unused Stock
Units {and their Stock Unit information) forward into
the next POCL Outlet Accounting Period.
1.119.2. An unused Stock Unit is one for which no activity has
taken place since its most recent final Balance.
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1.219.3. This facility may be used at any time to ensure that
all Stock Units registered in an Outlet are recorded as
fully up to date, prior te producing the Cash Account
for that POCL Outlet Accounting Period.
1.119.4. The co-ordination of this activity is under the
control of the Outlet Manager.
1.120. Requirement 816 - POCL Applications - EPOSS: Audit
1.120.1. A complete set of Outlet Records, for a ro ng
period of 18 months, shall be maintained as available
for retrieval and review (but not amendment).
1,220.2, On retrieval all Records shall be packaged in weekly
atches as a complete POCL Outlet Accountin Period
cycle.
1.120.3. Outlets require record retrieval on demand for the
previous two (2) complete POCL Outlet Accounting
Periods. Older records shali be made available at 24
hours notice.
EPOSS shall support the recording of all Events and
data entries including fallback and Recovery actions,
1,120.5. EPOSS requires entry of User identity and password to
access the Service.
1
-120.6. Each £ ity within EPOSS shall have an associated
User authority level (clerk, supervisor, manager). EPOSS
shall also provide reasonable safeguards against
accidental or deliberate access by other than the normal
means te Software or data.
20.7. Within an Outlet there shall be a facility to
maintain and allocate a User access and privilege level
log.
1.121. Requirement 817 ~ POCL Applications - EPOSS:
Discounting
1.1. EPOSS shall allow discounting for all discountable
POCL Products. A list of discountable POCL Products
shall be maintained in Reference Data supplied by POCL.
2. EPOSS shall allow discount by an entered percentage
for the last Transaction or for ali discountable POCL
P
roduct Transactions in the Customer Session.
1.121.3. nPOSS shall allow discount by en entered value for
the last Transaction ocr for all discountable POCL
Product Transactions in the Customer Session.
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1.122. Requirement 818 ~~ POCL Applications - sPOSS:
Reference Data
1.1221. EPOSS shall provide a facility to update Reference
Data files with Reference Data supplied from the POCL
Reference Data System. It shall be possible for a date
and time stamp to be applied to Reference Data
identifying when the change is to be activated, to
facilitate timely price changing.
2. EPOSS shall allow the Reference Data content to be
presented as a locally produced Report, with changes
made in Reference Data by the most recent update clearly
identified. When an update to Reference Data is made,
each affected local Outlet shall be warned by EPOSS at
the start of the next POCL Core Day that a change has
been made.
1.122.3. EPOSS shall maintain other locally controlled
Reference Data. These shall nclude parameters for POCL
Products, POCL Preduct groups and subgroups, external
Transfer sources and destinations.
1,122.4. EPOSS shall allow each Outlet to produce various
formatted outputs including but not limited to the Cash
Account and the Cash Flow Report. Other reporting shall
be agreed between the parties during the Operational
Trial.
1.122.5. Changes to the product range and the internal
reporting structure within current principles shall be
possible by Reference Data rather than by Software
update,
1,122.6, EPOSS shall be a robust Service, including features
te:
a)check internal consistency, reporting errors, warning
of non critical errors and preventing critical errors;
bj)refuse deletions if there is dependent business data
which would lead to nconsistency of data within the
POCL Service Infrastructure;
c)make Reference Data available at the counter terminals;
d)check Reference Data consistency and report exceptions.
1.123. Requirement 819 - POCL Applications ~- EPOSS: The
Outlet Trial/Final Cash Account
1,123.1. EPposs shall sustain a dynamic set of Cash Account
tables that allows Outlets to introduce additional
reporting lines as new products are introduced within
POCL. More than one Cash Account format shall be
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supported and currently there are two in use (which
shall both be supported) ~- standard Outlet format and
CRU format. Validation rules could be applied to
individual line entries.
1.123.2. A Keport shall be available in each Outlet that maps
Reference Data of POCL Products to the appropriate
Line{s) of the Cash Account table(s).
1.123.3. EpOSS shall provide a facility to input Cash Account
deta including week end date and week number. Under
certain authorised circumstances an authorised Outlet
may produce one Cash Account to span a 2 or 3 week
period and this must be managed by EBPOSS. Within this
variation there is a requirement to correctly associate
the week number with a specific Transaction according to
a Client's requirements. This is one of either
a)the week in which the Transaction took place or;
b)the final week in which the Cash Account is produced.
1.123.4, EPOSS shall support the production of the Cash
Account in printed and electronic formats. The printed
Cash Accounts shall include a 2D bar code.
1.123.5. EPOSS shall allow Users to produce trial Outlet Cash
Accounts.
1.123.6. EPOSS shall provide a facility to move forward into
the next POCL Outlet Accounting Period once a final Cash
Account has been preduced.
1.124. Requirement 820 - POCL Applications ~- EPOSS: Fallback
and Recovery
1.124.1. EPOSS shall provide a means of controlling User
access to its data, processes, and functions (see also
reguirement 816).
1.124.2, EPoOss shall include fallback procedures for
situations where the User cannot use the POCL Service
Infrastructure for any reason. These facilities shall
maintain the integrity, security and levels of Customer
Service consistent with the need to maintain trading.
1,124.3. EPOSS shall ensure that, following an Incident, or if
operationally desirable for any other reason:
a)the User can return to a complete and recent position;
b)no corruption of secured data has occurred; and
c)a full Recovery can be effected swiftly and in an
auditable manner.
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1.124.4. EPOSS shall back up Stock Unit and Outlet data in
order to support the ability to return to a recent known
position for fallback and Recovery. Depending on the
specific solution, there may be times within the Cash
Account cycle (pre/post Cash Account roll over) when
local control of back up is required.
1.124.5. EPOSS shall allow Recovery of data to a known recent
position. This includes both the Outlet and individual
Stock Unit data where necessary to maintain integrity of
the EPOSS. Recovery should not itself constitute a risk
e.g. a one shot only option. Thus in the event of a
power down / power interruption during a Recovery
activity further Recovery attempts’ can be made later.
1,124.6. EPOSS shall ensure that the committal precess for a
Transaction is robust and consistent across all
Transaction types so that an interruption does not
result in an unrecoverable error.
1.124.7. EPOSS shall ensure that in the event of a failure of
any part of the POCL Service Infrastructure, Recovery
can be performed to a known position and with the
minimum of disruption to the User. Data re-entry shall
be minimal where previously committed Transactions have
to be re-entered.
1,124.6. EPOSS shall warn the User where there is the
possibility that data are corrupt.
1.125. Requirement 821 - POCL Applications ~ EPOSS: Business
Rules
1.125.1. EPOSS shall be flexible enough to provide the ab
to define the Transaction range available at speci
Cutlets, including:
fic
a}preventing specific Transactions from being available
locally (by Outlet);
b)declining to use specific mon-mandatory Transactions
locally (by Outlet);
e}modifying specific POCL Products, where allowed in
Reference Data provided fro time to time to the
Contractor by POCL, for specific Outlets.
1,125.2. EPOSS shall be flexible enough to introduce new
functionality as agreed with POCL.
be
-125.3. EPOSS shall provide facilities to:
@)prepare EPOSS Transaction data and EPOSS processed data
for export to; and
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b)import data from other systems outside the POCL Service
Infrastructure.
1.126. Requirement 822 - POCL Applications - EPOSS:
Interface with Inventory Management
1,126.1. The POCL Service Infrastructure shall be designed
such that it can interface into any POCL inventory
management systems, and shall have sufficient capacity
not to preclude such interfacing.
1.127. Requirement 823 ~- POCL Applications - EPOSS: Data
Management
1.127.1. Eposs shall make Transaction and process data
captured through EPOSS available to any POCL Service
delivered through the medium of the OPS and specified by
POCL as requiring access to data.
1.127.2. EPOSS shall ensure that, in the event of an Incident,
data integrity is maintained and that no corruption of
data is introduced arising from the interruption of any
uncompleted activity.
1.128. Requirement 824 - POCL Applications - EPOSS: Weighing
Scales
1.128.1. Where an Outlet has electronic scales connected to
the OPS, EPOSS shall provide the price for a particular
weight of package (provided by the scales), with the
contention being handled by the scales accepting or
denying a connection by a counter terminal.
1.128.2. The OPS shall request the scales only when needed and
can only proceed with the scales associated POCL Service
if the scales accepts its request. The OPS shall release
the scales as scon as it has finished h them.
1.123. Requirement 825 - POCL Applications - EPOSS: Serve
Customer (B)
1.129.1. EPOSS shall provide a function to record all sales.
1,129.2. EPOSS shall be event driven so that both data capture
and the recording of POCL Services such as APS are
dynamic.
1.129.3. All counter Transactions shall be associated with a
Customer Session. Muitiple Transactions for the same
Customer shall be logically grouped into a single
Customer Session.
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1.129.4. Data shall be automatically recorded in EPOSS if
captured during another POCL Service e.g. APS or OBCS.
1.129.5. Within a Customer Session EPOSS shall maintain:
a)a@ running record of all Transactions performed;
b) the current balance;
¢)the accounting sense (pay out/take in);
dj)settlement details.
1.129.6. EPOSS shall accept single or multiple Methods of
Payment as settlement.
i.129.7. EPOSS shail provide the flexibility to allow the
implementation of new Methods of Payment including
EFTPOSS and debit cards.
1.129.898, EPOSS shall allow a Customer Session to be suspended
and then recalled for completion later. In between the
User shal be able to continue to enter and complete
further sessions as required.
1,129.9 BPOSS shall provide a Void Transaction facility.
nPOSS shall enable the use of this facility for certain
ransactions to be prohibited according to defined
Dlient and POCL accounting and business rules.
yd ot
Be)
o
1.129.10. EPOSS shall allow the Refund or Reversal of a
Transaction with access maintained at User level. Note
that certain Transa ons shall not be refundable or
reversible to comply with Client and POCL accounting and
business rules.
Nn
oO
ll. Some POCL Products ere linked and shall remain s0
wi a Transaction, including for Refund/Reversal or
1g purposes, for example a postal order of £1.00
has, currently, an Associated Fee of 25 pence. As part
of this linkage, certain Stock Items with no current
price shall be re-classified as Value Stock Stock Items
e.g. tax discs.
1,129.12. EPOSS shall have the facility to accept data, via the
POCL Service Infrastructure, from a variety of media
such as, Tokens, keyboard, electronic scales, bar codes
and to add functionality to accept data from other
approved peripheral devices.
1,129.13. EPOSS shail allow the input of weight values where
scales are not linked.
1.129.14. EPOSS shall be flexible enough to support the
introduction of new POCL Services for Clients in an
integrated manner and thereby ensure that any new POCL
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Product is event driven and that EPOSS is automatically
updated.
1.130. Requirement 826 - POCL Service Infrastructure - OPS:
Future Flexibility for Sharing of Specialist Peripherals
1,130.1. OPS, and the elements of the POCL Service
Infrastructure on which OPS is provided, shall be able
to be connected, and shall support such connection, to
specialist peripherals in such a way that the specialist
peripherals may be accessed by one, two or more
terminals.
1.130.2. In such a case it shall be possible to restrict
access to a subset of the terminals in each Outlet.
1.131. Requirement 827 - POCL Service Infrastructure - OPS:
Ability to Maintain Authorisation Data
1.131.1. It is likely that, in due course, re-engineered POCL
Products shall require specific authorisation, either
through access to a computer system external to the POCL
Services or within the POCL Services.
1,131.2. The POCL Services and the POCL Service Infrastructure
shall be able to be developed to support the maintenance
and use of:
a)stop lists;
}go lists;
c)other authorisation types;
in relation to such POCL Products.
2.131.3. The POCL Services and the POCL Service Infrastructure
shall support such authorisations through access to
external computer systems.
1.132. Requirement 828 - General ~ Security: Data Security
1,132.1. The confidentiality, integrity, ity and
completeness of data shall be maintained throughout all
storage, processes and transmissions, including during
periods of Service Failure and recovery from Service
Failure.
1.133. Requirement 829 ~ General ~ Security: Prosecution
support
1,133.1. The Contractor shall ensure that all relevant
information produced by the POCL Service Infrastructure
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at the request of POCL shall be evidentially admissi
and capable of certifi ion in accordance with
Police and Criminal Evidence Act (PACE) 1984, the Police
and Cr. nal Evidence {Northern Ireland) Order 1989 and
equivalent legislation covering Scotland.
1.133.2. At the direction of POCL, audit trail and other
information necessary to support live investigations and
prosecutions shall be retained for the duration of the
inves ation and prosecution irrespective of the normal
retention period of that information.
1.134. Requirement 830 - General - Security: Contingency
Plans
1.134.1. The Contractor shall ensure that all POCL Services
are supported by contingency plans including fallback
Transactions that minimise or negate the impact of
failure in any of the POCL Services.
1,134.2. The Contractor shall ensure that the contingency
plans fer each POCL Service are compatible with an
overall service continuity framework.
1.134.3. The contingency plans shall be based on impact and
risk assessments and agreed between the Contractor and
POCL by a date consistent with the Project Plan.
1,134.4. Ownership of all contingency actions shall be
identified in the contingency plans.
1.134.5. The contingency plans sha include activation
procedures and time periods within which the contingency
measures shall be activated.
1,134.6. The contingency plans shall include a_ testing
strategy with two distinct parts:
ajInitial testing before commencement of Roll Out of POCL
Services;
b) Regular testing.
1,134.7. The contingency plans shail include without
limitation the following:
a}prevention measures;
b) preparedne
SS measures;
c)contingency measures;
d)Recovery of normal service;
e)contact lists.
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1.134.8. The contingency plans shall be subject to int
periodic review by the Contractor and POCL by a process
to be agreed by a date consistent with the Project Plan,
to ensure that they meet POCL’S aims.
1.134.9. When contingency operation is invoked as a result of
a fault of the POCL Services provided by the Contractor
then the provisions of Schedules E08, FO8, G10, HO&, KO8
shall continue to apply.
2.235. Requirement 831 - End to End Service ~- poch
Interfaces
1.135.1. The Contractor shall support the interfaces between
(i) the services that run POCL systems and (ii) the POCL
Services and the POCL Service Infrastructure Service, as
such interfaces are defined in the POCL Interfaces
documentation maintained by POCL. These shall include:
ajinterfaces from TMS and Outlets to Transaction
Information Processing (TIP);
b)interfaces between the POCL operated service that runs
the POCL Reference Data System and the POCL Services;
c)interfaces between Outlets, TMS and Clients;
a)TIP / TMS interface for authorisation data:
* provide the capability for reconciliation between
POCL and its Clients by ensuring TIP receives a copy
of all original authorisation lata via TMS as
specified on an individual Client basis by POCL;
ejinterface between POC] SAPADS and TMS.
The POCL Interfaces documentation shall cover: data
content in logical groupings, phy l layouts, controls
(including security), timings, volumes, technical
interface specifications (initially options and
constraints), configuration management, and contingency
arrangements. Versions of the POCL Interfaces
documentation containing the then existing interfaces
shall be made available to Contractor within three
(3) months after 15th May, 1996.
1,135.3. The POCL Interfaces documentation shall not initially
cover further potential interfaces in respect of:
a) EPYPOS;
b)reconciliation and exception reporting;
c)operational management information;
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d} performance monitoring;
e)inspection of Transaction and Event logs for audit and
security purposes;
f} [not used};
g)transitional arrangements in relation to ‘cash account
processing’.
135.4. The detailed format of all interfaces shall be agreed
by POCL.
1.136. Requirement 832 - POCL Applications - EPOSS: Business
Processes
1.136.1. The Contractor shall agree with POCL, before
commencement of Roll Out of EPOSS, the overall business
processes at the counter such th
he capture of data at the Cutiet is com
th te, accurate
and robust e.g. a unique Transaction reference;
a)
b)any transfer of data is secure, compl
robust;
, accurate and
cjwhether operating normally or in stand-alone mode the
EPOSS shall be capable of validating Transactions by
format and value;
d)in the event of fraud it shall be possible to prove
that the POCL Service was operating without defect (see
Requirement 629); for appropriate Transactions receipts
are automatically generated for Customers and a copy
retained in the Outlet to allow recovery or problem
resolution;
e)accountability for cash, Stock and any supporting
documentation is maintained by Outlet and User where
appropri i
f)the Method of Payment is recorded at the point of sale;
g)the access control sy m allows segregation of
responsibilities. A log cf Users and the functions to
which they have access shall be available to Outlet
managers;
h)a back up cf all Transactions shall be taken each day;
ijUser and device are uniquely identified within each
Outlet; °
j)data shall undergo a balancing procedure to enable a
final review and authorisation;
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k)Transaction data shall be made available to other
services as agreed in each AP Client Specification and
the ‘Pathway to TIP Application Interface
Specification”, and other POCL Services;
l)Transaction data not delivered in accordance with the
above shall be clearly identifiable;
mjall Transactions can be reconciled to an appropriate
supporting voucher and where necessary these vouchers
are to be available for central validation of amounts
collected;
njan up to date record of cash and Value Stock on hand
shall be maintained and current balances can be
reported;
oj)all transfers of Stock and cash to and from other
Outlets and between Users within an Outlet shall be
clearly recorded;
p)all specified summaries shall be produced automatically
when required and all Transactions shall be included
since the last summary was completed;
g)items posted to Suspense Accounts can be identified for
future investigation;
rc)information te show complianc with the relevant
legislation, including without tation Health and
Safety at Work Act, Data Protection Act, Companies Act
is available;
s)an Outlet shall be able to continue operating and to
maintain an audit trail in the event of any failure of
the POCL Service Infrastructure.
1,137. Requirement 833 - POCL Applications - EPOSS: Training
Mode
1,137.1. EpPOSS shall provide a training mode to allow
familiarisation with the package and shall operate in
such a way as to preclude any corruption of live data.
1.138. Requirement 834 ~ Poch Applications - EPOSS:
Transitional / Contingency Arrangements
1,138.1. The Contractor shall ensure that contingency
arrangements are available for all Outlets both during
and after Roll Out of EPOSS to such Outlets.
1.138.2. The Contractor shall give due consideration to the
implementation plan for Parent Outlets and Satellite
Outlets.
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1.138.3. To provide contingency cover during and after Rell
Out, EPOSS shall enable each automated Outlet to produce
plain paper summaries to a format which shall be agreed
by a date consistent with the Project Plan.
1.138.4. The element of the POCL Service Infrastructure at
every Outlet shall be capable of printing a 2
dimensional bar-code on any plain paper summary.
1.139. Requirement 835 - POCL Applications ~ EPOSS: EPOSS
Related
1,139.1. Benefits encashment and other Automated Transactions
shail be integrated with the Transaction recording
elements of EPOSS such that:
a)there is no necessity to separately notify the EPOSS of
the Transaction;
b)there is a single Transaction Record created and stored
locally to provide the basis for Outlet summarisation
and Balancing and Transaction level data transfer;
c)Transaction Records created and stored locally shall be
entirely consistent with any data transferred at the
time of the Transaction to other systems outside the
POCL Service Infrastructure;
}Transaction times are kept to a@ minimum.
2. EPOSS shall be capable of providing summaries of any
type of Transaction for comparison with physical Records
contained within the Outlet. For example EPCSS shail be
able to:
a)summarise the quantity of tax discs on hand;
b) summarise the quantity of milk Tokens on hand;
e}list and total cheques accepted by value;
Transactions become automated the relevant
s shall be enhanced to include details of items
on hand, by individual serial number.
1,140. Requirement 836 - POCL Applications ~ EPOSS: Service
Development
1.140.1. PostShops are current guipped with an EBEPOS
terminal - CRISP (Counters Retail Information Systems in
PostShops) ~ which is a stand alone system. It is
desirable, subject to offered solutions, that these be
integrated into or replaced by the EPOSS.
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1.140.
. Where an Agent may future use the OPS fer his own
business, all POCL Servic using the OPS shall identify
such Transactions separately from those relating to POCL
Services under the Codified Agreement, in particular for
financial accounting.
1.146.3. For each Transaction processed at a Counter Position
through the POCL Service Infrastructure the following
information shall be captured:
a)value of each Transaction;
b) volumes of Transactions;
c}a unique code for each POCL Product across all Clients
(e.g. breakdown by denomination of Royal Mail stamps
sold};
djsource (e.g. Outlet, User and Till identification};
e)Client reference and Client scheme or product reference
for each Transaction;
£} Customer identification and details (e.g. for
Transactions involving cheques, passports, motor tax
discs);
g)Method of Payment;
h)date and time of the Transaction,
1.140.4, The OPS shall be flexible to support further
Services. The Contractor shall be willing to integrate
and operate these under the Change Control Procedure,
provided that there are no valid technical reasons that
preciude their inclusion. .
1.141. Requirement 837 - POCL Applications ~ EPOSS:
Reporting
L.141.1. EpPOSS shail support the production of a variety of
Reports in pre~defined formats including:
a)Transaction level Reports by Stock Unit for Clients
using pre-printed cut sheets (Client stationery);
b) Transaction level Reports by Stock Unit for Clients
printed on plain paper;
c)Reports on the current level of Value Stock Stock Items
at Stock Item level;
d})Reports on Transaction volumes and values;
e)Cash Account Reports;
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f)reconciliation Reports for Non-value Stock Stock Items
e.g. milk Tokens, tax discs;
g)Reports on Transfers of cash and Value Stock;
hj)ad hoc Reports for management information purposes.
1.141.2. EPOSS shall be able to deliver Reports at the User’s
discretion, subject to POCcL and Client rules on
frequency of despatch and POCL Outlet Accounting
Periods. Client Reports shall be produced on a daily or
weekly basis. Where operationally appropriate, several
weekly Reports shall be produced during a POCL Outlet
Accounting Period.
1.142. Requirement 938 - POCL Applications ~- EPOSS: General
1.142.1. EPOSS shall have the facility to allow input of
saction related data after the event for items
required for management information purposes {e.g. for
Clients, Agents pay) which may not impact on the Outlet
Balance e.g. non-Value Stock Stock Items, value recorded
for information only.
.2, EPOSS shall also support the input of data for local
schemes where the value is not recorded for accounting
purposes but the volume is.
1.143. Requirement 839 - POCL Applications - EPOSS: Retail
Punctionality
ia
.143.2. EPOSS shall provide the point of sale retail
functionality in use in PostShops. This includes, but is
not restricted to:
a)Till functionality;
b) discounting;
c}coupon management;
ajmultibuys;
e)promotions;
f)marketing;
g) reporting.
1.144. Requirement 869 - POCL Service Infrastructure -
Service Levels: Transaction Monitoring System (TMS)
1.144.1. POCL is not concerned with the performance of
individual elements of the POCL Services per se. The
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primary concern is with the overall performance of the
POCL Services as they impact upon POCL’S own systems,
lients, staff, Agents and Customers. Therefore, targets
level of internal performance between POCL
shall not be set by POC However internal POCL
performance shall be judged by POCL as it
affects overall performance of the POCL Services.
1.144.2. By the end of the Operational Trial Period, the
Contractor shall specify the boundary performance
characteristics of TMS (which shall for these purposes
include APS, EPOSS, OPS, SMS, and OBCS).
1.144.3. For the avoidance of doubt, POCL shall be entitled to
test the ability of the Contractor to provide such
boundary performance information as part of Acceptance
Testing. The Contractor shall enable POCL to perform
such testing by a date agreed between the parties, but
in mo event later than 9 (nine) months after
commencement of national Rollout.
1,144.4. For the TMS the Contractor shall specify the
performance requirements and tolerances by a date
consistent with the Project Plan fer:
ajhours of operation of TMS;
b) response time required between TMS and OPS;
c)the number of outages of TMS, identifying types of
outages monitored;
djthe avai ity of TMS.
1.144.5. The Contractor shall report against all performance
req ements identified in the paragraph above.
1.144.6. The Contractor shall maintain detailed technical
documentation of the interfaces from TMS to OPS and all
attachable elements of the POCL Service Infrastructure.
Any proposed changes to any interface to TMS shall be
subject to approval by POCL in accordance with Change
Control Procedure, with updates to the technical
documentation being provided within 10 POCL Core Days
after the change has been implemented.
1.445. Requirement 870 ~ POCL Applications ~ EPOSS:
Transaction Times
1,145.1. EPOSS shall not slow down the activity of serving
Customers and as such EPOSS shall be designed to
minimise the number of key depressions (or other
interact with peripheral devices) involved in eac!
Transaction. In all cases the response of EPOSS to any
peripheral input shall be instantaneous.
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1,148.2. Summarisation and balancing activities, incl
processing and printing, shall be optimised an
re-processing when data are changed during account
1.145.3. The Contractor shall conduct performance benchmark
tests against each of the different transaction types
and identify their performance characteristics. The
performance benchmark process is defined in document
CS/PRE/001, Counter Transaction Performance Measurement
and Benchmarking.
1.145.4. Actual transaction performance will be reported each
month in the document CS/PER/013, Service Review
Performance Statistics, and shall be subject to joint
review by the Contractor and POCL during the monthly and
quarterly Service Management Review meetings.
1.145.5. For each Outlet where the overall Transaction times
are more than 10% greater than the average, the
Contractor shall discuss with POCL the root cause of the
performance difference at the menthly and quarterly
Service Management Review meetings. The meeting shall
jointly determine what, if any, action shall be taken,
and in what time-scales, in order to bring the Outlet’s
performance back into acceptable bounds.
1.146. Requirement 871 ~ POCL Applications - EPOSS: General
Service Levels
1.146.1. EPOSS shall be implemented such that the version of
any Reference Data being referenced from Outlets has
been updated with the latest version of Reference Data,
The version of the Reference Data is fully updated once
all updates have been applied.
The Service Levels for these are defined in Schedule FOS.
1,146.2. to POCL central
sys IP) soon after the completion of the POCL
Core Day on which the Transaction occurred as part of a
batch transmission. Transaction data not available for
the next batch transmission shall be included in a
subsequent transmission.
Data which are rcluded in the first batch transmission
to take place after the time of the Transaction are
deemed to be in the first batch transmission and so on.
The Service Levels for these are defined in schedule FO8.
1,146.3. Batch transmission times shall be agreed for each
POCL central system in Schedule FO8.
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1.147. Requirement 880 ~ POCL Applications: Specification of
1.147.
1.148.
1.148.
1.148.
1.149.
1.149.
1.149.
Transaction Data from Outlet to TIP
1. Transaction data from the Outlet to TIP (via TMS)
shall be as specified by POCL. (See Requirement 831.)
Requirement 890 - POCL Applications - APS: I
Reconciliation
1. The APS shall ensure and demonstrate that all
committed Transactions have successfully passed from the
Outlets to POCL and/or Clients.
2. The APS shall ensure there is at least one point in
the day wt all] Transactions to be sent to a Client are
in step with those to be sent to POCL.
Requirement 891 - End to End Service - Reconciliation
Requirements
1. GENERAL REQUIREMENTS
1. The Contractor shall ensure that all captured data
are complete and accurately reflected in the appropriate
outward interfaces:
a)th applies to Transac nm data of all types and modes
{including nor working, fall-back and Recovery, and
to normal usage, amendment, reversal, and so forth) and
to Stock and cash levels; and
b)this applies to Reference Data changes, both local and
as ived from POCL as follow.
. from ESNCS for OBCS stop lists;
® otherwise from the POCL Reference Data System except
for any specific transient arra
c)this applies equally at all levels and across POCL
Service components.
2. The Contractor shall synchronise data flows and
storage, and shall:
a}monitor data transfers and account for data brought
forward, received, passed on and carried forward;
b)monitor data transfers and account for data, across
POCL Service interfaces and POCL Service components;
ngle datastream is "switched" to more than
c)where a
: ent:
one re
REQUIRES
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. reconcile any timing differences between transfers;
. account for any differences in processing or
accounting cycles of the recipients of related flows;
and
° provide information to each recipient te enable them
to reconcile with the other recipients of related
data.
1,149.3, The Contractor shall ensure that data are consistent
between the levels where Transaction or Stock and cash
leve] data are held, maintained or transferred at more
than one level.
1.149.4, The Contractor shall perform daily operational cut-
over reconciliations for any on-line interfaces with
external systems.
-149.5. The Contractor sh report reconciliation results to
POCL, including any discrepancies and any doubtful
items, d repert progress on resolution of outstanding
items in relation to:
between POCL Service components and POCL'S
b}external interfaces between POCL and Clients (to enable
them to maintain their commercial relationships);
c)interfaces between POCL Service components.
fhe Contractor shall apply appropriate integrity
controls at all interfaces and provide information
demonstrating integrity. For interfaces that are already
in place integrity controls shall be as specified in the
document titled POCL Interface Requirements For BA/POCL
System, version 1.6, dated 16 April 1996. For new
interfaces such integrity controls shall be agreed
through the Change Control Procedure.
-7. The Contractor shall control the implementation of
configuration changes, including changes to Reference
Data, including:
a)checking and reporting the implementation of changes
against instruction;
ing the integrity of other reconciliation
S across configuration changes;
shall meet all reconciliation
tions as well as normal
Contractor
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1.149.9. Service Levels for all reconciliation requirements
are as follows:
a)full reconciliation with 1008 of items demonstrably
accounted for;
b)provision of the ability to reconcllie by agreed
processes at detailed level, ineluding without
limitation at Transaction level for Transaction data;
c)any differences, doubtful items or errors to be
resolved by the Contractor;
d)reconciliation reports and identification of doubtful
items and errors to be delivered to POCL by 9 a.m. of
the following day;
e}the Contractor shall make all reasonable endeavours to
resolve any doubtful items and errors promptly.
2. POST OFFICE OUTLET RECONCILIATION REQUIREMENTS
2.149.106. Stock and cash levels shall be reconciled with
Transaction data:
a)by Customer Session, at Outlet level; and
b)where Outlets are so organised, by Stock Unit
1.149.411. Outlet accounting information shall reconcile, taking
account of Stock and cash brought forward, carried
forward, Transaction data and local suspense items (as
defined in the EPOSS requirements). This shail also be
sustained in fall-back and during Recovery after any
Service Failure.
1.149.12. Tne requirements in this section (2) shall be
satisfied instantly.
TMS RECONCILIATION REQUIREMENTS
1,149.13, The Contractor shall provide operational control
reports on operations, including polling and any less of
communications with Outlets or with other POCL Service
components.
1,149.14. The Contractor shall apply controls on file and data
transfers at all technical levels and, using relevant
counts and financial totals, at business levels.
1.149.185. The Contractor shall ensure that information provided
to POCL via TIP makes explicit what Transaction data
have been sent to Clients.
4. COMMERCIAL RECONCILIATI
N REQUIREMENTS
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1.149.
1.149,
1.150.
1.150.
1.150,
16. The Contractor shall provide information to enable
reconciliation of POCL Services with Charges.
‘17. The Contractor shall act, and be seen to be acting,
on behalf of POCL in reconciliations with other parties,
and previde the necessary information for POCL to exert
appropriate management control over cperations performed
on their behalf. The Contractor shall ensure in so doing
that the commercial relationships between POCL and third
parties are not compromised.
Requirement 894 - General ~- Management Information
Requirement
1. The Contractor shall provide management information
to POCL to enable it to manage the Codified Agreement,
and POCL Services as well as to support POCL’s general
business requirements.
1. The Contractor shall provide information POCL
requires to manage the Codified Agreement and the
POCL Services as agreed by POCL and the Contractor by
a date consistent with the Project Plan.
2. POCL may request and if so, shall receive during the
term of the Codified Agreement, and after, any
information it believes it requires to manage its
business, the Codified Agreement, any POCL Service,
and also to facilitate re-letting and hand~over of
such Agreement and POCL Services.
3. The Contractor sha provide data to enable resource,
network, productivity and ca management. A process
for reviewing the type of Management Information data
to be provided shall be agreed by a date consistent
with the Project Plan.
4. The Contractor shall provide data to enable marketing
planning by POCL. A process for reviewing the type of
Management Information data to be provided shall be
agreed by a date consistent with the Project Plan.
2. These data shall include without Limitation:
ajOutlet, User and Stock Unit registration / deletion and
mutual association;
b)log-on / off;
c)completion of summaries and returns / reports, roll-
over to new Balances and / or POCL Outlet Accounting
Periods;
dj)polling events;
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e)receipt / implementation of new issues of Software,
Reference Data, local Reference Data updates; .
£)POCL Service Infrastructure failure / repair /
replacement, down-time, Recovery time, file corruption
etc.;
g)information to enable POCL to monitor / manage Service
Levels;
h)exception reports.
1,150.3. The Contractor shall provide MIS captured by Outlet,
Outlet type, region and any other organisational
structure specified from time to time by POCL.
1.151. Requirement 895 - General ~- Security: Irregular
Encashment Patterns
1.151 The POCL Service Architecture shall be capable of
monitoring irregular encashments and reporting on them.
Information shall be shared with POCL Audit / Security /
Operations when it relates to a post office in relation
to the following.
* Daily reports of Transactions at a non-live Outlet i.e.
one reported to the Contractor as temporarily out of
commission.
1.152. Requirement 896 - POCL Implementation~- Documentation:
Access to Documentation by Electronic Means
1,152.1. The POCL Service Infrastructure shall be able to
support electronic communications for access to User
documentation. The feature shall not be essential for -
initial implementation, and its later implementation
shall be subject to the mutual agreement of POCL and the
Contractor.
1.153. Requirement 898 - Order Book Control Service (OBCS) ~
General Requirements
1,153.1. [not used].
1.153.2. It shall be possible for POCL to obtain OBCS in
nominated Outlets, at POCL’s discretion, to be available
when the POCL Service Infrastructure rolls out.
1.253.3. OBCS shall be implemented using TMS and OPS.
1.153.4. The implementation of OBCS shall comply with the
Horizon OPS Style Guide.
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1.183 Help Desk support shall be available to all Users of
OBCS.
1,153.6. OBCS shall be available at every Counter Position in
any automated Outlet at which OBCS is required during
the normal opening hours of that Outlet.
1.154. Requirement 899 ~- OBCS - Stop List Maintenance
1,154.1. (not used].
1.154.2. The Contractor shall maintain a stop list recording
details of order books which have been stopped, and
against which ne further payments are to be made, and
erder books which have been recalled. In the case of
recalled order books, orders may be paid for a number of
days following xveceipt of the recall. OBCS shall
calculate the recall date in accordance with the OBCS
Business Processing Rules.
.3. The Contractor shall initiate a communications link
between the DSS computer and the TMS 7 nights each week
and shall transfer a Data File containing stop list
updates. The stop list updates shall include entries
that are to be added and reference to those that are to
be deleted. Notices not deleted by OSS shall be removed
after an appropriate period.
Be
ow
rs
1.154.4. Stop list update files shall be applied in the order
defined in the stop list interface document.
1,154.5. The maximum size of the stop list shall be 1.5
million entrie
1.154.6. The maximum size of a stop list update shall norma
be 100,000 entries. In the event that an update
greater size is needed special arrangements shall be
made,
1,154.7. The minimum size of a stop list update shall be 90
(zero) entries; in this case a file with an appropriate
header and footer shall be sent.
1,154.8. Details of the stop list update interface with DSS
computer system shall be made available by POCL by a
date consistent with the Project Plan.
1.155. Requirement 900 - OBCS - Order Book Processing: Bar-
Coded Order Books
1,155.1. [not used].
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1.155.2. O8CS shall provide a facility for dealing with bar~-
coded order books presented for encashment of benefits
at automated Outlets requiring OBCS.
1.155.3. The bar-code shall be scanned, validated and checked
gainst the stop list:
ajwhen the order book is received at the Outlet;
b)when the order book is handed over to an Authorised
Person;
¢)when the order book is presented for payment.
1.155.4. Whenever the bar-code on an order book is scanned
OBCS shall provide both a visual and an audible
indication of the result of the scan. There shall be a
clear difference between the audible indication given
for ‘success or normal’ and ‘failure or exception’.
There shall be a clear distinction between the
instructions to ‘impound’ and ‘cash and impound’.
1.155.5. When an order book is received at the Outlet from the
Issuing Authority, OBCS shall prompt the Counter Clerk
to scan the bar~code, and OBCS shall check it against
the stop list. The electronic record of the Transaction
shall be transmitted to the DSS computer system within a
Data File,
@)If the order book is on the stop list then OBCS shall
instruct the Counter Clerk to impound, hole punch the
order book and return it to DSS.
b)OBCS shall be capable of recording the re-direction of
the order book to another Outlet or its return to DSS.
c)I£f there are three consecutive failures to read the
bar-code OBCS shall prompt the Counter Clerk to enter
the bar~cede information via the keyboard. Subsequently
OBCS shall instruct the Counter Clerk to hole punch the
order book and return it to DSS. OBCS shail record the
order book as unreadable.
dj)The maximum number of order books received in an Outlet
on a POCL Core Day is expected to be approximately 600.
an
55.6. When an order bock is being issued te the Authorised
Person, OBCS shall prompt the Counter Clerk to scan the
bar-~code and OBCS shall check it against the stop list.
The electronic record of the Transaction shall be
transmitted to the DSS computer system within a Data
File. The rules for making payments and order book
retention are as for encashments below.
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a)The maximum number of books issued at any one
Outlet in a POCL C Day is expected to be
approximately 100, but it should be borne in mind that
there will be an uneven distribution across days, with
peaks expected on Mondays, Tuesdays and Thursdays.
1.155.7. When an encashment is made against the order book
OBCS sha prompt the Counter Clerk to scan the bar-code
and OBCS shall check it against the stop list. Details
of the Transaction shall be transmitted to the DSS
computer system within a Data File.
a)When OBCS identifies a bar-code as not conforming with
the specifica nm agreed with POCL, OBCS shall instruct
the Counter srk to impound the order book without
payment. The Transaction shall be recorded by OBCS.
This transaction shall be recorded in the summary of
non~bar-coded order books.
b}If the order book is not on the stop list then OBCS
shall instru the Counter Clerk to pay normally and
prompt for the number of vouchers encashed. A default
number of one shall be presented with the Counter Clerk
having the ability to override this.
c)If the order book has been recalled then OBCS shall
instruct the Counter Clerk to pay up to a specified
date and prompt for the number of vouchers encashed. A
default number of one should be presented with the
Counter Clerk ving the ability to override this with
a valid number, including zero. OBCS shall instru he
Counter Clerk to retain the order book, hole punch it,
and return it to DSS.
d)If the order book has been stopped OBCS shall instruct
the Counter Clerk to make no payment and impound the -
order book, hole punch it and return it to DSS. The
Counter Clerk shall not be allowed to void or otherwise
cancel such a Transaction.
)1f there are three consecutive failures to read the
bar~code, OBCS shall prompt the Counter Clerk to enter
the bar-code information via the keyboard. If the order
book is on the stop list for impounding then this takes
precedence, otherwise OBCS shall i ruct the Counter
Clerk to pay one voucher and then hole punch the order
book and return it to DSS. OBCS shall record the order
book as unreadable. The Counter Clerk shall not be
allowed to void or otherwise cancel such a Transaction.
o
1.155.8. Details of the interface with the DSS computer system
for receiving Transaction records noted above shail be
made available by the DSS by a date consistent with the
Project Plan.
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1,156. Requirement 901 - OBCS - Order Book Processing: Non~
Bar~Coded Books
1.156.1. [not used}.
1.156.2. When an order book with no bar~code is presented for
encashment OBCS shall prompt the Counter Clerk to e Pa
the number of vouchers to be encashed. A default number
of one shall be presented with the Counter Clerk having
the ability to override this.
1.156.3. For each Outlet for each POCL Core Day a single
electronic record giving the total number vouchers
encashed shall be transmitted to the DSS computer system
within a Data File.
1.156.4. Details of the interface with the DSS computer system
for receiving voucher totals records noted above shall
be made available by POCL.
1.157. Requirement 902 - OBCS - Transaction Times
1.157.1. [not used].
1.157.2. The following Transaction times shall be achieved
using OBCS with a fully populated stop list:
a)logging the receipt of an order book, measured as the
time from any point in the cycle for one order book to
the same point in the cycle for the next order book ,
shall not take more than one (1} ond longer than
without CBCS;
b)in issuing an order book to an Authorised Person, the
checking against the stop list using OBCS shall not add
more than ve (5) seconds to the time that would have
been taken with no manual stop list;
in making an encashment OBCS Transactions shall not
exceed transaction times as per Schedule H0O8.
1.258. Requirement 903 - OBCS ~ General Service Levels
The stop list functionality shall be implemented so
that the version of the stop list being referenced from
Outlets has been updated with the stop list updates from
the DSS computer. The version of the stop list is fully
updated once all updates received have been applied. If
one day’s worth cf updates have not been applied then
the version is deemed one day behind and so on.
On any POCL Core Day:
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a)9? % of Outlets shall be referencing a version which is
fully updated;
b)99% of Outlets shall be referencing a stop list which
is no more than one day behind;
c)100% of Outlets shall be referencing a stop list which
is no more than two days behind.
1,158.2, Transaction data shall be forwarded to the DSS
computer system soon after the completion of the POCL
Core Day on which the Transaction occurred as part of a
batch transmission, Transaction data not available for
the next batch transmission shall be include in a
subsequent transmission.
Data which are included in the first batch transmission
to take place after the time of the Transaction are
deemed to be in the first batch transmission and so
on,
Transaction data from the Outlets shall reach the DSS
computer system as follows:
a)the data from 97% of Outlets shall reach DSS within the
first batch transmission;
b})the data from 99% of Outlets shall reach DSS within the
second batch transmissions;
c)the data from 100% of Outlets shall reach DSS within
the third batch transmissions.
1.159. Requirement 905 ~- POCL Implementation - User Support
for Transaction Accuracy
The POCL Service Infrastructure shall be designed in
order to, and shall, give the User support in
maintaining Transaction accuracy and in order to assist
the transfer of accurate POCL Product information to
Customers.
1.160. Requirement 906 ~ POCL Implementation - Roll Out:
1.160.1. Outlets shall be provided with new terminals on the
day of installation of the POCL Service Infrastructure.
Installation covers physical placement, connection to
the POCL Service Infrastructure and testing.
1.161. Requirement 911 - End to End Service - Integrity
Across Changes
1,161.1. The POCL Services shall maintain accounting and
reporting integrity in the POCL Services and POCL
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Service Infrastructure, including any changes under the
Change Control Procedure. .
1.161.2. Such integrity shall cover implementation of changes,
reverting to previous states {should this prove
necessary, for example in fall-back and Recovery), co-
existing before and after states (e.g. if simultaneous
implementation does not ccur} and reporting across
change boundaries (e.g. using appropriate Reference Data
versions for each part of a report).
1.162. Requirement 912 - POCL Service Infrastructure - SMS:
Portable Appliance Testing
1.162.1. The Contractor shall carry out any regular portable
appliance testing of elements of the POCL Service
Infrastructure installed as part of the POCL Services in
Outlets and on any other POCL Premises as required by
legislation.
1.163. Requirement 913 - Implementation - Service Level
Agreement: POCL User Documentation
1. INTRODUCTION
21.163,1. The Contractor shall provide to POCL PPDs containing
information necessary for the preparation by POCL of
comprehensive User documentation for all Users of the
POCL Service Infrastructure and others, as notified by
POCL.
2. AVALLABILITY
2.1. Users of the POCL Service Infrastructure
-163.2. User documentation shall be available to all Users of
the POCL Service Infrastructure 100% of the time that
the POCL Service Infrastructure is in use.
w
2.2. Other Users
1,163.3. User documentation shall also be available to others,
{such as helpline operators, non serving staff in retail
Outlets, Retail Network Managers etc.} 100% of the time
that the POCL Service Infrastructure is in use.
2.3. Contingency/disaster Recovery arrangements
1.163.4. User documentation which contains information to
Users on contingency / disaster Recovery arrangements,
such as what to do during a Service lure, shall be
available to all Users during all hours of business.
3, CONTENT OF USER DOCUMENTATION
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1.163.5. User documentation shali contain all information
which a User of the documentation requires to complete
all business Transactions at POCL Premises. This
includes topics such as:
a)performing counter Transactions;
b} accounting;
¢)balancing, including Value Stock taking;
d) Steck ordering:
@)Stock acceptance, disposal, destruction, remitting
etc.;
f)contingency arrangements e.g. for Service Failure;
g)giving information to Customers e.g. how to obtain a
duplicate Motor Vehicle Licence disc;
h)information for specific POCL Products e.g. posting
restrictions;
ijperforming business Transactions at Remittance Units
4. ACCURACY OF INFORMATION
1.163.6. Ali information in User documentation shall be
accurate.
5. DESIGN OF USER DOCUMENTATION
5.1. Visuai identity
1.163.7. All User documentation shall conform to POCL’s
‘Design Applications Guidelines’, which is part of
POCL’s ‘Visual ntity’ policy.
5.2, Communications policy
1,163.8. All User documentation shall conform to POCL's
communications policy, which is covered in the document
‘A Guide to Head Office Communications Team’.
5.3. Environmental policy
1.163.9. All User documentation shall conform to POCL’s
Environmental policy.
6. USER DOCUMENTATION FOR A NEW PRODUCT/SERVICE
6.1, Notification of requirement by POCL
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1,163.10. POCL shall advise the Contractor of the requirement
for User documentation for a new Product/Service a
number of days before the implementation of that new
Product/Service, such number of days to be agreed
between POCL and the Contractor at the time of agreeing
to implement such new Products/Services.
6.2. Drafting of User documentation
1,163.11. The final copy of User documentation for a new
Product/Service shall be completed a number of days
before the implementation of that particular
Product/Service, such number of days to be agreed
between POCL and the Contractor at the time of agreeing
to implement such new Products/Services.
6.3. Final approval by POCL
1.163.12. All User documentation for a new Product/Service
will be subject to final approval by POCL which shall,
if appropriate, be given a number of days before the
implementation of that particular Product/Service, such
number of days to be agreed between POCL and the
Contractor at the time of agreeing to implement such new
roducts/Services.
1,163.13. User documentation which contains the details of a
new Product/Service shall be available to all Users of
the documentation immediately prior to implementation of
the new Product/Service.
7. UPDATING USER DOCUMENTATION
7.1. Planned changes
7.1.1 Notification of changes by POCL
1,163.14. POCL shall advise the Contractor of the requirement
to update User decumentation a number of days before the
implementation of the change, such number of days to be
agreed between POCL and the Contractor at the time of
agreeing to implement such change.
7.1.2 Drafting of User documentation
1,163.15. The final copy of updated User documentation shall be
completed a number of days before the implementation of
that particular change, such number of days to be agreed
between POCL and the Contractor at the time of agreeing
to implement such change.
7.1.3 Final approval by PocL
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1.163.16. All updated User documentation shall be subject to
final approval by POCL a number of days before the
implementation of that particular change, such number of
days to be agreed between POCL and the Contractor at the
time of agreeing to implement such change.
7.1.4 Availability
1,163.17. Updated User documentation shall be available to ail
Users of the documentation immediately prior to
implementation of that particular change.
7.2. Emergency updates
Emergency updates to PPDs shall be made available to
1b within (24) hours of the changes being notified to
the Contractor by POCL.
8. [NOT USED]
1.163.19. [not used).
9, USER SATISFACTION
9.1. Frequency of monitoring
1.163.20. The Contractor shall measure User satisfaction with
User documentation annually.
9,2. Target for User satisfaction
1.163.21. User satisfaction with User documentation shall be no
less than 90%.
9.3. Topics to be covered .
1.163 er satisfaction survey
.22, Topics to be covered by the
will include areas such as:
ajoverall use/effectiveness of User documentation;
b)comprehensiveness of index/indices;
c)accuracy of index/indices;
dj)relevance of any cross references;
e)accuracy of any cross references;
fj)layout, style and language etc.;
g) readability/size/usefulness of graphics;
h} quality and clarity of text.
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1.164. Requirement 914 ~- Implementation - Service Level
Agreement: Operational Systems Help Desk
1. INTRODUCTION
1.164.1. This requirement documents the key Help Desk Ser e
requirements for the POCL Services and POCL Service
Infrastructure.
2. HELP DESK SERVICE
2.1. General
1.164.2. The Contractor shall provide a Help Desk Service
which shall be the first point of contact for Help Desk
Customers. Help Desk Customers include Users and POCL
Clients having a direct interface with the POCL
Services.
1,164.3. The Help Desk shal
alact as a central point for information on the working
state of the POCL Services;
b}keep Help Desk Customers notified of any scheduled
interruptions;
cjassist in any negotiations between POCL and their
customers where interruptions to the POCL Services
provided are scheduled;
d}keep Help Desk Customers informed of when the POCL
Service will be stored.
1,164.4, The Contractor’s Help Desk Service shall provide
rst, second and third level Services. The Help Desk
shall respond to calls within ten (10) seconds. Help
Desk contact shall be over the telephone.
1.164.5. The Contractor shall provide the facility to transfer
calls which are received and are outside its area of
esponsibility. The Contractor shall also provide the
facility to receive transferred calls from POCL help
desks and helplines.
2.2. First Level Service
1.164.6. The first level Service shall provide an immediate
problem solving service for all simple and
straightforward problems, which can be resolved within
five (5) minutes, and all general enquiries.
1.164.7. The first level member of staff who takes the call
owns the problem from initial legging through to
resolution to the Help Desk Custome satisfaction.
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1.21
~
e
Ie
a
rn
el
64.8, The second level Service shall provide
164.
64.
1.164.
The Contractor shall cater for first level members being
off duty.
2.3. Second Level Service
a diagnostics
and fixing service for all problems which cannot be
fixed within five (5) minutes by the first level
Service, but which can be resolved within thirty (30)
minutes.
9. Calis shall be referred electronically from the first
level Service to the second level Service. Second level
staff shall have access to a prioritised list of
outstanding problems, and all the details on the problem
entered by first level staff.
2.4. Third Level Service
.10. If the Help Desk is unable to resolve a problem at
the first or second level the Contractor shall
categorise and prioritise the problem so that it can be
actioned and completed wi n a standard timescale.
2.5. Hours of Service
-ll. A full Help Desk Service is required during the POCL
Core Day. A skeleton Help Desk Service all be
provided between 05:06 and 08:00 and between 20:00 and
24:00, Monday to Saturday, and between 07:90 and 22:00
on Sundays.
12. The Contractor shall ensure that calls made to the
Help Desk outside specified hours are accepted by
Contractor.
13. The Contractor, given two (2) POCL Core Days notice,
shall extend the level of Service to whatever is
required. In emergency circumstances, the Contractor
shall, given five (5) hours notice, provide a first and
second level Service outside normal and extended working
hours.
2.6. Problem Management
14. The Contractor shall provide a problem management
system to record the problem details such as (but not
exclusively):
ajunique problem serial reference, generated
automatically by the problem management system;
b)Help Desk Customer contact, address, location and
telephone number;
c)date and time problem occurred;
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Des
d}date and time problem was reported to Help
e)Relp Desk contact;
f)description of the problem, including frequency of
occurrence;
g}serial references of similar faults and previous
occurrences;
h)Hardware Equipment involved; serial number etc.;
i)Software product and release version;
jj}assessed impact on Help Desk Customers business;
k)priority for solution;
l)problem category;
stimated elapsed time to solve problem;
njany change of referral point;
oj)date and time of referral.
1,164.15, The Contractor shall update the problem management
system with the following information, as appropriate:
ajdate and time of update;
b)Help Desk contact updating record:
¢)textual description of the work done, or the fact that
the problem hac to be referred elsewhere, and who has
taken it on;
dj)date and time problem was cleared;
e)date and time the solution was accepted by the Help
Desk Customer;
f}actual elapsed time to solve problem.
164.16. The Contractor shail also keep a record of all
problems relating to the failure of uploading and
downloading data.
1,164.17. The Contractor’s first level Service staff shall
assign a priority to the problem. Possible priorities
could be:
Priority Description
1 live working disrupted. Outlet cannot
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continue normal working;
2 live working disrupted but work around
possible;
3 minor inconvenience Help Desk provide
short term resolution.
1.164,18. Throughout the life of the problem the Contractor
staff shall moniter the progress of the problem and
inform the Help Desk Customer at regular intervals, to
be agreed with POCL by a date consistent with the
Project Plan. This shall also apply to second and third
level Services,
1.164.19. The Contractor shall manage the resolution of any
problem using documented procedures agreed with POCL by
a date consistent with the Project Plan. These
procedures shall be comprehensive in that they cover all
aspects of problem resolution from initial logging
through to closure, For example, in the event of a
major POCL Service Failure at a post office, procedures
shall exist to cover the possible closure of the post
office and the re-allocation of its responsibilities to
ether post offices. Escalation procedures shall be
included.
1,164.20. A problem can only be cleared when a Help Desk
Customer has confirmed satisfaction with the resolution.
2.7. Systems and Services Supported
2.164.21. The Contractor shall maintain User, asset, problem
and change management databases.
2.8. Resilience
1,164.22, The Contractor is responsible for ensuring that a
contingency plan is in place to cater with any Help Desk
Incident, e.g. loss of staff, loss of telephone system,
loss of problem/configuration management system. The
contingency plan is to be agreed with POCL by a date
consistent with the Project Plan and shall state how
quickly the POCL Service will be restored in the event
of an Incident.
Trai
1.164.23. The Contractor shall provide any necessary awareness
training to ensure Users work effectively with the Help
Desk. The Contractor shall develop and implement
training plans for its own staff.
2.10.Personnel
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1,164.24. The Contractor shall ensure that all staff, including
back-up staff, employed on the Help Desk Service have
suitable and appropriate skills and training. The
Contractor shall ensure that sufficient skilled
resources are available to cater for holidays, sickness
and natural wastage within the Contractor's
organisation.
2.11.Service Targets
1,164.25. The Contractor shall answer at least 80% cf all calls
to the Help Desk within twenty (20) seconds during first
level Service hours. 99.9% of calls shall be answered
within forty (40) seconds.
1,164.26. The percentage of ‘calls not answered’ shall be less
than 1%. This includes calls where the line is busy as
well as calls answered but put on the ‘waiting queue’.
1,164.27. The Contractor shall resclve at least 95% of cails
assigned to first level within five (5} minutes. The
Contractor will resolve 100% of calls assigned to first
level within ten (10) minutes,
1.264.28. The Contractor shall resolve at least 95% of calls
assigned to second level within thirty (30) minutes.
The Contractor shall resolve 100% of calls gned ¢
second level within forty-five (45) minutes.
=
3. SERVICE MONITORING
1.164.29. The Contractor shall produce Service information, 1
electronic form and/or paper, and shall deliver this
information to POCL within two (2) POCL Core Days of the
end of the period to which y relate. The following
is an example of the information required: -
a)nmumber of calls outgeoing/received/number of calls not
answered;
b)percentage of calls answered within target times;
c}number of problems/queries logged;
d)number and percentage of problems/queries solved within
target times;
e)number of problems / queries assigned to first level
that were not cleared within ten (106) minutes;
}number of problems/queries with se
£ pr ndary complications
(e.g. repeat calls);
ginumber of problems/queries escalated;
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h}percentage of time full Help Desk Service was
available;
i}supplier performance against Service Levels for
response;
j)Service availability at each post office.
1,164.30. POCL may wish to analyse the information by:
a}category of operational problem/query;
b)level and solving group at which the problem/query was
solved;
c)Help Desk Customer group and location;
dj}mean time to closure.
1,164.31. The Contractor shall retain Help Desk records for a
minimum of eighteen (18) months.
1.164.32. Each quarter a survey shall be conducted by POCL to
determine User satisfaction with the Help Desk Service.
POCL and Contractor shall agree the approach to be taken
and the format/content of the questionnaire by a date
consistent with the Project Plan.
1.164.33. The Contractor shall, on reguest, provide on-line
access to the problem management system. POCL shall
inform the Contractor of who is authorised to access the
system. The Contractor shall provide ad hoc reports, as
requested by POCL, within three (3) POCL Core Days.
1.165. Requirement 915 ~- Implementation ~ Service Level
Agreement: Training Services
1. INTRODUCTION
1.165.1. This requirement documents the training requirements
and key measurables that shall be used to assess the
effectiveness of the training Service as a whole.
2. TRAINING SERVICES
2.1. General
1.165,.2. The training provided shall enable POCL’s staff or
Agents to achieve acceptable standards in key
competencies in the use of the POCL Services.
1,165.3. The Training Services shal incorporate the
development design and delivery of agreed training
events and support mater
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2.2. Specific Responsibilities
Contractor
a)Design of training events;
b)development of training materi
maintenance);
s {day to day and
c)delivery of training:
. to delegates (as appropriate);
. to trainers;
d)communication of training acti
ca
delegates;
. to POCL;
. to POCL Regions;
e)management of training processes:
. training plans;
. call up notices;
. site selection and preparation;
. provision of appropriate Equipment;
f}management information (training):
° provide defined reports on training completed for
agreed periods;
gj)Attend regular training review meetings;
h)Identify improvement to training Services.
POCL
a}Consider and once it has agreed sign off Contractor’s
training proposals and processes;
b)monitor and review performance;
cjattend regular training review meetings;
djidentify improvements to training Services as part of
the Contractor’s quality review.
3. KEY MEASURABLES
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3.1. Timeliness
be
165.4. Training courses shall be available within ten (10
POCL Core Days notice being provided by POCL in addition
to the 4 week invitation notice period to Users.
Training shall not be delivered more than five (5)
POCL Core Days before live usage of the POCL Service
Infrastructure or the relevant poch Service by
delegates.
3.2. Quality
5.6. Trainees’ satisfaction with the training venue shall
be measured by a training satisfaction questionnaire and
shall achieve not less than 85% satisfaction.
1,165.7. The training shali have received a positive rating of
not less than 95% as a result of a training measurement
questionnaire.
3.3. Cycle Time
1.165.8. Training shall take no longer than the timescale
specified by the Contractor in their Soluticn to
Requirements 531 and 534 to ena delegates to achieve
the required standard of competence. Where minimum
training compliance (MTC) is not affected remedial
training can be delivered up to 2 days prior to
individual site acceptance.
3.4. Contingency / Disaster Recovery
165.9, Notification of course cancellations shall be issued
at the earliest possible time . A minimum of forty eight
(48} hours notice must be provided for 98% of cases.
1
£
1.165.10. The Contractor shall cancel no more than 2% of
courses.
ii
-1ll. When a designated training site becomes inoperative
the Contractor shall make an alternative available and
functioning within (approximately five days) to enable
continuation of the training plan.
3.5. Data Accuracy and Integrity
1.165.12. There shall be no degradation to any Transaction data
in the live POCL Service Architecture as a result of
accessing localised training packages.
1.165.13. Training course content shall have no factual errors
at the time of release.
3.6. Competence levels
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1.165.414. The training Services provided shall ensure that 95%
of trainees on completion of the training shall be able
to demonstrate achievement of the agreed level of
competence, which shall reflect a score of 90% for
knowledge related areas for. transactions and the
operating platform.
1.165,.15. Competence levels shall be measured by the Contractor
for delegates to second level of the Kirkpatrick model
utilised by POCL.
4, COMMUNICATION
1.165.16. Delegate performance feedback shall be provided by
the Contractor for each person attending a training
course
fe
oO
-165.17. Regional offices shall be provided by the Contractor
with a status report on delegates whose attainment ievel
of the key competencies for their user group is below
the agreed standard within five (5) days of training
completion.
1.165.18. Trainees shall receive call up papers one (1) month
prior to proposed date of training.
1.165.129. Call up notices shall provide options as to days and
times of attendance for training.
5. MONITORING TRAINING SERVICES
1.165.206. The Contractor shall supply information to POCL in
the ag format which identifies actual performance
against the key measurables stated.
6. TRAINING REVIEW MEETINGS
1,165.21. Review meetings shall be held on a regular basis.
Operational Trial fortnightly
First 6 months live running monthly
From 7 months to 18 months quarterly
After 18 Months ad hoc or emergency
review meetings may be
called by either party.
Note : Meetings timing shall be subject to agreement.
These are only indicators.
7. ESCALATION PROCEDURES
21.165.22. Failures in Service Levels shall be managed and
rectified between the nominated SLA managers of POCL and
the Contractor whenever possible.
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1,165.23. Issues which cannot be rectified shall follow the
agreed escalation path as detailed in Clause 807.
8. CHANGE MANAGEMENT
1.165.24, Permanent variations to the agreed Service Levels and
or the training Services provid shall be progressed
through the standard Change Control Procedure.
9, TRAINING SERVICE SLA MANAGEMENT
1.165.25. [Not used]
1.165.26. The SL
of Schedul
shall be managed within the overall framework
AC4 and G07 of the Codified Agreement.
1.166. Requirement 918 - General - Communications
1,166.1. POCL shall retain the right of veto on all
communications, marketing and education for all
Customers, POCL employees, Agents and their staff.
1.167. Requirement 921 - POCL Service Infrastructure -
Security: OPS Secure Time-out
1.167.1. The OPS and the elements of the POCL Service
Infrastructure on which OPS is provided shall provide a
secure time-out facility for each counter terminal and
back office terminal.
facility shall allow the User to resume work with
the minimum delay consistent with achieving security in
ecordance with the provisions hereof.
l be clear that the facility is in use to
any confusion between a terminal with the
ility activated and a terminal that is available for
use by any User.
1.167.4. Under circumstances where the facility has been
activated and the User is no longer able to cancel it,
for whatever reason, it shall be possible with
appropriate authority:
a)to complete User and Outlet balances; and
b)to make the terminal available to another User.
1.167.5. The circumstance where the facility has been
everridden by an appropriate authority shall be
expressly logged to the audit trail.
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1.168. Requirement 922 - POCL Service Infrastructure - OPS:
Noise Emissions
1.168.1. The acoustic noise emission of any element of the
POCL Service Infrastructure used in the provision of OPS
shall not excéed 60dB{A) measured at a distance of one
metre.
1.169. Requirement 925 - Joint Implementation - Operational
Trial: Acceptance Testing Requirements
1.169.121. The Operational Trial shall be carried out in
accordance with Schedules LO1, LO2, LC3, LO4 and LOS.
1.170. Requirement 926 ~- Roll Out: Generic Requirement
2.170.1. All Roll Out plans shall be agreed with POCL. Any
changes to functionality of the POCL Services shall be
implemented only with the prior approval of POCL.
1.1706.2. POCL reserves the right to suspend the Roll Out
programme if the Contractor fails to deliver POCL
Services to the Service Levels.
L172. Requirement 938 - Data Protection
-i. The Contr x shall ensure that any information
supplied under the Data Protection Act 1984 is accurate
and that assurances can be given as to the integrity of
that information.
1.171.2. The Contractor shall deliver any information
requested under the Data Protection Act 1984 to the
requesting body or person as appropriate.
1,171.3. The Data Protection Act 1984 became law from 11
November 1987. All subsequent alterations and reviews to
law after 15 May 1996 shall be integrated and
d to,
-4. The Contractor shall record all written requests for
a data protection print from a Customer or
representative within five (5) days of receipt of the
reguest, and deal with queries raised within a timescale
to be agreed with POCL by a date consistent with the
Project Plan, such agreement not to be unreasonably
withheld or delayed.
1,171.5. All information provided under the Data Protection
Act 1984 shall be available to facilitate inspection.
Details of a request and response made under the Data
Protection Act 1984 shall be retained consistent with
the Data Protection Act 1984 requirements.
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1.172. Requirement $41 ~ Implementation - Roll Out: Post
Office Roll Out
1,172.1. The planned Roll Out of the POCL Service
Infrastructure for each Outlet shall be agreed by the
Contractor and POCL by a date consistent with the
Project Plan.
.172.2. Northern Ireland is a discrete area for such Rell Out
purposes.
ee
1.173. Requirement 945 -~ Implementation ~ Service Level
Agreements: Installation of POCL Service Infrastructure
73.1. The installation of the POCL Service Infrastructure,
the implementation of POCL Infrastructure Service and
the Service Levels for the POCL Infrastructure Service
all be as set out in Schedule G06 and G10.
1.174. Requirement 949 ~ POCL Implementation ~- Training
1.174.1. The Contractor shall be capable of delivering POCL's
total training requirement if required in due course.
1.175. Requirement 951 - General - Service Architecture
Design Document
1.175.1. The Contractor shall develop and maintain the Service
Architecture Design Document, a document describing the
design of the POCL Service Architecture.
1,175.2. As a mini
shall specify:
m the Service Architecture Design Document
a)the major components, provided directly or sub-
contracted, used in providing the POCL Services;
b}the functionality within the major components;
¢)the interfaces between the major components;
djthe Service Levels required across the interfaces to
meet the objectives of the overall POCL Services;
e)all the interfaces with the POCL Service En
and with other parties' computer systems.
ironment
.3. The audience for the Service Architecture Design
Decument shall be technical staff within POCL. The
Service Architecture Design Document shall be self
contained, though it is expected that it references
other documents to provide further levels of detail as
appropriate. The level of detail within the Service
Architecture Design Document shall be such that it gives
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a thorough background to the construction of the POCL
Services and the rationale for the approach. It is
anticipated that the Service Architecture Design
Document shall be between 200 and 400 pages in length.
1.176. Requirement 952 - POCL Service Infrastructure - OPS:
APS Key Management
1.176.1. The OPS shall support a reliable, secure means for
the transfer of encrypted data that may subsequently be
used for cryptographic applications.
1.176.2. In order to use the encrypted data, a key management
system shall be in place so the encrypted data can be
deciphered without risk of the cryptographic key being
exposed.
Li.177. Requirement 953 - POCL Service Infrastructure ~- OPS:
Concurrency
1.177.1. OPS shall support concurrent access to POCL Services
provided via it.
1,177.2. OPS shall ensure data integrity, e.g. reports printed
at the back office whilst serving at the front office
shall be consistent with a clearly stated policy (to be
approved by CL) of what front office data are included
in the report.
1.177.3. Performance of OPS shall not be significantly
degraded by other office activity, e.g. front office,
back office and communications activities shall not
unduly impact each other.
1.178. Requirement 956 - OBCS - OPS Interface: ESNCS to OBCS
1. BUSINESS SUPPORTED ACROSS THE INTERFACE
1,178.1. The following business transactions shall be
supported across this boundary:
1.1 Transactions initiated by ESNCS
1.178.2. Order book stops - ESNCS shall provide to OBCS
amendments to the currently held list of order books
that shall be stopped a impounded when they are
presented at a post office (i.e. order books where no
further payment on foils within the specified order book
shall be made);
be
wy
~J
2
w
Order book recalls ~- ESNCS will provide to OBCS, and
OBCS shall receive, amendments to the currently held
list of recalled order books which are to be recalled.
OBCS shall calculate the recall date in accordance with
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1.178
1.178
1.178
+5. Rest
178.
78,
OBCS Business Processing Rules. A recalled Order book
shall be impounded upon presentation at a post office.
.4. Purge order book notification - ESNCS shall provide a
list of order books which OBCS’ may purge from its list
of recalls or stops. OBCS shall not subsequently need to
support any stop or recall action on such order books
unless they are subsequently re-notified via either the
stop or recall processes;
te full list - ESNCS can, on request, provide a
full list of all stops and recalls that are currently in
force. This is an ad hoc Transaction which requires
agreement of both POCL, on behalf of DSS, and the
Contractor (such agreement not to be unreasonably
withheld or delayed) before it can be initiated.
1.2 Transactions initiated by the Contractor
6. Notification of outcome cf order book receipt at post
office - OBCS shall notify ESNCS of the outcome of the
order book receipt process in the post office. The
outcome shall be one of:
a}the order book is acceptable;
b)the ord book is immediately impounded (due to a stop
or recall request previously accepted from ESNCS);
}the order book bar-code is found to be unreadable and
is to be sent by the post office te a DSS off for
re-issue.
7, Notification of an order book redirection - the post
office detects delivery of an order book to the wrong
post office and attempts to redirect it to the correct
one. OBCS shall notify ESNCS of the outcome of such
s which shall be one of:
even
a}the order book is redirected;
b)the order book is found to be unreadable and is to be
sent to a DSS office for re-issue.
-8. Notification of outcome of order book handover to the
Authorised Person - OBCS shall notify ESNCS of the
outcome of the order book handover to the Authorised
Person. The outcome shall be of:
a)the order book is handed over successfully;
b}the order book is immediately impounded (due to a stop
er recall request previously accepted from ESNCS};
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e}the order book bar-code is found to be unreadable and
is to be sent to a DSS office for re-issue.
1,178.9. Notification of outcome of order book foil encashment
- OBCS shall notify ESNCS of the outcome of the order
book foil encashment. The outcome shall be one of
a)the encashment is successful and the number of foils
encashed and the total value are reported;
b)ne encashment is made and the order book is immediately
impounded (due to a previous stop request accepted from
ESNCS);
c)one or more foils are encashed, the number of foils
encashed and their total value are reported, and the
erder book i impounded (due to a previous reca
request accepted from ESNCS);
djone foil is encashed, its value reported, and the order
book is impounded due to the order book bar-code being
unreadable.
1,178.10. Post office summary Transaction - OBCS shall notify
ESNCS daily for each post office of:
a}the tetal numb
at that post
f non bar-coded order books presented
office;
b})the total number of order books impounded without any
encashments due to the bar-code being invalid.
2. SYSTEM AND SERVICE RESPONSIBILITY
178.11. The Contractor shall provide all networks, hardware
software, procedures and training required to connect
and deliver Services to the nominated ESNCS platforms.
It is entirely responsible for Roll-Cut, operatic and
management of all such resources subject to the approval
of POCL on behalf cf DSS. The Contractor shall provide
such connection(s) at sites nominated by POCL on behalf
cf DSS and which may change over time.
L.176.2
ESNCS is ICL VME and UNIX based and resides in the
DSS Area Computer Centres operated for DSS by EDS. POCL,
on behalf of the DSS, and the Contractor shall agree,
from time to time, the technical nature and
implementation of the connection.
1.178,
The Contractor shall not change the ESNCS interface
as currently implemented in any way without approval by
POCL, on behalf of DSS. The exception to this is the
acknowledgement of order book stops and recalls which is
in addition to the current implementation.
REQUIR
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21.178.14. The Contractor'S service responsibilities extend to:
ajtransport of EBSNCS created Transactions and any
ssociated information (e.g. Reference Data) from the
ESNCS service to the POCL Services along with any
subsequent processing. This normally includes detecting
the availability of such Transactions and data on the
ESNCS services;
b)provision of responses to Transactions where requested
along with delivery te the ESNCS service;
e)transport of Contractor created Transactions and
information from the POCL Services to the ESNCS service
and fication of x availability if required.
.15. Agreed Service Levels for this interface are as set
out in Schedule KO8.
L.L79. Requirement 960 - POCL Applications - EPOSS: Zero-
Value Transactions
1.179.141. OSS shall allow POCL to record various zero-value
Transacti ons to measure work done, for example for
nyal Mail and Parcelforce activities and for
on of various forms, for example Ellis. The
of work may be for charging Clients, for
remunerating subpostmasters, for monitoring work done to
check assumptions in cases where the costs are subsumed
in other charges, and so forth. Potential reasons for
new zero-value Transactions might be to provide data for
Clients of _Sezvice Level monitoring, for
example x for mail receip
1.179.2. Automated zero value Transactions shall be reported
separately. Initially these shall be:
a@)automated payments which fall into two categories:
ded (even
e Client has been identified
mpiies interaction with the Smart Token;
. Smart Tokens, where Transactions are recor
iff zero value) once
since th
. swipe-cards or keyed Transactions, where recording of
value Transactions is controlled by POCL Product
ameters for minimum and maximum values but where a
nsaction can be made void during Customer Service;
b} OBCS order book receipt and issue in Outlets.
79.3. Particular aspects are:
ajartomated payments shall continue as now;
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b)extra automated Transactions, including zero-value ones
such as those indicated above for book/receipt
movements shall be designed as POCL Products in the
normal way with normal Transaction controls and data
flows, including interfaces with POCL systems.
1.180. Requirement 971 - POCL Implementation - Farnborough
Requirement
1,180.1. Clients served using the APS shall receive only one
stream of unreconciled data irrespective of the source
ef the polling at Outlets (whether via Farnborough or
Contractor facilities), The Contractor and POCL shall
agree {such agreement not to be unreasonably withheld or
delayed} a strategy to achieve tt requirement as from
the commencement of Roll Cut.
1.180.2. The strategy shall include, but not exclusively, a
timetable separate from and shorter than the Roll Out
timetable, for the Contractor to absorb the reducing
workload from Farnborough.
1.181. Requirement $72 - Implementation - Roll Out: Strategy
1,181.1. The Contracter shall conform to POCCL’S Roll Out
strategy, which is as follows:
ajinstallation w
major conurbatio
Manchester; Merseyside; Leeds
Wear; Glasgow / Edinburgh; U
prioritise the following seven (7)
s for Roll Out: West Midlands; Greater
/ Bradford; Tyne and
n South Wales;
b)the M25 Roll Ont shall take place during the second
half of the overall Roll Out Programme.
1.182. Requirement 973 - End to End Service - Internal
Interface Specifications
82.1. The POCL Services may, during the lifetime of the
Codified Agreement or at termination, need te be
replaced or supplemented with services provided by other
suppliers. It shall therefore be both technically and
commercially viable for the POCL Services to be replaced
by and/or interfaced to services from other suppliers.
To support this, the Contractor shall declare all
internal interfaces between separate POCL Services
within the overall POCL Service Architecture.
1,182.2. For each interface the Contractor shall provide an
interface ecification covering:
a) A definition of the busin processes supported
across the service boundary, including who originates
the processes.
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REQUIREMENTS
b) All business transactions supported
service boundary including
information, any
across the
responses, associated
supporting facilities and any
constraints including required timings
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SOLUTIONS
prec ee eee 41
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Reference No 463
Pathway Response
i. Service Principles
Pathway will supply all the Office Platform Service equipment
which is required for testing, acceptance and training for
those POCL Services which are provided by Pathway under this
Contract. The charges for such equipment are included in the
Service prices. If additional Office Platform Service equipment
is required by POCL for other purposes, including for example
the testing of Services or systems that are not supplied by
Pathway, then Pathway shall supply such equipment under the
normal commercial terms and prices which are prevailing at the
time.
It should be noted that title to all equipment which is
provided as a part of the contracted POCL Services remains with
Pathway and the equipment will be reassigned to operational use
by Pathway when it is no longer needed for testing.
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The following paragraphs provide further details of this
“service principle” as it applies to the examples raised by
POCL.
2. Acceptance Testing:
Pathway will supply the Office Platform Service equipment that
is reasonably required to test and accept new Office Platform
Services provided that it is:
a) vequired in support of the POCL Services provided
exclusively by Pathway and
b) required te satisfy the Acceptance Criteria
3, Destructive Testing:
Upon request by POCL, Pathway will supply sample units of the
Office Platform Service Equipment for destructive testing. The
first sample of each generic type of unit will be provided at
no charge to POCL and any subsequent units will be supplied at
normal commercial prices.
4, Other Testing by POCL:
POCL may require additional Office Platform Service equipment
te support in-house testing or for testing third party
applications, systems or services. Pathway will provide such
Equipment under normal commercial terms and prices.
5. Training:
ICL Pathway will carry out classroom training only. ICL Pathway
will provide the equipment for class room training as part of
national Rollout.
If additional equipment is required by POCL or third parties to
support training which is not undertaken by ICL Pathway then
such equipment will be supplied on normal commercial terms and
prices.
6. Demonstration & Marketing:
Pathway will provide Office Platform Service equipment which is
required to demonstrate and market new Office Platform
Services to clients and prospective clients. The equipment that
is required will be set out in marketing plans which are agreed
jointly between POCL and Pathway.
Pathway Comment
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Nil
Reference No 464
Pathway Response
It is agreed that Services which utilise the OPS and TMS may
only be provided subject to the express agreement of POCL.
Pathway Comment
Nil
Reference No 465
Pathway Response
L. Equipment Livery
Pathway will agree with POCL the standards for equipment livery
to be used within OPS. These standards will reflect the POCL
Style Guide for Post Offices and will be used as the basis for
all equipment installed in all outlets which provide the OPs.
2. Equipment Appearance
The effort required to maintain the OPS equipment will be
minimal and capable of being undertaken by the local post
office staff. It will be comparable to the cleaning required of
any desk-based office computer system and will typically
consist of occasional dusting and screen cleaning. ~
3. Cleaning Materials
Pathway proposes that any cleaning materials that are required
shall be supplied in the same way as for other Consumables.
Pathway Comment
In order to take account of the costs of the livery within the
Tender we shall need early access to the POCL Style Guide for
Post Offices. Pathway anticipates that one aspect of the
standards for equipment livery will be the colour of equipment
casings. Whilst this presents no problems in principle the
earliest definition of the preferred choice will be important
in order that equipment lead times are not affected. Pathway
would wish to supply standard colour equipment into the
Operational Trial phase should post office livery equipment not
be available at that time.
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Reference No 466
Pathway Response
Pathway’s solution is as set in Schedule B04.
Pathway Comment
Nil
Reference No 467
Pathway Response
1. Connection of OPS to TMS
The Pathway solution for OPS is based on a PC configuration at
every counter. Each counter configuration is linked to a
Local Area Network within the post office. Bach post office
configuration is linked to TMS over an ISDN Wide Area Network.
This connection supports the transfer of authorised data files
and messages in both directions.
2. Data Transfer
The Pathway solution for TMS uses data replication and
synchronisation techniques to ensure that data transfer between
post office counter positions within OPS and between instances
of OPS and the TMS are secure, complete, accurate and robust. ~
In addition techniques including Cyclic Redundancy Checks,
Digital Signatures and Encryption are used to ensure data
integrity.
2.1 Secure Data Transfer
Once a transaction has been settled at a counter position the
full transaction details are committed to that users journal.
These details are automatically replicated to all other PC’s in
the post office to ensure that the data has been securely
captured. In addition these transaction details are
automatically replicated to a remote server within TMS. Data
and message transfer may originate from an individual counter
PC (e.g. a bill payment} and be replicated to TMS or from a
POCL Client system (e.g. APS Host) which then uses TMS to
distribute data to OPS.
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The OPS PCs and TMS servers are known as nodes which are
logically grouped into a number of work groups.
All messages from a single node are generated in a strict
numbered sequence and with a unique node identification. Any
attempt to introduce a fraudulent message will be detected and
rejected.
This approach is resilient to either network or node failure
since a TMS node and an OPS node will be always aware of each
others state. When the failure condition is resolved the nodes
will automatically synchronise and complete any data or message
transfers that are required to ensure both nodes are in a
consistent state.
2.2 Data Integrity
Three techniques are used to ensure data integrity within the
OPS and as part of data/message transfer between OPS and TMS.
These are CRCs used for all node journal messages, DSA based
Digital Signatures used for all data where assurance of content
and source are required and Data Encryption used selectively on
certain data fields.
All messages have a CRC applied when they are initially
committed to the journal and this is checked every time the
message is accessed. This protects against accidental
corruption and casual tampering. Any failure of a CRC check
will cause the message to be rejected and retrieved from an
alternate node.
When authentication of the origin of data is important, a
digital signature is applied to the data prior to transmission
and then checked upon receipt. A CRC is generated for the data
contents, then one-way encrypted and the result encrypted using
a DSA private key. Upon receipt the CRC is recovered using the
public DSA key and compared with the newly encrypted checksum
from the received data. If the results match then the data
content and its origin are assured.
Data encryption may be used selectively to protect the values
of certain data items.
Thus any attempt to alter the data will be automatically
detected and logged for subsequent investigation.
3. Status of TMS data collection
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The Pathway solution for TMS and OPS automatically replicates
in the TMS all of the transaction data which is created using
the OPS. The data is then available for processing by the
relevant client system which may include Pathway, POCL or POCL
client systems.
The replication period between OPS and TMS is configurable and
will be defined according to the urgency of the transaction
data. Data replication will also take advantage of connections
that are established between TMS and OPS for other purposes.
E.g. An OBCS transaction etc.
This process runs automatically throughout the day and is
optimised to take advantage of any connections that TMS might
make to OPS. The exact status of transactions from one moment
to the next may be different. Consequently a report
identifying the status of transaction data is felt to have
little business value.
Pathway believes that the key requirement is to ensure that
end-of-day procedures provide TMS with data in a known state
at each post office and enable Client processing to proceed on
a consistent dataset.
The Pathway solution for EPOS will initiate a connection to
replicate the final end-of-day balances and this process will
also enable the replication of any outstanding transactions
that have not previously been sent to TMS.
Pathway Comment
Nil
Reference No 468
Pathway Response
Pathway's solution draws upon the experience gained by
delivering field services to Camelot’s National Lottery
terminals which are often sited in locations where space is
very limited.
The hardware platform and associated peripherals have been
chosen with minimum maintenance in mind. All faults will be
diagnosed with the aid of expert systems by the Horizon System
Helpdesk and it is anticipated that fewer than 25% of calls
will require a visit by a field engineer to replace an
unserviceable component. It is our experience that the majority
of visits will be completed within 20 minutes of arrival. If
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the maintenance or repair operation is predicted to take longer
than 20 minutes then Pathway will replace a whole unit or
module to minimise disruption at the counter.
Optionally, a postmaster may elect to defer a visit to a time
which he believes is more convenient for himself and his
customers. For example, in a larger crown office, if a fault
occurred at the busiest time of day and the postmaster
preferred that the engineer arrived later, or even on a
different day, then he could request a deferred visit. In these
circumstances, the request for service would be diagnosed fully
but then suspended until the preferred appointment time.
Clearly the time in suspension will not count towards down-time
for the purposes of service measurement and performance
targets.
Pathway Comment
Nil
Reference No 469
Pathway Response
1. General
The OPS is provided by a suite of software procedures which are
invoked by an Application Programming Interface, and a set of
counter applications which perform specific business functions.
These are all run on a hardware infrastructure provided at each
post office counter.
Pathway will provide the following OPS technical documentation.
2. The OPS Architecture Document
A document which describes the overall systems architecture of
Pathway’s solution and the functionality of the various sub-
systems which comprise the suite of software. This includes a
description of the Counter Applications Architecture which
describes how counter applications utilise the OPS.
3. The OPS API Document
A document which describes the full set of API’s provided by
the OPS. Some of these are used by the counter applications.
4. The Counter Hardware Specification Document
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BR document which provides a technical specification of the
equipment provided in a post office as part of the OPS.
5. Change Control
It is important that the Contractor exercises his own
management control over the technical design of the poch
Services so that the operational effectiveness and efficiency
of the POCL Services can be maintained and improved through
time. All changes to the documentation will be passed to POoCcL
for their agreement however Pathway believes that the final
design authority for technical documentation and changes to
them must reside with the Contractor. Pathway is prepared to
discuss particular essential properties of the technical design
which POCL believe must be preserved through changes to the
documentation if this is considered helpful.
Pathway Comment
The requirement only identifies the need for technical
documentation, it does not directly address the related
implications of developing and using third party applications
er hardware on the Contractor's service platform. The
Contractor must ensure that the technical and operational
integrity of the OPS is not compromised by third party
applications or hardware. It will therefore be necessary for
any third party applications or hardware to be verified and
approved by Pathway before installation or connection to the
OPS. In addition to the provision of the technical
documentation, Pathway will support the procurement of third
party Applications or Hardware by offering a design,
Integration, Test and Approval Service. The operational
implications of third party applications and hardware must also
be considered since they will utilise resource capacity of the
OPS and perhaps other related POCL Services. Implementation
and ongoing service management for third party hardware and
applications may be required from the Contractor in many cases.
Pathway is prepared to offer commercially attractive services
to meet all of these requirements.
Reference No 470
Pathway Response
1. Technical Documentation
The TMS is provided by a suite of software procedures which
enable counter applications and Client systema to securely
communicate and exchange data in support of a specific set of
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business functions. Counter applications invoke the TMS through
the TMS applications Programming Interface. Client systems
invoke the TMS functionality through Agent software.
Pathway will provide the following TMS technical documentation.
2. The TMS Architecture Document
A document which describes the overall systems architecture of
TMS and the functionality of its various software sub-systems
This includes a description of the Agents which describes how
Client systems utilise the TMS.
3. The TMS API Document
A document which describes the full set of API’s provided by
TS. Some of these are used by the Client Agents in support of
Client systems.
4. The TMS Hardware Specification
A document which provides a technical specification of the
equipment provided in data centres in support of TMS.
S. Change Control
It ais important that the Contractor exercises his own
management control over the technical design of the POCL
Services so that the operational effectiveness and efficiency
of the POCL Services can be maintained and improved through
time. All changes to the documentation will be passed to POCL
for their agreement however Pathway believes that the final
design authority for technical documentation and changes to
them must reside with the Contractor. Pathway is prepared to
discuss particular essential properties of the technical design
which POCL believe must be preserved through changes to the
documentation if this is considered helpful.
Pathway Comment
The xrequirement only identifies the need for technical
documentation, it does not directly address the related
implications of developing and using third party applications
which utilise the TMS. The Contractor must ensure that the
technical and operational integrity of the POCL Service is not
compromised by third party applications. It will therefore be
necessary for any third party applications to be verified and
approved by Pathway before connection to the TMS. In addition
to the provision of documentation, Pathway will support such
connections by offering a Design, Integration, Test and
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Approval Service. The operational implications of third party
applications must also be considered since they will utilise
resource capacity of the TMS and perhaps other related POCL
Services. Implementation and ongoing service management for
third party applications may be required from the Contractor in
many cases. Pathway is prepared to offer commercially
attractive services to meet all of these requirements.
Reference No 471
Pathway Response
1. Broadcast facilities
Pathway will provide a Broadcast facility which will enable
short messages to be sent to all or a subset of outlets from a
central location. The message will be input into an
application running on the central TMS servers and will be
replicated to post offices as required. At the local post
office each counter position can access these messages and
selectively open and view the message. Once a User has read a
message this fact is recorded in the journal.
The user will be prompted that a message is outstanding by an
indicator on the top of their screen. On selecting the Office
Message icon the user will be presented with a list of messages
with an indicator showing their status (read or unread). The
message can be printed as required.
Pathway will need to agree with POCL the precise mechanisms for
enabling messages to be input into the TMS application and on
the method of grouping PO outlets in order to optimise outlet
selection.
2. Access to electronic information
Subject to the comment below, Pathway is able to provide an
electronic information facility so that counter staff using the
OPS are able to gain access to information in support of
counter transactions and for general education and information.
Such information may comprise or be derived from sources
including Counter News, Regional Bulletins or Operations
Manuals.
Pathway will provide a facility which will enable these and
other documents to be distributed to outlets and viewed
locally. The documents would need to be supplied to Pathway in
an agreed format (e.g. HTML). These would be distributed
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together with an updated index using Riposte. Access to these
documents would be via an appropriate HTML viewer operating
within the users Riposte desktop.
Pathway will agree with POCL or other Clients the retention
periods for these documents.
Pathway will agree a charging structure for this service which
is expected to be based on file size and incidence of
distribution.
Pathway Comment
Pathway believes that the second part of the requirement
(paragraph 2 above) is complex both for the Contractor and for
POCL who would need to originate the information of electronic
access. It is pointed out that for contingency & fallback
purposes the service documentation must be provided in paper
format anyway and thus two sets of information need to be
maintained incurring additional costs. Pathway would like
further discussions with POCL regarding the business needs. At
present Pathway does not believe the facility is cost
effective.
Reference No 472
Pathway Response
1. Introduction
Pathway’s solution for the OPS is based on a set of counter
applications running on processors at every counter position.
The counter applications all operate under Riposte, a suite of
software which provides mechanisms for ensuring data security
and integrity within the OPS and across the network to TMS. In
addition Riposte ensures this distributed architecture is fully
resilient by replication of data across the OPS and TMS
together with effective algorithms for synchronisation whenever
the replicates are out of step.
2. Accurate and Robust Data Capture
The design of the counter applications and the menu structures
have been designed to minimise data input and to ensure that
only valid and accurate data is captured at the relevant point
within a counter transaction.
The counter applications will be invoked by an event driven
process wherever possible. This will typically be a card
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swipe, a bar code read or optionally a single touch on touch
screen panel. The data associated with these actions will be
captured automatically. Some transactions will require no
further data input and the transaction will be completed by
invoking a Receipt (where required) and the Settle function.
Supporting data may be required for some transactions
including quantity, value or transaction specific details such
as account number. Check-digits will be used where this used
by a particular client transaction.
A running total showing quantity and value of each transaction
is visible on the screen, and any errors can be reversed where
the transaction type allows.
3. Integrity and Security of Data
Once a transaction has been settled the full transaction
details are committed to that users journal and Riposte then
replicates these details to all other PC's in the post office.
In addition the transaction details are replicated to a remote
server within TMS. These PC’s and servers are known as nodes
which form a Riposte workgroup.
All messages from a single Riposte node are generated in strict
sequence and with a unique node identification. The
introduction of an additional stream of messages will be
detected by Riposte and rejected.
Three techniques are used by Riposte to ensure data integrity.
These are CRCs (Character Redundancy Checks) used for all
Riposte journal messages, DSA based Digital Signatures used
for all data where assurance of content and source are required
{i.e. AP records) and Data Encryption used selectively on
certain data fields.
All messages in Riposte have a CRC applied when they are
initially committed to the journal and this is checked every
time the message is accessed. This protects against accidental
corruption and casual tampering. Any failure of a CRC check
will cause the message to be rejected and retrieved from an
alternate node.
When authentication of the origin of data is important (i.e.
for AP records), a digital signature is applied to the data
prior to transmission and then checked upon receipt. A CRC is
generated for the data contents, then one-way encrypted and the
result encrypted using an DSA private key. Upon receipt the
checksum is recovered using the public DSA key and compared
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with the newly encrypted checksum from the received data. if
the results match then the data content and its origin are
assured.
Data encryption mechanisms are available and will be used
selectively to protect the values of certain data.
Reference is also made to Pathway’s responses to Risk 65 and
supplementary questions (PWAY065 to PWAYO65c inclusive) which
concern security of data from OPS to TMS, and the Security
Functional Specification.
4, Audit trail
All data captured at a post office counter either as part of a
counter transaction or as an administration function (user
log-on, teller balance) will form part of a unique transaction
which is given a unique reference number by Riposte. The format
of this journal entry will vary according to the transaction
type but will typically contain :-
Post Office ID
Counter Position ID
Unique Transaction ID
Date
Time
User ID
Application
Transaction Details
Each counter PC contains a journal and all journal entries are
automatically replicated to all other members of the workgroup.
This will include all the counter PC’s in the post office and
one of the remote Servers (known as Correspondence Servers)
that form part of the TMS. This Correspondence Server will in
turn replicate all its transactions to two other Correspondence
Servers located on different sites.
Once data is stored in the journal it is never altered. New
transactions are always appended to the journal. Retrieval of
data using a particular key field will retrieve all entries
containing that field and logically determine the overall state
of the transaction data.
A complete audit trail of all transactions and other
significant events is maintained within the post office systems
and is automatically available for analysis by both audit
access facilities and value added services which are linked to
TMS.
5. Data Security and Integrity following failure
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The Pathway solution for OPS ensures that data security and
integrity is maintained in the event of failures of the OPS.
Riposte provides synchronisation facilities which will
automatically check the status of the journal for a node when
it is re-established following failure. Should the journal be
out of step (e.g. through failure of the counter PC) Riposte
will automatically synchronise the journal and any data files
to the same state as all other journals in that workgroup.
Synchronisation may occur from another counter PC {in a multi-~-
counter office) or from one of the Correspondence Servers (ina
single counter post office).
The data security features described above are not affected by
this process and no user intervention is required to effect
synchronisation.
Pathway Comment
Nil
Reference No 473
Pathway Response
1. Remote Access to OPS
Users may only log-on to the OPS in their local post office.
Any access to data or services outside of the local post office
is controlled exclusively by the relevant counter application.
2. User Access to OPS
Authentication of all users logging on to the OPS in the post
office is undertaken by the OPS operating system. Full access
control and password management facilities are provided. The
OPS uses this information to ensure that only authorised staff
are allowed access to applications, and then only to those
applications for which they have permission. Each user is
identified by a unique password. The procedure for logging-on
to the OPS is described in the Counter Operations Procedures
manual.
In order that a specific role for POCL Auditors can be created
Pathway will need to understand the specific functions that are
required to be associated with this role and where these are
different from the Post master. The normal user hierarchy
would place the Postmaster as the most privileged user with a
series of roles and lesser permission levels subservient to
this.
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If specific functions are required for Audit that are not
availazle to the Post master, then the Audit user would require
an incependent method of setting the password. In this
situation the approach outlined below for lost password and
linked to the Audit user would be used.
3. Restricted Functionality
Agreement will be required on the POCL Services (e.g. AP etc.)
that are to be provided at an outlet. Where it is known that a
POCL Service will never be required in an outlet, then the
counter applications reference data will not include that POCL
Service. Where an existing POCL Service might be required in
particular outlets in the future, access to the applications
will be disabled from the user desktop by means of reference
data.
In addition it will be possible to restrict certain transaction
types in an outlet (e.g. no MVL sales). This will be achieved
by disabling the appropriate entry within the desktop through
reference data.
Pathway understand that service or functionality provision /
non-provision is determined at the outlet level, and is not
directly related to User Access.
4, Lost Password
The OPS will provide facilities to enable the Postmaster to
establish new users and set an initial password for all users
in his/her post office. Should a user forget their password
the Postmaster can reset the password. The same procedure
applies at single counter position post offices and multiple
counter position post offices.
For situations where the sole user (e.g. Postmaster in a
single counter office) has lost his password, the OPS will
provide the facility to generate a unique key as part of the
log on to a specific username (e.g. user SETUP). This will be
phoned to the Horizon System Helpdesk who will provide the
corresponding key which when input to OPS will allow access to
the administration facilities. The user may then reset his
user password.
5. Suspend and Resume
A facility which enables users to securely suspend their
current session and then to resume the session is provided as
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part of the overall OPS functionality. The suspend function is
invoked by the user using a specific keystroke (e.g. Control +
Key} and may be performed at any time providing that there is
mo counter transaction in progress, or where the transaction
integrity may be compromised by allowing a suspension (e.g.
part way through a smart card transaction). The suspended
session may be resumed by the user entering his password.
Further details on secure timeout are now covered in response
to requirement 921.
Pathway Comment
None.
Reference No 474
Pathway Response
1. Health, Safety and Legal on OPS equipment.
1. All OPS Equipment will be continuously rated and capable of
functioning safely and reliably, attended or unattended, for an
indefinite period in outlets.
2. Each installation of OPS will be physically and electrically
safe and in compliance with relevant legislation and recognised
best practice. It will not cause interference with other
devices. It is noted that the equipment may be installed in
premises that would be classified as residential.
2.1 This includes all relevant UK Regulations and Council
Directives (that is, Directives of the Council of the European
Communities) which are implemented by HMG. The equipment will
be maintained as demanded by subsequent legislation.
2.2 This includes mandatory standards, including all relevant
UK Regulations and Council Directives (that is, Directives of
the Council of the European Communities) which are implemented
by HMG. The equipment will be maintained as demanded by
subsequent legislation including mandatory standards.
2.3 OPS equipment will comply with BS EN60950 : 1992 (BS7002
:1992) and any subsequent amendments will be applied there
after to any new OPS equipment deliveries or any repaired and
subsequently re-introduced OPS equipment.
2.4 All OPS equipment comprising AC power adapters will comply
with BS EN60065 : 1993 (BS7002 :1992).
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2.5 The workstation aspects of all OPS equipment will comply
with the Health and Safety (Display Screen Equipment)
Regulations 1992, which implement Council Directive 90/270/EEC
on working with display screen equipment.
2.6 Any OPS equipment containing laser emitters will comply
with BS EN 60825:1992. (Examples laser printers and laser
barcode scanners) .
2.7 Any OPS telecommunications equipment will comply with
Council Directive 91/263/EEC (the Telecommunication Terminal
Equipment Directive) and have a current BABT certificate or
equivalent for connection to the public telephone network.
2.8 All OPS equipment defined as Machinery will comply with the
Supply of Machinery (Safety) Regulations 1992, which implement
the Machine Directive 89/392/EEC as amended by 91/368/EEC.
2.9 All OPS equipment will comply with the Electrical Equipment
(Safety) Regulations 1994, which implement the Low Voltage
Directive 93/23/EEC as amended by 93/68/EEC.
2.10 All OPS equipment will meet the requirements of the Non-
automatic Weighing Instruments (EEC Requirements) Regulations
1992 Schedule 3 Applications.
2.11 All OPS visual display terminal equipment will comply with
the relevant requirements of either BS 7179:1990 or ISO
9241:1992 (applies to keyboards).
2.12 All Equipment which falls within the scope of The
Electromagnetic Compatibility (EMC) Regulations 1992, which
implement Council Directive 989/336/EEC (as amended by
92/31/EEC), will comply with these regulations.
2.13 All OPS Equipment will meet the minimum EMC requirements
of both residential and commercial installations, including
compliance with BS EN 50081 and BS EN 50082 with the following
amended test severity levels and with no degradation of
performance:
IEC 801 part 2 class 3, 6kV contact discharge
TEC 801 part 3 3V/m
TEC 801 part 4 +/- 1kV injected onto mains AC supply
IEC 801 part 5 +/- 2kV.
2.14 All OPS equipment covered by EN45501:1992 will comply with
clause A4.5 (voltage variations) and Annex B of that standard.
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2.15 All items of OPS equipment will have an Index of
Protection rating of IP3X as defined in BS EN 60529:1992.
3. The OPS equipment and its installation will not constrain
pocLh and its agents from meeting their legal safety
responsibilities as employers.
4. Pathway will prove compliance with legislation or mandatory
standards as and when necessary.
Pathway Comment
1. With respect to those requirements at paragraph 2 above,
which require adherence to “subsequent legislation and
standards”, we have slightly modified the wording to make it
clear that the requirement to modify any existing installed
equipment would apply only in circumstances that the subsequent
legislation demanded such action. We believe that this is the
intended meaning.
2. To support the commitments set out above the Contractor must
be empowered to make changes to the equipment and
specifications in line with changing legislation and standards.
Reference No 475
Pathway Response
1. Style Guide
Pathway will produce the Horizon OPS Style Guide which will set
out the general guidelines for the Human Computer interface,
including screen layouts, systems navigation routes and help
and manual entry facilities.
All counter applications developed for POCL by Pathway will
conform to the Horizon OPS Style Guide.
Any changes to the Horizon OPS Style Guide documentation will
be agreed with POCL.
2. Human Computer Interface
The HCI for the Pathway OPS is designed to be intuitive and
easy to use. The design principles and user interface
functionality are drawn from the successful operational
experience of An Post. Key facilities that underpin all
counter applications are :-
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An efficient and intuitive method of transaction selection
exploiting touch-screen and function-key driven techniques
A menu hierarchy based on “most used” transactions
Transaction selection which can be invoked by peripheral
events e.g. card swipe
A seamless link between transaction selection and counter
application
A common and consistent User Interface for transaction
selection and counter applications
These facilities will greatly assist in achieving the
ebjectives of minimising errors and optimising transaction
time.
Pathway Comment
none
Reference No 476
Pathway Response
L. Terminology
For control purposes Pathway believe, that the definition of
reference data should be refined to discriminate between
Business Reference Data which is essential to the POCL
businesses and Operational Reference Data which is controlled
by Pathway and is relevant to the management of the Contractors
Services.
2. Control of Releases
iy
be
Release Principles
POCL require that the Contractor shall undertake the delivery
of the POCL Services to meet demanding business requirements.
Failure to meet contracted performance targets will incur
performance penalties. In order to deliver POCL Services which
meet the contracted requirements and performance levels at an
economic price it is essential that the Contractor is empowered
to manage the all aspects of POCL Service delivery and this
must include the control of new releases. Pathway recognises
that POCL has a legitimate interest in the business functions
that are provided by the POCL Service and needs to be assured
that the quality of the delivered systems meets the contracted
requirements. The processes, tests and quality reviews which
are required will be open to POCL and Pathway will particularly
seek active participation in tests of business functionality
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and the Human Computer Interface. It is recommended that
Pathway takes complete responsibility for the management of
releases in line with the contractual commitments requested by
POCL
This section continues with further explanation of the above
principle as it applies to the headings provided in the
requirement.
2.2 Release Contents
Pathway recommends that the content of a release should require
the agreement of POCL with respect to the introduction of new
POCL Services or the deletion of existing POCL Services or
changes to existing POCL Services which affect the essential
business functions of POCL. All such changes to POCL Services
should be initiated through contract change control.
For the reasons which are set out above Pathway should retain
clear responsibility for all other changes to release contents.
Such changes may be justified for many reasons but including
for example: contract compliance, quality, technical strategy
and cost control.
- 2.3 Release Distribution Timing
Pathway believes that there is only one circumstance when POCL
should determine the timing of the distribution of new
releases. That is when a new Client is connected to the POCL
Service for the first time. In all other circumstances the
control of the distribution of releases should be at the
discretion of the Contractor.
2.4 Release Activation Timing
Pathway recommends that the timing of release activation should
require the agreement of POCL with respect to the introduction
cf new POCL Services or the deletion of existing POCL Services
or changes to existing POCL Services which affect the essential
business functions of POCL. This includes the release of the
Business Reference Data which is referred to in Section 1
above. All such changes to POCL Services should be initiated
through contract change control and it is anticipated that any
particular favourable or unfavourable times for the activation
of releases will be declared in the change request.
Pathway believes that in all other circumstances the
responsibility for the timing of the activation of new releases
should be at the discretion of the Contractor.
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3. Release Testing
Pathway will provide evidence that the each release has been
tested so that it is shown to meet the Service requirements and
service levels. POCL will be invited to participate in those
tests associated with proving business functionality and Human
Computer Interface aspects of new releases. Other evidence will
be provided in the form of written test reports and invitations
to attend quality review meetings. Evidence of testing for
major releases of new software and functionality will be
provided at the levels of:
Unit Tests
System Test
Representative combinations of hardware and software.
The release testing strategy above is too heavy for testing
minor releases of software or for reference data and
appropriate procedures will be defined for different classes of
release.
4. Preparation For Release
Pathway will complete the testing of major new releases in
three steps prior to full distribution of major new releases.
These are:
A Test conducted in a simulated post office and operated by
real and representative POCL users.
A test of implementation and live operation in a limited
number of post offices for a limited period before general
distribution.
A test of reversion to the previous release.
The release testing strategy above is too heavy for testing
minor releases of software or for reference data and
appropriate procedures will be defined by Pathway for different
classes of release.
5. No Disruption to Users and the Working Environment
Releases of software and and/or reference data will be
distributed across the network and therefore will require
minimal user involvement and no significant disruption tc users
or to the working environment.
6. No Corruption to POCL Data
The data within software and/or reference data is protected at
source by a CRC check Key which is applied by the Riposte
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system. Following distribution of the release, the CRC is
checked to ensure that no corruption of the data has taken
place. The release of software and/or reference data will not
cause any corruption to data held on behalf of POCL.
7. Record of Releases
A record of the release of software and reference data which
is in use at each post office will be maintained under
configuration control within an asset data base which is
maintained by Pathway.
Pathway Comment
In responding to requirement at paragraph 2, item {(b) we have
assumed that “the upgrade path for any release “ means new
releases beyond the next release. It is apparent that other
interpretations of the meaning are possible.
Reference No 477
Pathway Response
Pathway will support the management of the POCL Services using
an OPS asset register which will record all of the physical
system components. The OPS asset register will identify all of
the Equipment which is installed at each site. A list of the
assets at each site will be made available to pPOCL upon
request .
The OPS asset register will contain essential operational
information that will support the management and control of
both rollout and Operational Services. Including for example:
site address and contact information
site implementation status details
system configuration details
equipment types and serial numbers
software versions
applications versions.
The OPS asset register will be an integral part of a wider
Management Information System that supports help desk functions
and the management of rollout schedules and Operational
Services.
Pathway Comment
None
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Reference No 478
Pathway Reaponse
lL. The Pathway solution for TMS will link into each instance
of OPS that is to be used for production work using an ISDN
network.
2. TMS supports links into other computer systems through
client-specific TMS software Agents. These Agents will reside
on the TMS servers and will manage any client specific data
manipulation and communications links. Pathway will provide
those Agents required to support those host systems provided as
part of the overall Pathway solution.
The specification for additional Agents required to provide
links from TMS to other computer systems, including POCL’s own
systems and those of POCL’s clients, will be agreed jointly
between Pathway and POCL.
3. Data file collection and delivery
3.1 TMS supports the distribution and collection of electronic
data to and from the OPS. This is achieved by the automatic
replication of transactions from the OPS in a post office to a
TS server. Similarly data provided to TMS from a host system
is replicated to a set of OPS systems in post offices.
3.2 These processes may be initiated by :-
Operator action - This will comprise the normal operational
activities in managing the data transfer from Pathway host
systems to TMS, or will comprise the normal actions of the
counter clerk in carrying out transactions on OPS.
Once a datafile has been passed to TMS or a counter transaction
has been committed within OPS the collection/delivery of this
data is automatic.
Time - The time interval between data replication from OPS to
TMS may be set according to the urgency of the transaction.
Pathway’s solution will optimise any network connection made
from TMS to OPS in a post office by replicating any accumulated
transactions to TMS.
External message - The requirement for an attached computer
system to initiate a data file collection or delivery will be
met by the functionality specified within the relevant TMS
Agent.
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TMS initiated - The Pathway solution for TMS automatically
provides data collection / delivery to and from OPS.
3.3 The Pathway solution for TMS automatically replicates data
between TMS and OPS, and between individual PC’s within a post
office OPS. Following a failure of either a TMS node or an OPS
node, TMS will automatically synchronise the restored node to
an up-to date state. This will include any data file or
transaction collection/deliveries that are outstanding.
The recovery facilities available for file transfer between TMS
and an attached computer systems will be dependent on the
precise method of connection and the protocols and file
transfer standards that are used. These will be jointly agreed
between Pathway and POCL as part of the specification for
connecting an attached computer system.
3.4 A TMS node contains a configuration file which
specifically defines the OPS nodes with which it can exchange
data. File transfers to/from attached computer systems will be
controlled by Pathway operational procedures and by the
facilities provided in the jointly specified file transfer
method.
4, Messaging capability
4.1 Messaging Switching
TMS will generally provide the facility to pass messages from
one attached computer system to another. Such message transfer
will be predefined in that message format, source and
destination, verification and service levels will have been
previously agreed between Pathway and other appropriate
organisations.
Pathway anticipate that this requirement is principally aimed
at enabling communication between OPS and other attached Client
host systems in support of future counter applications (e.g.
links between post offices and DNS to support a savings
product).
Subject to the comments below, Pathway is able to develop a
facility which enables messages created in one post office to
be sent via TMS to another post office. A counter application
will enable authorised Users to create messages and address
them to another post office using the FAD code / name. A TMS
agent will periodically extract these messages and forward them
to their destination using a centrally managed directory.
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4,2 Message non-delivery
The TMS message Agent would monitor all message-read messages
that are created by post offices and at periodic intervals
{typically at end of day) reconcile messages sent with messages
read. Any non-read messages would result in an advisory
message being sent to the originator.
4.3 File processing
Pathway’s solution for TMS separates the generic functions of
secure and highly resilient transaction management from the
client specific requirements for data file processing.
The former are provided as generic facilities for all
transactions. The latter are provided in the form of TMS
software Agents which are designed to perform specific
functions in support of the links and data processing required
for individual host systems.
To facilitate the development of these Agents Pathway will
supply a set of generic Agents which will form the basis for
different forms of host system interaction.
These will include :-
File Distribution - the acquisition of data from client systems
and the creation of files for distribution
Client Processing - the collection and formatting of
transactions for host systems and the transfer of data to/from
host systems
On-Line - enabling an on-line connection to be made from OPS
via TMS to a host system
The generic facilities provided by the Pathway Agents will be
customised for each specific host system link and will provide
the following facilities :-
-~ validation of data files
- consolidation of many data files into one data file
- generating many data files from one data file
~ reformatting the contents of a data file
- generating control totals through access to the contents of
data files
- reconciliation of control totals
~ produce reports summarising financial transactions
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5. All events that occur either in TMS or in OPS are written
to a journal. These journal messages include all the data
required to uniquely identify the user, the location, the
transaction and the date/time of the transaction. Data, once
written to the journal, can never be altered. Information in
the journal is available for analysis as required.
6. The facilities that ensure data transfer in TMS is secure,
complete, accurate and robust are described in Pathway’s
response to requirement 467.
Pathway Comment
Pathway believes that the post office-to-post office messaging
capability (paragraph 5 above) expressed in this requirement is
complex having many characteristics in common with a full E-
mail service, including for example the need for directory
services. The requirement could incur significant costs when
applied to 20,000 offices. We believe that the Message
Broadcast facility which is described at requirement 471 may
meet many of the POCL needs. Pathway would like further
discussion with the POCL regarding the business needs. At
present Pathway does not believe the facility is cost
effective.
Reference No 479
Pathway Reaponse
1. Connection of Computer Systems to TMS
Pathway will not connect any computer system to TMS without the
express authority of POCL.
2. Authorised Connections
2.1 TMS connections to OPS
The Pathway solution for TMS is based on a network of servers
which connect to the Pathway OPS equipment in each post office
using ISDN or frame relay. Configuration files are initially
established on each TMS server which restrict its connection to
a fixed set of other computer systems. These will be the
other TMS servers to which data is replicated and a defined
set of post office gateway PC’s. These form the servers
workgroup. Data replication and message transfer will only
eccur within this workgroup.
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The TMS server configuration files may only be accessed by
authorised personnel within Pathway.
Data encryption mechanisms are available and will be used
selectively to protect the values of certain data items.
Reference is also made to Pathway’s response to Risk 65 and
supplementary questions (PWAY065 to PWAYO65c inclusive) which
concern security of data from OPS to TMS, and the Security
Functional Specification.
2.2 TMS connections to Host Systems
Systems which are provided as part of the overall Pathway
solution including for example MIS and System Management will
be connected to the TMS using network links. Pathway will
establish these systems in secure areas and no unauthorised
hosts system will be connected to these networks.
The physical network addresses of these host systems will be
contained in the configuration files of the TMS servers to
prevent unauthorised access. It is Pathway’s intention to
exploit Closed User Groups when these become available from the
network supplier.
3. Identity Authentication
The authentication of computer systems connecting to TMS is
dependant on the protocol used to support the connection to
each Client system and the security facilities that it
supports.
The Pathway solution for linking TMS to OPS uses ISDN. The TMS
and OPS systems will use Call Line Identification to provide
assurance that the calling system is from a valid number.
Pathway will be pleased to work with POCL to design solutions
for Identity Authentication as new Client systems require
connection to TMS.
4. Reports
Pathway will provide reports to POCL of any rejected attempts
of other computer systems to link to TMS on request.
Pathway Comment
Nil
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Reference No 480
Pathway Response
The TMS is logically discrete from other POCL Services such
that, in extremis, the service could be separately procured.
Pathway Comment
None
Reference No 481
Pathway Response
Pathway will provide a set of PPDs that define the OPS
operating procedures for use by staff at post offices. The PPDs
will include processes for transactions, accounting, balancing,
stock taking and action to be taken in the event of an
emergency such as a system failure.
Pathway will cooperate with POCL to allow POCL to include
instructions from the PPDs in the POCL operations manuals and
other operational instructions for Users.
Pathway Comment
None
Reference No 482
Pathway Response
Pathway will agree the PPD format as part of the PPD production
process.
Pathway Comment
1. Pathway urgently requests a copy of the POCL identity and
communications standards documents be provided well before ITT
so that compliance can be assured and correctly priced within
the Tender.
2. Pathway is in discussion with POCL to determine the
appropriate Identity standards for the Pathway services. We
believe that this is important with respect to the Services
provided directly to POCL’s User community.
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Reference No 484
Pathway Response
None.
Pathway Comment
None.
Reference No 485
Pathway Response
The PPDs will be updated when necessary to reflect the new
releases of the software so that the information is always
current.
Pathway Comment
None
Reference No 486
Pathway Response
None.
Reference No 487
Pathway Response
Pathway confirms that it will carry out a survey of outlets to
ascertain what modifications are needed to install the POCL
Service Infrastructure.
Pathway Comment
Nil
Reference No 488
Pathway Response
Pathway confirms that the installation and acceptance of the
office platform at outlets will be undertaken in one day.
Pathway Comment
None.
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Reference No 489
Pathway Response
Pathway confirms that it will disconnect and remove to an
agreed location existing automated equipment as specified in
the CCD entitled “Installation Strategy”. This service will be
provided at no additional charge to POCL.
Reference No 490
Pathway Response
None.
Pathway Comment
None.
Reference No 491
Pathway Response
Pathway confirms that it will carry out internal office
modification work at all outlets necessary to enable the
installation of the office platform.
The work that will be undertaken at each outlet will be
determined during the survey at each outlet and will include as
necessary the: ~
installation of electrical wiring back to the outlets power
distribution box
installation of local area network cables and connections
installation of wide area network cables and connections
any carpentry required at counter positions required to
position and connect the OPS equipment.
Pathway Comment
None
Reference No 492
Pathway Response
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Pathway confirms that it will conform to all legislation while
carrying out modification work to outlets.
Pathway Comment
None
Reference No 493
Pathway Response
Subject to the limitations defined in Annex 5 of Schedule A1l2,
Pathway will provide these POCL Services in accordance with
Operational Business Change.
Pathway Comment
None.
Reference No 494
Pathway Response
Subject to the limitations defined in Annex 5 of Schedule Alz2,
Pathway will provide these POCL Services in accordance with
Operational Business Change.
Pathway Comment
It should be recognised that the price of the service charge
will depend upon the response time required as well as the
number of change requests.
Reference No 495
Pathway Response
Pathway confirm that the equipment will be provided in
accordance with the limits set out in Annex 5 to Schedule Al2.
Deployment of such equipment will be as defined by POCL.
Pathway Comment
Reference No 496
Pathway Response
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Pathway believes that it is supplying an OPS POCL Service to
POCL and not just equipment. Pathway will supply the equipment
at all post offices and other outlets designated by POCL as a
part of an OPS POCL Service.
Pathway has proposed to supply equipment for training services
in the response to catalogue requirement 463.
Pathway Comment
None.
Reference No 497
Pathway Response
Pathway confirms that it will install the office platform
equipment in post office outlets.
Pathway Comment
None
Reference No 498
Pathway Response
Pathway confirms that the existing systems APT, ECCO+, ALPS and
the agreed manual processes will be migrated from current POCL
platforms. Pathway will work closely with POCL personnel to
plan how best to achieve effective migration. The plans will
aim to minimise the work required by post office staff and any
necessary discontinuity of the service to customers or clients.
In office data migration shall be carried out in accordance
with the Migration Specification.
Pathway Comment
None
Reference No 499
Pathway Response
Pathway confirms that installation will not take place until
the POCL Service Infrastructure and associated support services
are in place.
Pathway Comment
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None
Reference No 500
Pathway Response
Pathway proposes to obtain the agreement of the local
postmaster at each outlet and also the Landlord of the premises
at each outlet. If agreement is unreasonably withheld then the
matter will be referred to the Horizon Implementation Manager
for resolution.
Pathway Comment
1. It has been assumed that the modifications referred to
here are to the post office outlets.
Reference No 501
Pathway Response
Pathway will ensure that there is a process in place to ensure
that all outlets and regional liaison points are aware of and
agree the times and dates of all visits to post offices and
other outlets. Any disagreements will be referred to the
Horizon Implementation Manager for resolution.
Pathway Comment
None.
Reference No 502
Pathway Response
Pathway confirms that it will be careful to minimise any impact
upon the post office and retail operations at outlets while
carrying out site survey activities. However because the work
is required to be undertaken within normal working hours and
because many offices are small and congested it would be
unprofessional for a Contractor to offer absolutely no
degradation of service during a survey. A low level of service
degradation must be anticipated on some occasions and
expectations set accordingly. Pathway is confident that it can
obtain the co-operation of local post masters through its
awareness campaign without setting misleading expectations.
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In accordance with the Installation Service Level Agreement,
(Req 945) Pathway agree to achieve an 85% User Satisfaction
level based on an agreed approach and format, to include public
reaction where appropriate.
Pathway Comment
None.
Reference No 503
Pathway Response
Pathway confirms that it will be careful to minimise any impact
upon the post office and retail operations at outlets while
carrying out site modification activities. However because the
work is required to be undertaken within normal working hours,
and because many offices are small and congested it would be
unprofessional for a Contractor guarantee no degradation of
service during a survey, particularly in a single counter
position office. A low level of service degradation must be
anticipated on some occasions and expectations should be set
accordingly. Pathway is confident that it can obtain the co-
operation of local post masters through its awareness campaign
without setting misleading expectations.
In accordance with the Installation Service Level Agreement,
(Req 945) Pathway agree to achieve an 85% User Satisfaction
level based on an agreed approach and format, to include public
reaction where appropriate. .
Pathway Comment -
None
Reference No 504
Pathway Response
All existing equipment which matches the specification of the
proposed OPS equipment, or which can economically be made to
match the specification of the proposed OPS equipment will be
utilised by Pathway.
Pathway Comment
None
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Reference No 507
Pathway Response
Pathway will meet this requirement in accordance with the Ccp
entitled “Implementation Strategy”.
Pathway Comment
None.
Reference No 508
Pathway Response
Pathway notes POCL’s intentions with respect to the suspension
ef rollout.
Pathway Comment
None
Reference No 509
Pathway Response
Pathway will meet this requirement in accordance with the CCD
entitled “Horizon Counter Infrastructure Roll Out Survey
Requirements Specification (IM/REQ/005)”. It is anticipated
that the Horizon Implementation Manager would be the decision
maker in exceptional cases where agreement could not be
obtained from the local outlet manager.
Pathway Comment }
None
Reference No 510
Pathway Response
None.
Pathway Comment
None
Reference No 511
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Pathway Response
Pathway confirms that it will be careful to minimise any impact
upon the post office and retail operations at outlets while
carrying out OPS equipment installation activities. However
because the work is required to be undertaken within normal
working hours and because many offices are small and congeated
it would be unprofessional for a Contracter to offer absolutely
no degradation of service during installation. A low level of
service degradation must be anticipated on some occasions and
expectations should be set accordingly. Pathway is confident
that it can obtain the co-operation of local post masters
through its awareness campaign without setting misleading
expectations.
In accordance with the Installation Service Level Agreement,
(Reg 945) Pathway agree to achieve an 65% User Satisfaction
level based on an agreed approach and format, to include public
reaction where appropriate.
Pathway Comment
None.
Reference No 512
Pathway Response
Pathway confirms that rollout will be undertaken as quickly as
possible subject to the over-riding requirement to:
{i} maintain service and client continuity
(ii) maintain the quality of service delivery to clients and
customers
(iia) appropriate support systems including training -
being in place
(iv) avoidance of damage to POCL’s brand, reputation and
integrity
{v) demonstrate the robustness of the approach to rollout in
the context of uncertainty and risks
(vi) treat POCL's staff and agents professionally and with
respect.
Pathway Comment
None.
Reference No 513
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Pathway Response
Pathway would ordinarily expect to agree any future upgrades of
the OPS equipment with POCL. However, it should be recognised
that the Contractor is required to deliver service outputs
against demanding service descriptions, service levels and
liquidated damages. It is possible that at some future time
that the substitution of equipment is required either to meet
the contracted requirements or to achieve cost reductions. It
is not consistent with the proposed form of contract that POCL
should retain a right of veto over the substitution of
equipment by the Contractor and Pathway requests that such
agreement shall not unreasonably be withheld.
Pathway Comment
Pathway’s response is consistent with the assumption that POCL
require a complete managed service contract which is under
written by remedies. If this remains the POCL objective then it
is critical that the Contractor be empowered to manage the
contract so as to deliver the contracted service outputs. If on
the other hand POCL require to participate in the day to day
operational management of the POCL Services then other
contractual arrangements should be considered and discussed
between Pathway and POCL.
Reference No 514
Pathway Response
Pathway proposes that acceptance criteria for the OPS equipment
at post offices shall be defined and agreed. Pathway will
install the equipment in line with the agreed plan, schedule
and acceptance criteria. If subsequently POCL requires to
modify these, then such modifications shall be agreed under the
Change Control Procedure.
Pathway Comment
None.
Reference No 516
Pathway Response
Pathway proposes that it shall produce a rollout plan and
schedule for implementation at post office outlets which will
be agreed by POCL. If subsequently, POCL wishes to change this
plan, then agreement will not unreasonably be withheld by
Pathway. If such changes incur additional costs or delay the
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achievement of revenue then Pathway proposes to make a charge
to POCL to compensate for the loss.
Pathway Comment
Nil
Reference No 517
Pathway Reaponse
The modifications will be completed in one visit to the Outlet.
BT ISDN lines installation may be carried out separately and
with prior notification to the Horizon Implementation Manager
and / or Outlet Manager (approval not required for ISDN
installation provided that it is carried out during the normal
working hours of the relevant office).
It is recognised that modification work in larger offices, i.e.
those with more than six (6) counter positions may need to span
one day. In these, or other exceptional circumstances,
arrangements to complete such work over more than one day will
be subject to mutual agreement between the Contractor, Horizon
Implementation Managers and / or Outlet Managers, but such
agreement shall not be unreasonably withheld.
Pathway Comment
None
Reference No 518
Pathway Response
Pathway confirms that post office modifications surveys will be
completed in one visit to the outlet.
Pathway Comment
None
Reference No 519
Pathway Response
During Operational Services, Pathway understands that changes
will be required by POCL to the configuration of post offices.
Changes will include the provision and installation of
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equipment both to completely new outlets and to existing
outlets at counter positions that were previously unequipped.
Pathway will undertake these changes in accordance with
Operational Business Change.
Pathway Comment
None.
Reference No 520
Pathway Response
Pathway confirms that all agreed support services will be
available from day 1 in line with agreed service levels.
Pathway Comment
None
Reference No 521
Pathway Response
1. Pathway intends that the Horizon System Helpdesk will be
provided with a single telephone number.
2. The telephone number will provide multiple line access to
its help desk in accordance with observed and predicted demand
for service.
3. The Horizon System Helpdesk will be served by dedicated
Automatic Call Direction (ACD) equipment which will ensure that.
calls are directed to an available help desk operator and
answered in accordance within agreed service performance times.
Pathway Comment
Pathway recommends the lower cost option cf providing one
telephone number for the help desk, served by ACD equipment
controlling multiple Lines.
Reference No 522
Pathway Response
Pathway will employ an ‘0345’ local call for telephone access
to the Horizon System Helpdesk.
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Pathway Comment
None.
Reference No 523
Pathway Response
1 Pathway'’s support services will provide all appropriate
support necessary to ensure the continuous and efficient
operation of the POCL Infrastructure Service at all times from
day i.
2 Pathway will ensure that its services are capable of
providing agreed levels of support to all users that may
contractually have access to its systems.
3 The support services will cover all aspects of Pathway’s
solution from end to end, including the operational interfaces
from Pathway’s systems to those of POCL and their clients.
4 Pathway will provide agreed levels of support to all other
help desk operators contractually nominated by POCL that may
require assistance to resolve problems associated with
Pathway’s operational services.
Pathway Comment
1 POCL to confirm the identity and contractual requirements
for the operation of systems interfaces between Pathway and
POCL and their clients.
2 POCL to confirm the identity and contractual requirements
for the Horizon System Helpdesk to provide service support to
other help desk facilities.
Reference No 524
Pathway Response
1. The Horizon System Helpdesk service will deal with all
calls relating to the operation, configuration and end-user
support of counter terminal equipment, their operating systems
software, application software and processes.
2. Requests for support will be categorised according to type
such as hardware, software, network, advice & guidance,
configuration, etc.
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3. The Horizon System Helpdesk service will provide problem
and fault diagnosis and will control any necessary hardware or
software maintenance activities.
4. Each call will be logged and progressed to its successful
resolution within agreed service levels.
Pathway Comment
1. A complete list of ‘call types’ will be agreed with PocL
so that accurate and meaningful descriptions of all calls may
be made.
2. Requests for support services and their resolution will be
analysed regularly so that service problems may be quickly
identified and actions taken to eliminate them. The analysis
will also readily identify the need for any end-user skills or
awareness training.
Reference No 525
Pathway Response
1. From day 1, throughout the roll-out period and beyond, the
Horizon System Helpdesk service will provide access to
additional agreed services as necessary.
2. These services will include access to training facilities,
training materials and operational support documentation.
3. If POCL contracts to procure consumables from Pathway,
then Pathway will provide supplies of consumables such as
special stationery and post office printer supplies which may
be ordered through the Horizon System Helpdesk.
4. If POCL contracts to procure consumables from Pathway,
then small, emergency supplies of consumables will be provided
by ICL Pathway optionally at extra cost. These may be ordered
through the Horizon System Helpdesk for delivery by courier
within 24 hours.
Pathway Comment
1. Pathway proposes that post masters should be responsible
for maintaining an adequate stock of consumable materials.
2. Pathway will analyse post office transactions in order to
develop algorithms, for use by post masters, which can help
them to predict future usage of consumable stock.
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Reference No 526
Pathway Response
a. Pathway will ensure that all reported incidents are
resolved within agreed service performance levels and in
conformance with agreed operational procedures.
2. A comprehensive analysis of all incidents, their cause and
resolution and the service levels achieved will be produced at
agreed intervals for review jointly by POCL‘’s and Pathway’s
service managers.
Pathway Comment
None
Reference No 527
Pathway Response
1. Pathway will provide a help desk service that encompasses
all of the support requirements of POCL.
2. The Horizon System Helpdesk will be staffed by fully
trained, qualified and experienced personnel operating
according to agreed procedures and within agreed service
performance levels.
3. All of the Horizon System Helpdesk services will be -
provided for the exclusive use of POCL.
Pathway Comment
None
Reference No 528
Pathway Response
In the circumstances that a caller makes an inappropriate call
to the Horizon System Helpdesk the call will be answered in
accordance with the Service Levels set out in Schedule G10 and
the caller will be informed and re-directed to the correct
destination.
Pathway Comment
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None
Reference No 529
Pathway Response
The Horizon System Helpdesk service will comply with agreed
standards of procedure and behaviour.
Pathway Comment
POCL are requested to document their contractual requirements
for help service behavioural standards.
Reference No 530
Pathway Response
Pathway has proposed to implement EPOS as previously requested
by the Authorities. However if POCL need to defer the use of
EPOS then Pathway will implement the OPS software so that this
can be achieved.
POCL will have the ability to suppress EPOSS functionality such
that it cannot inadvertently be used/misused to the detriment
of customer service and POCL accounting needs. POCL can
determine the products and functionality accessible to the
counter clerk by POCL Reference Data and by menu hierarchy
changes.
Pathway Comment
It is not possible to underwrite the operational implications -
of this approach without discussion and clarification. For
example, stock accounting and cash accounting are understood to
be of operational importance to the post office and are
dependant upon the EPOS to collect data from the individual
transactions. In deferring the EPOS do the Authorities intend
to defer the availability of these operational features?
Discussions with POCL are needed to understand the business
requirement more clearly and to clarify the solution.
Reference No 531
Pathway Response
ICL Pathway’s solution for training is defined in the Training
and User Awareness Baseline Document, reference BP/TRN/001.
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Users who fail a competency test during Live Trial and national
Rollout will attend a remedial training event. This is defined
in Ich Pathway'’s Remedial Training document reference
SU/TRN/006. This applies to Outlets up to site acceptance
i.e. up to 2 days from installation. Remedial training after
installation and Outlet go live will be the responsibility of
POCL.
All POCL target audiences, job roles and user groups have been
identified by POCL and have been defined in ICL Pathway’s
Training Needs Analysis document reference SU/TRN/0001.
Pathway Comment
None
Reference No 532
Pathway Response
ICL Pathway has proposed to train POCL's own trainers in the
use of the OPS service for new and existing staff and for minor
new Releases. ICL Pathway will undertake additional training
for major new Releases which will be subject to the Change
Control Procedure.
Pathway Comment
None
Reference No 533
Pathway Response
Pathway confirms that the solution for training includes the
capability to train users on the live system using a training
mode cf operation, which can be invoked at any time, and is a
permanent feature of the system. Training mode operation is
protected by user names and passwords which are separate from
those of live operation. While using the training mode both the
users and system are prevented from interfering with live data
transfer and data integrity.
Pathway Comment
None
Reference No 534
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Pathway Response
Pathway confirms that its solution for training takes account
of automated products and experience of existing system
platforms. The Training Needs Analysis document, ref
SU/TRN/0001, takes account of the different kinds of user and
their different propensities to learn new skills. The proposal
includes ongoing training requirements for POCL to fulfil using
their own trainers, and support for individuals who change
their roles up to two weeks before attending an ICL Pathway
training course. This is detailed in the Training and User
Awareness Baseline Document, ref BP/TRN/001.
Pathway Comment
None
Reference No 536
Pathway Response
1. Pathway confirms that peripheral input devices supplied as
part of the OPS will be reliable, robust and easy to use.
2. Pathway confirms that peripheral and input devices
supplied as part of the OPS will be capable of detecting
contention, premature removal and swapping of tokens as
appropriate.
Pathway Comment
None
Reference No 537
Pathway Response
The Pathway strategy for System Management will comprises a set
of services as follows:
Software repository - the storage and maintenance of records
identifying what software versions are stored on what machines.
Software distribution - the scheduling of software upgrades to
a defined set of machines.
Event management - the notification of significant events to a
central source.
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Asset management - the storage and maintenance of information
on the existence / type of machines and associated peripherals.
Configuration management - the non-static configuration
parameters that drive the applications and operating system.
This includes Resource Monitoring and Network Management
In the delivery of these System Management activities as
applied to services provided to POCL, the operational
procedures developed and the technology applied will be
exploited to achieve the required quality attributes including
consistency, accuracy, reliability, speed and agility in
responding to failures.
For example some of these services provide dynamic information
on the state of operating entities - such as applications and
operating systems. Event management is such a service.
Coherence and consistency within a homogenous set of
applications and operating system is achieved through standard
naming conventions for the identification of applications and
standard methods of invoking the event are obeyed. This will
allow for example selected events to automatically raise help
calls pro-actively thus initiating a corrective action
response,
Furthermore a consistent approach to event management populates
the Help knowledge database with reliable information such that
further similar incidents can be recognised and resolved.
By contrast other services manipulate by comparison various
static data such as the existence of machines and software
packages stored on these machine against the current
configuration parameters associated with these packages. Again
a common naming standard for this persistent data will be
adopted to achieve consistency and coherency.
As such we have opportunities to engineer coherence and
consistency at a meta level above, for example, specific types
of operating systems. The delivery of this information will be
in databases at the central systems. These will contain a
consolidated central view of the overall system and from this
logical view we can derive {( and automatically deliver) the
parameters required to drive the applications and sub-systems
that work together to deliver the required functionality.
Pathway can thus ensure that if a common configuration is
required for all instances of an application then that
configuration is uniquely defined in the central database or
where the configuration of different applications share common
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information that common information is again derived from a
common source.
Pathway Comment
None
Reference No 538
Pathway Response
1. The overall Pathway solution comprises a set of central
host systems together with a number of TMS servers. These
servers will be installed in two data centres, each having the
capability to provide all the services. The post office
network comprises a PC configuration at every counter position.
When the central systems are installed rigorous operational
procedures will ensure that all system data, including date and
time, are consistent. The systems management service will
have the facility to interrogate all servers to check for a
consistent date/time. This will typically be done whenever
there is a need to replace equipment, whenever a general clock
change occurs, and as part of regular system housekeeping.
The counter PC’s will have their date/time set prior to
installation in a post office, or prior to any replacement.
Upon installation a link will be established to the central TMS
and System Management Service to download configuration details
and other data.
Facilities within TMS will automatically synchronise the time -
between TMS servers and also with the counter PC’s.
2. Time changes due to British Summer Time
The TMS and OPS systems will be based on Windows-NT. This
operating system has automatic algorithms for handling clock
changes due to BST. No user action is required.
3. Local Time and GMT
Pathway understand that the requirement for using local time
may arise with certain AP transactions. In this case any
adjustments for particular AP transactions would be handled
within the AP application. Pathway will require a description
of which transactions are affected and the nature of the
adjustment.
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Pathway Comment
None
Reference No 539
Pathway Response
1. Maintenance of reference data
Pathway will support and maintain both system and application
related reference data for an outlet. System related data
comprises information that relates to the state of the outlet
and its associated software base (e.g. event management
details, software version numbers).
Application related data comprises information that relates to
particular transactions
(e.g. price of a stamp, check digit algorithm for an AP
client).
1.1 Maintenance of System related reference data
The Pathway Systems Management Service will use Tivoli TME to
provide the functions required to store and maintain reference
data and to manage its distribution and activation. This will
comprise a single Asset and Configuration database which
provides a central logical view of which systems are associated
with which versions of various files, including reference data.
Pathway will use rigorous change management processes to
control the rate and nature of changes to the software
inventory and these will involve a co-ordinated approach with
the originator of any external data including POCL and external ~
clients.
The Tivoli supports a central repository, which will contain
various objects including reference data, together with a
supporting distribution infrastructure.
The distribution infrastructure comprises the components that
move those files that constitute a single software package and
also the instructions that prescribe how the package is to be
installed.
The software package is stored on a number of TME Management
servers at each Pathway central site. A Tivoli Software
Distribution job will invoke the distribution of data, such as
new reference data to those sites that require it, and Tivoli
Client Software residing on the client system will interpret
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the instructions from the Management server and install the
software as required.
1.2 Maintenance of Application related reference data
Reference data supplied to Pathway by POCL and/or POCL clients
will be stored and maintained in Pathway's Central Reference
Data Base system. Agreement will be required on the process
and form by which reference data is supplied to Pathway and the
supporting control and validation processes.
In addition each item of reference data will need to be
associated with a class of post offices, which will have
previously been defined, in order to support the distribution
process,
This information will then be processed, as determined by the
effective date of the new or changed reference data, and
introduced to TMS. TMS will then distribute the data where it
will be activated and held within the outlet as a permanent
object.
2. Use of external reference data
Pathway recognise that some reference data will be provided
from external systems (e.g. TIP and client systems). Pathway
will agree the precise form and process by which this
information is made available to Pathway’s software
distribution services with the relevant owner. Operational and
technical procedures will be agreed which will ensure the
integrity of data transfer, data verification and activation
procedures.
3. Implementation timescales
Pathway recognise that some reference data items may be subject
to a fast implementation (e.g. as required by a Budget change).
Pathway do not anticipate any significant difficulties with
distributing and activating these changes, as the normal
process would achieve this overnight. Agreement will be needed
on the method of providing such changes to Pathway.
Pathway Comment
An indication of the different forms of reference data and
their owners would assist in the development of the operational
procedures.
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Reference No 540
Pathway Response
1. Environmental Considerations
An important factor in Pathway’s selection of equipment
suppliers for OPS has been their approach to environmental
considerations particularly in the materials policy, production
processes and recycling.
Key considerations are that the products should not contain
materials that endanger the user when used in the post office
environment, and that the manufacturing process avoids the use
of toxic emissions and has the capability to recycle as much of
the product materials as possible.
One of the key components in the CPS is the PC and Pathway
have selected ICL as the supplier. IcL is committed to
protecting every part of the environment by compliance with
existing environmental legislation and anticipating future
moves such as the TCO 6H scheme. Some examples include :-
ICL stopped using PVC many years ago in favour of ABS for the
plastic casings. This avoids the problem of hydrochloric acid
formation when the PVC plastic is burnt. Other components such
as the keyboard also use ABS for the plastic casing and all
components are selected for their ability to be recycled.
Brominated flame retardants have not been used since 1989.
Only capacitors that do not contain PCB and batteries that
are cadmium-free are used.
The majority of the components of the PC can be recycled and
used for making other goods. All plastic parts are labelled
with the type material they are composed of.
Where ICL has responsibility for equipment disposal, the
following process is followed. All parts suitable for spare
parts are removed and reprocessed. The scrap is roughly sorted
into metals, precious metals , glass and plastics. Batteries
and some other items are sent for special treatment. All
metals are processed by specialist firms. ABS plastics are
stored at present awaiting the development of suitable re-
cycling process. All cathode ray tubes go to an aluminium
factory for crushing and, after washing, the crushed glass is
dumped.
The production process for the electronic circuit boards
requires that the PCB‘s are washed to remove metal chips and
chemical residues. This process does not use either CFC
compounds or Preon based detergents due to the environmental
harm these chemicals can cause. All PCBs are washed in mild
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detergent prior to component soldering. The precious metals
are separated from the soldering machine tin ash for reuse.
The equipment is packed in cardboard boxes with styrox
packaging which can be burnt without harmful effects. A self
closing box eliminates the need for glue, tape or staples.
2. Duty of care
Pathway will comply with all relevant environmental legislation
and will generally exercise a responsibility for “Duty of
Care”.
Pathway Comment
None
Reference No 541
Pathway Response
1. TMS scalability
Pathway have submitted a paper to POCL which addresses Risk 9 -
the scalability of the central TMS facilities. Ref: Risk
pwyoooo0s - Part 3, version 2 dated 158/12/95.
The analysis in this paper shows that there are no constraints
on the scaling of the central TMS service or of the underlying
network infrastructure to meet the workload volumes projected.
The modular nature of TMS and the network enables additional
system resources to added to accommodate any workload growth.
Monitoring of traffic patterns and actual system resource usage
will be undertaken during operational trials and early system
usage. This will be used to ensure the optimum deployment of
the TMS components.
2. Future transaction requirements
Pathway recognise and support POCL’s strategy to introduce new
business transactions and understand that these may require
access to central host systems for authorisation or data
access/update. An example of this type of transaction is in
operation now in An Post {an on-line Savings system) and
Pathway would implement such links using a TMS agent to provide
the specific Client data exchanges.
Pathway Comment
None
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Reference No 542
Pathway Response
Pathway will provide support for all software running on
Pathway computer systems whilst they are supporting services
provided to POCL.
These support services will be managed by Pathway and will be
sub-contracted to a variety of Pathway service providers.
Support to Pathway for core operating systems (e.g. Windows-NT)
will be provided by ICL Sorbus and other specialists within the
ICL group. Recourse to Microsoft where required will use
current well established support routes.
Support for middleware (e.g. TMS and TMS Agents) will be
provided by Pathway’s own support and development resources.
Support for applications software will be provided to Pathway
by the software development sub-contractor. This will include
Oracle and Pathway’s own support and development resources.
Pathway Comment
None.
Reference No 543
Pathway Response
Pathway confirms that the APS will support the following range
of tokens:
Landis & Gyr PISCES smart Card
GEC Meters WATERCARD smart card
Schlumberger Smart Card for the water industry
Schlumberger Smart Card for the electrical industry
Magnetic stripe card
British Gas Quantum smart card
Bar coded documents.
YAU downey
It is pointed out that some of the tokens listed above operate
to proprietary standards and specifications also the device
driver software is not currently available to Contractors.
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Support for these tokens is dependant upon receiving the
specifications and the availability and licensing of the
necessary device driver software.
Pathway Comment
None.
Reference No 544
Pathway Response
1. The Pathway APS will provide support for all the current
ions required by POCL’s AP Clients within the counter
application and in the TMS Agent for AP data extraction.
2. The Pathway APS can support the addition, modification or
removal of Clients or Client Service Types. A generic In-Pay
data capture screen is provided which supports the capture of
the specific Client transaction details. Transactions that
support new Client Service Types (i.e. a new OCR bill type, a
new barcoded bill type) can be quickly introduced through a
simple parameterised process which will define details such as
format, validation etc.
Entirely new AP Client transactions (new token type or
additional data items to be processed) may require the
development of additional data capture screens.
3. Pathway will provide reasonable assistance to POCL in the
implementation of interfaces to additional third party
applications or tokens.
4. Pathway will provide reasonable technical assistance in
support of POCL’s relationship with Clients and potential
Clients.
5. The Pathway APS provides a generic method of defining
peripheral types and transaction types. The counter
application is developed using Microsoft Visual Basic. These
techniques enable additional Client Service Types to be added
in a cost effective and efficient manner.
Pathway Comment
None
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Reference No 545
Pathway Response
1. Pathway confirms that it will provide technical and
overview documentation describing the APS. The documentation
will be of sufficient detail so as to allow POCL to market the
POCL Service to Clients and potential Clients and to consider
the suitability of additional services.
Pathway together with POCL will agree the content of the
decumentation prior to its production and also prior to
introducing any subsequent changes. Pathway will require the
active participation of POCL to support the production of the
documentation.
2. Pathway confirms that it will produce an Automated
Payments Client specification which specifies the details of
each AP Client and Client Service type of the APS, including
the Client interface specification, the presentation of
information on the OPS, the data involved and any necessary
timings.
Client identity and overview
identifies the client for whom a specific instance of the APS
is to be provided and provides an overview of the business
objectives,
The respective responsibilities of Pathway, POCL and the
Client organisation.
Tokens and Methods of payment
A description of the token{s) that the client requires its
customers to use and the method{s) of payment that are
acceptable to the client.
Technical Specification
Identification of the service and system boundary between the
Pathway service and system and the other services and systems.
Specification of telecommunications links and associated
protocols
Transaction data
Contents
Validation
Customisation
Batching
Transfer
Other Data
Contents
Validation
Availability
Operations
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Operational hours
Operational procedures
Fault diagnosis procedures
Operational review procedures
Service Levels
Pathway will require the active participation of POCL and the
Client organisations to support the production of the
documentation.
Pathway Comment
None.
Reference No 546
Pathway Response
1. Pathway confirms that it will deliver the APS using the
POCL Strategic Infrastructure, that is the OPS and the TMS.
2. Pathway confirms that the APS shall be available at all
counter positions where the OPS is installed to meet or exceed
the requirement as specified by POCL in the ITT. Subsequent
changes to the initial requirement will require commercial
negotiation and change control. Pathway’s intention will be to
install equipment at the outset which will have as long a
useful life as possible to minimise obsolescence costs and
disruption in post offices.
3. Pathway shall ensure that the availability of each Client
Service Type at each Outlet is individually controllable via
Reference Data records.
Pathway Comment
1. In order to Price the APS service transactions within the
Tender, the Contractor will need to assess future transaction
types and the respective volumes also the number of counter
positions.
2. Pathway may propose limits on the volume of individual APS
components to reflect the defined or assumed business need.
Reference No 547
Pathway Response
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1. Pathway confirms that data will be captured correctly,
accurately and securely.
2. Pathway confirms that the APS will validate data read from
Tokens or entered by the User in accordance with a set of rules
identified in the AP Client Specification document.
3. Pathway confirms that the APS will check data read from
Tokens or entered by the user against any valid Client Data or
reference data for the Client Service Type (e.g. stop lists)
and take the action prescribed in the AP Client Specification
or Token Technology Specification.
4, Pathway confirms the APS shall enable the display of user
instructions specific to a Client Service Type as identified in
the AP Client Specification.
Pathway Comment
1. The POCL meaning of the word “robustly” in the context of
data capture is not understood and therefore it has not been
committed.
Reference No 548
Pathway Response
i. Transaction committal
AP transactions using smart tokens will be committed to the
local journal as soon as they have been completed. Other AP
transactions will be committed at the end of the customer
session which may include other non-AP transactions.
A non-smart AP transaction once completed may not be voided
within the session in which it took place even though it is
not committed to the journal until the end of the session.
This is because a receipt will have been printed at the time of
the transaction. Should it be necessary to reverse the
transaction then this may be achieved using ordinary reversal
facilities in a subsequent session.
This process will occur when :-
(i) monies have been accepted
(ii) a transaction has been reversed. It should be noted
that the original transaction is never altered and that any
subsequent and related transactions are added to the journal.
(iii) a Token has been issued
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(iv) a Smart Token has been accessed ( including an abandoned
or enquiry transaction).
Pathway Comment
None
Reference No 549
Pathway Response
1. Transaction Reversals
The Pathway solution for AP provides the facility to reverse
eligible transactions. This process may only take place at the
post office where the original transaction took place.
The behaviour described in response to requirement 804 will
also apply to AP transactions.
The transaction details from the original receipt (principally
the account number) will be used to identify the relevant
transaction.
There will be a limited time within which a reversal can take
place and this is expected to be contained within one business
day for the post office.
The process will operate to the rules described in :-
POCL APS Generic Rules -
Token Technology Specifications
AP Client Specification
All transactions are progressively replicated to TMS for
processing by the TMS AP Agent. The end-of-day marker from a
post office is used as the trigger for accumulating Client
specific transactions and forwarding them according to the
rules in the above, last-listed document. The net results of
any transaction reversals will be determined and the relevant
details passed to POCL/POCL Client.
2. Audit capabilities
All transactions that occur at every post office are recorded
in the User local journal which is replicated within the post
office and to the central TMS. A journal entry, once written
is never altered. Details can be retrieved from the journal by
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suitably authorised personnel to provide a full audit trail of
all activities including transaction reversals.
Pathway Comment
1. The provision of specifications for each class of Token
(Bar-code, Magnetic Card, Smart Card, Smart Key) is a POCL
responsibility. Pathway will agree these specifications, such
agreement not to be unreasonably withheld.
Reference No 550
Pathway Response
1. The Pathway AP system will write data to APS Tokens in
accordance with the rules identified in the appropriate Token
Technology Specification, AP Client Specification and POCL APS
Generic Rules.
Pathway Comment
Pathway understand that the software required to support access
to the PISCES and WATERCARD smart cards and the SCHLUMBERGER
Smart Key will not be provided to the Contractor until after
contract award. The earliest availability of the
specifications of this software would ensure the precise
requirements of POCL and their Clients are met in a timely
manner,
Reference No 551
Pathway Response
1. A receipt will be produced for each committed transaction.
2. The receipt will contain information as specified in the
appropriate AP Client Specification and Token technology
Specification.
3. The reversal receipt will be identified as such and will
contain the account number of the original transaction together
with details of the date and time when the original transaction
teok place.
4. The AP counter application displays details of the
transaction on the counter terminal. These include transaction
type, method of payment, value and account number. In the event
of counter printer failure these can be transcribed onto a
manual receipt. Where the transaction is supported by a
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magnetic card, these details would be transcribed using a card
imprinter.
5. Welsh/English receipts will be produced in all relevant
outlets.
6. The Pathway solution for OPS will retain all transaction
information in the local post office for up to two Cash Account
periods. This will enable information retrieval to take place
by suitable authorised personnel.
Pathway Comment
1. The precise types of information retrieval in the post
office will need to be discussed and agreed with POCL in order
that the appropriate facilities can be provided.
2. The provision of specifications for each class of Token
(Bar-code, Magnetic Card, Smart Card, Smart Key) is a POCL
responsibility. Pathway will agree these specifications, such
agreement not to be unreasonably withheld.
Reference No 552
Pathway Response
1. Pathway confirms that the APS shall maintain and deliver
committed transactions to POCL and Clients in accordance with
appropriate AP Client Specification.
2. The provision of specifications for each class of Token
(Bar-code, Magnetic Card, Smart Card, Smart Key) is a POCL
responsibility. Pathway will agree these specifications, such
agreement not to be unreasonably withheld.
Pathway Comment
None
Reference No 553
Pathway Response
1. Pathway confirms that Data Files from POCL and Clients
will be either collected or received and validated in
accordance with the relevant AP Client Specification.
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2. Pathway confirms that Data Files from POCL and Clients
will be available to all groups of outlets or specific outlets
in accordance with the appropriate AP Client Specification.
Pathway Comment
The provision of specifications for each class of Token (Bar-
code, Magnetic Card, Smart Card, Smart Key) is a POCL
responsibility. Pathway will agree these specifications, such
agreement not to be unreasonably withheld.
Reference No 554
Pathway Response
1. APS fallback strategy
The Pathway solution for the Automated Payments Service
comprises a counter application and supporting peripherals
which operate within the overall OPS counter applications
environment. Each post office counter is equipped with a PC
configuration and each configuration runs its own copy of the
AP application and has its own set of supporting peripherals.
The failure conditions that will affect the ability of a post
office to provide the AP service are limited to the failure of
a PC at a single counter post office, and the failure of the
Smart Card / Smart Key reader at a counter.
The distributed nature of the Pathway solution means that a
single counter failure in a multiple counter post office will
not affect their ability to provide an AP service from the
remaining counters. the provision of the AP service is not
affected by a failures that may occur in either central systems
or the network.
1.1 Single Counter PC failure
A single counter PC failure will result in the post office
providing a manual AP service for transactions supported by
magnetic card or by a paper bill. Magnetic card supported
transactions will be recorded by a card imprinter (zip-zap)
onto a two-part AP voucher. Paper supported transactions will
be recorded by retaining the paper bill.The post office copy
of this voucher will be used by the post master to enter the
transaction using a suitable data entry facility when the post
office counter is restored to service.
1.2 Smart Card/Smart Key failure
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No Smart Card/Key transactions can take place until the failed
unit is replaced.
1.3 Failure probability and impact
Failure Incidence Impact
Total loss of PC at single counter post office. The failure
rate of the PC is 4 hours outage every 1200 days, assuming the
PC is not turned off. This equates to one failure per counter
every four years. Manual AP vouchers will have to be produced
using the zip-zap system or manual transcription. Data from
the post office copy of these vouchers will be used to enter
the transaction details locally.
Loss of Smart Card reader at a counter. The failure rate of the
Smart Card reader is one fail every 300,000 reads or 4 hours
outage every 1800 days. This equates to one fail per counter
every six years. See note below.{(assuming 50k reads per
counter per year - Scenario 3 year 2000/01 - Workload Brief
version 1.2) No Smart-Card transactions can take place while
the reader is awaiting replacement.
Note: The scenario described is that of a combined Magnetic
card/Smart card reader, such that any fail will require a whole
unit replacement.
Applying these failure rates to the workload volumes provided
in the Workload Brief gives the following.
Pc failure Smart Card failure
Year 1996/97 Scenario 1: 76 manual vouchers produced per day;
0.0022 % of total / day; 59 transactions not possible; 0.0009 &
of total / day.
Year 2000/01 Scenario 5 (BA) and Scenario 4 (POCL): 367 manual
vouchers produced per day; 0.0075 &% of total / day; 422
transactions not possible; 0.0019 % of total / day.
2. Recovery to a known state
The Pathway AP counter application does not complete a
transaction until the data is known to have been committed to
the local journal. The User is always fully aware of whether a
transaction is complete or not. All transactions, once
committed to the Users local journal are replicated te all
other PC’s in the post office and to the central TMS server.
When a failed unit is replaced it will automatically
synchronise with other nodes in its workgroup and restore all
previous transactions.
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3. Data Corruption
All transaction details are recorded in the users local journal
and are appended with a CRC. This is checked every time the
record is accessed and in the event that the record has become
corrupt it will be discarded and retrieved from another node
within the post office or from the TMS servers.
4. Lost transaction data
It is not possible for transaction data to be lost within the
Pathway solution for OPS or any of the applications it
supports. Transactions once committed to a users local journal
are automatically replicated to other nodes in the post office
and the central TMS system. Any nodes which have to be
replaced are automatically re-synchronised from other nodes
within the post office or the central TMS service.
5. Re-Input of transaction data
The Pathway solution for AP will only require manual
transactions to be created should a single counter
configuration fail. Manually recorded AP transactions will be
input to the AP system once the OPS is re~established.
Magnetic Card supported transactions may be input using details
from the receipt. They would be recorded as a keyed entry.
Smart Card/Key transactions cannot take place when a single
counter PC has failed.
6. Data Recovery
Data recovery, or synchronisation, takes place automatically
following the replacement of a counter PC. There will be no
loss of service on any of the other configurations in the post
office while this takes place.
7. Receipts for recovered transactions
The AP system need not produce a receipt for any recovered
transactions.
8. Validation Rules for recovered transactions
The AP system will conform to the POCL APS generic rules.
Pathway Comment
None
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Reference No 555
Pathway Response
1. OPS initial implementation facilities
1.1 All OPS outlets will have the capability to read track 2
magnetic cards complying with ISO 7811 parts 1-4.
1.2 All OPS outlets will have the capability to read/write to
Smart Cards complying with ISO 7816 parts 1 and 2, and/or Iso
7816 parts 1,2 and 3. Future support for ISO 7816 part 4
will be provided.
1.3 Support for non standard cards may be possible and will be
assessed on an individual basis. Pathway would require
specific examples of any Cards which POCL require to be
supported in order to provide a complete impact assessment, but
they are not expected to be very significant. General areas
such as non standard embossing may impact the design of the
manual AP voucher. Non standard data on the magnetic stripe
would need to be reflected in the data validation definition of
the relevant application.
1.4 Pathway will supply a hand held bar code scanner capable
of reading at least 10.9 cm bar codes at 9mils resolution. The
codes supported will be at least Code 128, EBAN8, EAN 13, code
39.
2. EPOS initial implementation facilities
Pathway confirm that in all outlets where EPOS is required the
Pathway EPOS solution
will :-
2.1 Provide support for manually fed pre-printed forms at the
counter by using an impact slip printer mechanism provided at
the counter as part of the counter PC configuration. The slip
printer will print Girobank summary forms G4631, G4632 and
G4633.
2.2 Provide support for Cheque printing together with a range
ef other forms at the counter using the same slip printer
mechanism.
2.3 Support the printing of existing Client reports which are
currently printed at the counter including the Girobank Daily
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Record forms. Support is provided for multiple font sets and
90 degree rotation printing so that the Girobank forms
referred to at 2.1 above can be printed.
2.4 Support the connection of the electronic weigh scales
including the Avery Berkel D104 and A702. These will be
connected via RS-232 connection tc one or two counter PC
configurations.
2.5 Support the printing of reports to enable POCL to meet
existing Client commitments. This will be carried out on an A4
cut-sheet feed printer which will be installed as part of the
OPS.
2.6 Support the printing of cash accounts and plain paper
summaries using the above printing facility.
2.7 Support the printing of PDF417 two dimensional barcodes as
part of the back office cash account production process. This
will be done using the above printing facility.
2.8 The counter printer proposed by Pathway is a dot
addressable printer which can support the printing of barcodes
on forms and the tally roll.
Pathway require further discussions with POCL to discuss
the particular applications or POCL Services that require
barcode printing and the types of paper stock that are expected
to be used.
2.9 The back office printer can support the printing of
barcodes and will support code 128, EAN 8, EAN 13 and code 39.
Pathway Comment
Pathway would appreciate any examples of non-standard Cards
which POCL wish to be supported.
Reference No 557
Pathway Response
1. Pathway confirms that the OPS will have the flexibility
for additional peripheral types to be added in future including
input devices and printers.
2. Pathway confirms that at least 4 additional RS-232
connected peripherals may be added to a counter configuration
subject to commercial considerations.
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3. OCR capability
Pathway has been notified that such a facility is not required.
4, Two-dimensional barcode capability
Pathway has been notified that such a facility is not required.
5. Teller Cash Dispensers
The Pathway OPS can physically support a connection to a teller
cash dispenser via an RS232 port. The introduction of new
peripherals will be subject to an agreed contract change
control processes.
Pathway Comment
Peripheral connectivity
Pathway currently intend to provide an 8~-port serial card on
every PC. This together with two ports on the PC provides
connectivity for 10 RS-232 devices. The following devices are
the maximum that any one counter is currently expected to
require :-
Touch Screen, MSR/SCR from keyboard, Wand, Counter printer,
APPU, Scales
Total = 6.
With the minimum three spare ports required by POCL, Pathway
will have one additional port available (i.e. a total of 4 ~
spare peripheral ports on a fully configured counter
configuration).
OCR and Two-dimensional barcode capability
Pathway has been notified that these options are not required.
Reference No 558
Pathway Response
1, Pathway fully appreciates the importance of transaction
times to POCL. We believe that we have demonstrated to POCL
that the Pathway OPS does keep transaction times to a minimum.
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2. Pathway confirms that the OPS is capable of supporting all
of the defined business transactions at the current and
projected volumes of business.
Pathway Comment
None.
Reference No 559
Pathway Response
1. Pathway confirms that the OPS will be provided at each of
the POCL’s outlets.
2. Pathway confirms that the OPS will support the automation
all POCL transactions in due course.
3. Pathway confirms that the initial implementation of OPS
will be capable of supporting APS, OBCS and EPOSS.
Pathway Comment
None.
Reference No 560
Pathway Response
Pathway recognises that technology will change during the
period of the contract and both POCL and Pathway will wish to
take advantage of this. -
Le Pathway is required to deliver services outputs to POCL
against the stated service requirements, against demanding
performance targets and against associated performance
penalties. In order to deliver the POCL Services the Contractor
must exercise operational control over all aspects of service
delivery (the service inputs).
This includes the selection and replacement of the equipment
which is required to meet the POCL service requirement. Pathway
requires the right to replace equipment at outlets or to
substitute different equipment during implementation in order
that the contracted requirements can continue to be met.
Pathway recognise that POCL will require assurance that any
technology changes do not adversely impact the usability or
functionality of the OPS. Pathway will provide advance notice
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to POCL of any changes that are required to OPS and review any
associated introduction or replacement plans. POCL will not
unreasonably withhold their support for such changes.
2. Pathway confirms that it will periodically review with
POCL the specification of the equipment being used and
installed to ensure that the most appropriate technology is
deployed.
Pathway welcomes these reviews as a mechanism to ensure that
the OPS continues to meet Pathway’s service obligations, and to
consider the impact on the OPS specification of any future
Service extensions required by POCL.
Pathway Comment
In a contract lasting many years there are numerous possible
reasons why the Contractor
may need to replace or substitute equipment and not all of the
possible reasons can be foreseen now.
However, Pathway is not obliged to refresh the technology.
Reference No 561
Pathway Response
Pathway confirms that it will indemnify POCL against any
dispute of its or POCL’s right to utilise the hardware,
software or information used for any of the supplied POCL
Services including third party challenges with reference to’
licensing or intellectual property rights. In the event of any
dispute Pathway will use all reasonable endeavours to ensure
that there is no impact on service.
Pathway Comment
None
Reference No 691
Pathway Response
1. EPOSS functions shall support the LFS and SAPADS, thus
allowing the management of cash and Stock.
2. EPOSS shall allow an authorised User to declare Stock and
cash levels and shall support the recording of Transfers into
and out of the Outlet.
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3. EPOSS shall support the recording of physical Stock and
cash received in the Outlet.
Pathway Comment
None
Reference No 692
Pathway Response
1. In general, the outstanding customer session balance can
be settled by a single MoP or a combination of two or more MoPs
(e.g. part cash and part cheque).
EPOSS will be capable of enforcing a set of rules for a
transaction which will determine whether that transaction must
be settled and committed in its own right. For example, a DNS
savings account deposit transaction can be considered to be
committed when the passbook entry is made and stamped. This
suggests that the settlement should be an intrinsic part of the
DNS transaction.
EPOSS will be able to enforce a set rules for any transaction
which will determine the MoPs allowed for that transaction.
2. EPOSS will allow the introduction of new types of MoP by
implementing the MoPs in a generic manner similar to other
products/transactions. As such, EPOSS will allow new MoPs to
be introduced dynamically via reference data.
3. EPOSS will be capable of implementing EFTPOS, handling
debit cards, as a method of payment. EPOSS will have the
inherent capability to handle both debit and credit cards from
the start of the EFTPOS service.
The volumes quoted, while not surprisingly high, are
nevertheless high in absolute terms and will generate
considerably higher daytime telecommunications costs for the
contract services as a whole.
It is understood that cashback will not be required initially
but might become a requirement in the future. EPOSS will
ensure that cashback can be implemented as and when it is
required.
Pathway recommends Girobank as the preferred supplier of the
“Merchant Acquirer” services for EFTPOS. On-line authorisation
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will be routed via TMS and EFTPOS transactions and summaries
will also be transmitted via TMS.
EPOSS will provide daily reconciliation of its EFTPOS
transactions against information from the banking/financial
clients.
Pathway will consider the storage and access requirements for
signed receipts and will propose a preferred approach shortly.
Currently, Pathway favours the storage of signed receipts
centrally by Girobank as an additional service to the Post
Offices, The storage and retrieval procedures will take into
account the 0.2% receipt retrievals anticipated.
The options for the implementation of EFTPOS are currently
under consideration and will be presented separately on
finalisation.
The general benefits of transactions involving EFTPOS are
expected to include:
increased average value of transactions and increased value
of single transactions such as catalogue (e.g. Argos) sales
increased number of transactions - due to attraction of
cashback
inerease number of customers from higher socio-economic group
earlier payment of MVLs, bills etc.
payment of bills at counters which currently require cash at
the counter or a cheque by post. E.g. Giro transcash foils with
“Cheque NOT Acceptable at PO Counter”
reduced handling costs (compared to cheques)
reduced clearing time (compared to cheques)
Pathway Comment
70% {at £15 floor limit) on-line authorisation seems high and
may result in annoying delays and lengthy queues. Girobank
state that £15 limit is a Switch rule and that VISA and
Mastercard are higher.
Girobank state that card scheme rules preclude cash withdrawal
at retail counters (including post office counter) but cashback
is allowed.
Pathway seeks to understand if POCL expects to be or to
nominate the “Merchant Acquirer’.
Reference No 693
Pathway Response
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1. EPOSS will allow a VAT style customer receipt to be
produced at the end of the customer session. The receipt will
be optional and will be printed if requested by the operator.
2. Some transactions will automatically produce a customer
receipt.
3. The format of all receipts will be agreed with POCL and
set out in the CCD entitled “Horizon OPS Reports and Receipts -
ICL Pathway Horizon Office Platform Service”.
4. The header/footer will be printed in Welsh and English or
English as required.
5. The facility will be provided for the printing of one or
more copies of a receipt following the end of one customer
session and before the beginning of the next customer session.
The second and subsequent copies of a customer receipt will be
marked as “duplicate”.
Pathway Comment
None
Reference No 694
Pathway Response
i. All transactions will be recorded using a Point of Sale
function. This function will previde a consistent method for
invoking fixed price product sales, simple open value
transactions and complex transactions. The recording of
information for all transactions will be handled in a
consistent manner.
2. Transaction data captured during other POCL Services will
be recorded via EPOSS.
3. EPOSS will allow the manual entry of weight values where
the scales are not linked. In fact, EPOSS will allow manual
entry of any information that is normally captured via a
peripheral to cater for the cases where the peripheral is not
connected, or has failed, or is unable to read for cther
reasons (e.g. illegibility).
4. Where transaction data will be captured through a
peripheral reading device, the invocation of the transaction
will be event-driven.
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5. EPOSS will be able to read data from any appropriate input
device which is part of the OPS.
Pathway Comment
None
Reference No 695
Pathway Response
1. EPOSS will provide a function for declaring actual cash
and stock on hand as part of the stock unit balancing process.
Cash will also be declared as part of the daily cash locked up
function or an electronic ONCH form.
2. The number of stock units and their setup will be under
the control of the manager of the Outlet as part of the office
administration functions. EPOSS will provide facilities for
creating and deleting stock units as well as setting stock unit
“sharable” attribute to cater for local working practices.
3. The stock unit management facility will allow changes to
stock unit options and assignments.
4. EPOSS will allow stock unit sharing where a stock unit is
attached to more than one user at the same time. This will be
optional so that sharable and non-sharable stock units can be
used within the same Outlet.
5. EPOSS will allow each stock unit to be balanced as often
as is required within a cash account week. Balancing will
involve the declaration of cash and stock by denomination.
Sharing a stock unit results when it is attached to more than
one user at the same time. When sharing a stock unit, a group
of users will be able to divide the administrative functions
amongst themselves. For example, the declaration of cash and
stock on hand can be carried out by each user. Bach
declaration will represent that user’s proportion of the total
for the stock unit. The aggregated total for the stock unit
will be used for subsequent balancing operations on the stock
unit.
6. EPOSS will allow an office balance to be produced at the
end of the week by amalgamating the stock unit balances.
The system will provide an office level snapshot, at any time,
of transactions, cash and stock levels across all stock units.
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The same facility will be available to provide an instant
snapshot of the transactions and contents of any single stock
unit.
7. EPOSS will produce an office cash account (conforming to
the approved format) which will include information regarding
manual voucher transactions, automated voucher transactions,
suspense account position, and cash and stock totals. An
office balance brought forward value will be derived for
inclusion in the next accounting period.
8, EPOSS will control access to a stock unit by using an
access level attribute. This will restrict its use to only
those users with an appropriate privilege level. If it is not
sharable then a stock unit can only be accessed by one user at
a time. In addition, each user will be restricted to using only
one stock unit at a time selected from a defined set.
Pathway Comment
None
Reference No 696
Pathway Response
1. EPOSS will produce a daily report showing the cash held in
the office. The format of the report will be agreed with POCL,
although it will show cash held by denomination of bank note
and coin.
2. BPOSS will provide daily and weekly summaries of
transactions by stock unit for those transactions that require
such reporting.
3. EPOSS will print on client cut sheet stationery using the
counter printer or, if the physical size or layout of the
stationery demands it, the A4 Outlet printer.
4. Pathway understands that the range of clients and their
stationery varies considerably.
Ss. The format of all receipts will be agreed with POCL and
bilingual Welsh/English printing of these will be provided as
required.
6. The facility will be provided for printing more than one
copy of a receipt following the end of one customer session and
before the beginning of the next customer session. The second
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and subsequent copies of a customer receipt will be marked as
“duplicate”.
7. EPOSS will provide daily and weekly summaries of
transactions by stock unit for those transactions that require
such reporting.
8. EPOSS will print on client cut sheet stationery in support
ef Girobank and the PDR summarisation.
2. EPOSS will produce reports using the counter printer and
the A4 Outlet printer as appropriate to the physical printing
requirement. The reports will conform to client specifications
and will be produced at stock unit and office level as
required.
10. EPOSS will allow reports and summaries to be previewed on
screen as well as (or instead of) printed.
Pathway Comment
None
Reference No 697
Pathway Response
The clause 801 and schedule A03 applies to this requirement.
Pathway Comment
None.
Reference No 698
Pathway Response
Pathway shall use all reasonable endeavours to minimise and
control liabilities to itself and PocL.
Pathway will set up an organised security infrastructure
covering:
security policy
allocation of security responsibilities
security education and training
reporting security incidents
« physical security control
e virus control
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e business continuity
control of proprietary software
safeguarding POCL records
information classification
compliance with data protection and other legislation
information exchange control
*® external contractors and suppliers
® compliance with security policy
e the management of fraud and risk within the solution during
service operation
ee ee
Pathway confirms that it will comply with BS7799.
For details of Pathway’s approach to providing for integrity
and privacy assurance in services refer to requirement response
952.
Pathway Comment
None
Reference No 699
Pathway Response
The audit trail comprises information corresponding to the POCL
Infrastructure Service together with its Systems Management
function. The Systems Management function provides the audit
trail with a record of operational events, inventory,
distribution and remote operations.
Consistent identity of file, record and field will be
maintained.
The pOCL Infrastructure Service element of the audit trail
1. All transactions that pass through TMS are recorded in the
journal. The journal will be maintained on magnetic media
within TMS for a period currently planned to be 90 days.
Following this the journal data will be archived to optical
storage. The current or archived TMS journals can be accessed
to provide an audit trail of all TMS transactions.
Some fallback scenarios will still be capable of recording a
transaction in the TMS journal, e.g. keyed entry of card.
Other scenarios will require data capture by alternate means
and subsequent introduction to the TMS journal (e.g. manual AP
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transactions due to equipment failure). In these situations the
transaction details will be entered by the postmaster locally
when the OPS is restored to service. Data captured during such
fallback situations in the TMS journal can be accessed to
provide an audit trail.
The distributed nature of the Pathway TMS enables an Audit
trail to be maintained and accessed during any recovery of a
TMS server.
2. The audit trail provided by the TMS journal will record
all file transfers, messaging or transactions, and the
processing that originated these messages.
3. Transactions recorded in the TMS journal will contain
some standard information and then variable data depending on
the process that originated them.
Standard data will include :-
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Post Office ID - The unique ID of the Outlet
Position ID - A unique ID of the counter within the Outlet
Session ID - A umigue ID that identifies an individual
customer session
Transaction ID - A unique ID within the Outlet for a
transaction that forms part of a customer
session
Date
Time
User - BR unique user name of the counter clerk
initiating this transaction
Application - An OPS application service ~
Variable Data will include :-
Transaction details 1
Transaction Details n
4. Activities that use more than one POCL Service may be
traced from start to finish with certainty, or from an
intermediate POCL Service.
A typical customer session in an Outlet may comprise the use of
APS (pay bill) and EPOSS (purchase stamp). All these
transactions will be recorded in the local outlet journal and
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each will contain the same unique session ID to identify that
they occurred as one set of customer transactions at the
counter. Each transaction will also record data specific to
that transaction.
Transactions are then replicated to the central TMS and are
subsequently extracted for processing and dispatch to a variety
of host systems (e.g. POCL, POCL-Client systems). Bach
transaction will retain the attributes that enable its source
and any associated transactions to be identified (e.g.
transaction ID, session ID etc.). This data may be
interrogated, subject to agreed procedures with Pathway, at any
point in this process from
transaction origination in an Outlet to Client specific
datafiles just prior to dispatch.
5. Data recorded in the journal will be sufficient to allow a
transaction to be recreated. Pathway will be pleased to
discuss the recording of any specific data items that may be
required by POCL.
6. The content of the audit trail will be agreed between
Pathway and POCL.
7. Audit trail records will provide information for a period
consistent with the Companies Act
8. Pathway will provide POCL with reasonable access to the
audit trail provided by the TMS journal.
9. Once transactions are written to the TMS journal they can
never be altered or deleted.
10. TMS comprises a number of servers separated across two
geographically remote sites. The service is resilient against
the loss of individual servers or of a complete site.
Data within TMS is replicated within the local data centre and
to the remote datacentre. When failed servers or a complete
site is restored, all transactions are synchronised to bring
each server up to date. The TMS service continues operating
during this process.
Should both data centres supporting the TMS servers fail, the
Outlets would continue largely unaffected. Transactions (OBCS,
AP and EPOS transactions) would continue in each Outlet and be
recorded in the local journal. When the central TMS is
restored synchronisation would take place with each Outlet to
bring the central TMS up to date.
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11. It will be possible to provide a suitable legal assurance
as to the integrity of the audit trail.
12. Any changes to the POCL Services provided by Pathway will
be the subject of discussion and agreement with POCL.
Technological change may be one of the implications of a
service change (e.g. the introduction of a new counter
peripheral). The ability to maintain the facilities associated
with audit will be one of the acceptance criteria governing
the introduction of any change. In the event that the audit
trail medium becomes obsolete it will be securely copied to a
medium that will be serviceable for the required lifetime of
the content.
The Systems Management function
The Systems Management Service provides a repository for the
recording of all physical events affecting the platforms which
support the POCL Infrastructure Service, that is TMS and the
OPS. All these environments operate under Windows NT and are
managed from the Tivoli Management Servers. Tivoli provides,
in conjunction with the native Windows NT and messaging
middleware services, a comprehensive facility for trapping,
recording and interrogating audit events relating to the
operational status of the hardware, software and applications
running within the POCL Infrastructure Service.
Tivoli auditing features enable the recording of events such as
which users access which objects, what type of access in being
attempted and whether or not the attempt was successful.
Administrative privilege is required for controlling and
accessing audit files within Tivoli.
Audit events may be viewed through a Tivoli interactive
bulletin board with appropriate access security measures, or
may be accessed by applications to undertake routine bulk audit
analysis. Events related to the router network are similarly
forwarded to the network management server, for storage for
audit or operational planning purposes.
Pathway Comment
None
Reference No 799
Pathway Response
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Pathway can in principle provide a facility to manage the
receipt and subsequent issue of APS tokens as directed by POCL.
The introduction of such a facility will be subject to the
Change Control Procedure.
Pathway Comment
Before a final solution can be defined it will be necessary for
POCL and Pathway to agree the overall token issue process and
any links to the issuing client organisations.
Areas that will need to be covered include :-
Method of dispatch and receipt of tokens to post offices and
subsequent error handling.
Reconciliation of expected and actual token receipt and
subsequent error handling.
Method of issue to customer, verification processes and
subsequent exception handling.
Other exception conditions (e.g. token withdrawal, token non-
collection, token non-arrival).
Information feedback to POCL and / or Clients.
Reference No 800
Pathway Response
i. EPOSS will record details of all transactions between the
customer and the clerk. The information recorded will include
any stock and cash items issued or received.
2. All transactions carried out whilst serving a customer
will be recorded within that customer session.
Corrections to a transaction within the current customer
session will normally involve a simple modification applied
directly to the transaction. But, if the transaction is of a
type (e.g. on-line financial) that has already been committed
then it will corrected by:
a) the reversal of the original incorrect transaction.
b) the addition of the correct transaction.
If a correction needs to be applied to a transaction in a
previous customer session then the following precedure will be
used:
a) identify the customer session.
b) identify and reverse the incorrect transaction
c) insert the correct transaction.
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Corrections to transactions will not be possible after the cut-
off and despatch of those transactions to the appropriate
client, processing centre or accounting report.
A refund is assumed to be distinct from a reversal to correct
errors. It is considered to be a transaction in which a
customer returns an item bought and is given back cash or is
credited the amount. A refund must be supported by proof of
purchase, such as a receipt, which provides a reference to the
original customer session and the transaction.
3. EPOSS will uniquely identify each transaction and each
customer session.
4. EPOSS will provide an explicit “end customer” event which
will only be valid following the settlement of the customer
session. The provision of a running session balance and change
calculation should encourage the use of one session per
customer. Consideration should be given to the provision of
information messages triggered by the number of transactions in
the session.
S. EPOSS will indicate the change due to the customer when
the cash taken from the customer exceeds the session balance.
This will be implemented such that the session can be ended as
if the balance was zero.
Pathway Comment
None
Reference No 801
Pathway Response
Le EPOSS will support the current range of business
transactions. Pathway understand that these are generically
grouped as:- Value Stock product; Method of Payment (MoP); Loss
and Gain transaction; Retail sales product; Receipt and Payment
transactions.
2. EPOSS will support fixed price products and variable price
products which may have a default value.
3. EPOSS will support variable price products where:- the
value is entered by the clerk; the price is one of a defined
set. In each case, variable price products can include a
default value derived by look up from reference data or by an
“intelligent” guess based on context. Rules will be allowed
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for the validation of the value (this would include check for
zero value).
4. ‘Composite’ products will be implemented using product
categorisation and grouping. This will allow the sale and
declaration of products by denomination.
Pathway Comment
None
Reference No 802
Pathway Response
1. EPOSS will record the issue and receipt of any stock and
cash items associated with a transaction against a stock unit.
This will result in the increase or decrease of stock and cash
levels within the stock unit as appropriate. This will allow
the current stock position for a stock unit to be reported on
request.
2. Discrepancies between the actual stock and cash on hand
and the system’s view of stock and cash in a stock unit will be
resolved by the stock and cash on hand declaration function.
This will synchronise the system’s view cf a stock unit’s
contents with the actual stock unit’s contents. This will take
care of these types of discrepancies {compensating or
otherwise) without carrying out a transaction or a reversal.
Pathway Comment
None
Reference No 803
Pathway Response
EPOSS will implement mechanisms to safeguard against recording
one-sided transactions.
EPOSS will maintain a disk-based log of transactions within a
customer session. Each transaction is added to this session
log as it is completed. At the end of the session all of the
transactions will be transferred (committed) to the journal.
When all transactions have been safely committed the session
log is cleared.
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If failure occurs after the session has ended but before all
transactions have been committed a cleanup procedure will use
the (uncleared) session log to complete the commit process.
A transaction that requires it will be settled and committed
when it is completed (i.e. before the end of the session).
Obviously, this type of transaction does not need to be
transferred and committed to the journal at the end of the
session. For the purposes of recovery this type of transaction
is treated as a session in its own right. It is marked
“committed” after it has been successfully committed but is not
cleared until the end of the session.
If failure occurs before the end of the session, none of the
transactions will have been committed except for those that had
been committed on completion as described above.
The implementation of these measures will ensure that a
balanced status is maintained in the event of interruption or
failure.
Pathway Comment
None
Reference No 804
Pathway Response
1. EPOSS will maintain a journal of all transactions and a
facility will be provided to allow the user to search and
“browse” previous transactions. The user will be able to
restrict the scope of the search.
2. All transactions will identify the stock unit and the
balance period to which they apply.
3. It must be stressed that transactions, once committed to
the journal, are NEVER deleted or modified by counter or office
functions. The original transaction is always maintained and a
reversal transaction negates the effect of the original. The
transaction reversal process is described for the following
scenarios:
Scenario 1. The transaction is in a previous customer
session within the current stock unit balance period. The
transaction has not yet been despatched (i.e. client cut-off)
from the office.
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The user will be able to browse the transaction journal in
order to find and select the transaction for reversal. A loss
or gain transaction may need to be generated to account for any
cash (or other MoP) involved in the transaction. Any client
summary will need to be re-printed to reflect the reversal.
Scenario 2. The transaction is in a previous stock unit
balance period. The transaction has not yet been despatched
(i.e. client cut-off) from the office.
The reversal must be carried out by the office manager within
the office administration function - accounting adjustments.
The manager will select the stock unit balance period and
browse the transaction journal in order to find and select the
transaction for reversal. A loss or gain transaction may need
to be generated to account for any cash (or other MoP) involved
in the transaction. The stock unit balance report and any
client summary will need to be re-printed to reflect the
reversal.
Scenario 3. The transaction is in the previous cash account
period (i.e. the stock unit has been rolled over). The
transaction has not yet been despatched (i.e. client cut-off)
from the office.
As above, the reversal must be carried out by the office
manager within the office administration function - accounting
adjustments. The manager will select the stock unit balance
period and browse the transaction journal in order to find and
select the transaction for reversal. A loss or gain transaction
may need to be generated to account for any cash (or other MoP)
involved in the transaction, The stock unit balance report and
any client summary will need to be re-printed to reflect the
reversal.
Scenario 4. The transaction has already been despatched
(i.e. cliene cut-off) from the office.
The transaction is not reversible. The error will probably
result in the receipt of an error notice from the client.
Note
There is a distinction between a reversal for accounting
corrections, such as the loss of a foil or stub, and a
reversal due to a transaction refund (e.g. when a customer
changes his mind).
4. Use of the transaction journal to resolve enquiries will
be supported.
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Pathway Comment
None
Reference No 805
Pathway Response
ae EPOSS will maintain a journal of all events such as logon,
attach to stock unit, declare stock and cash and so on. The
journal entry information will include the user and the stock
unit.
2. The journal entries will identify the stock unit and the
balance period to which they apply.
3. A facility will be provided to allow the user to search
and “browse” the events in the journal using specified search
criteria.
4, Use of the event journal to resolve enquiries will be
supported.
Pathway Comment
None.
Reference No 806
Pathway Response ~“
1. The time and date will be maintained centrally and will be
transmitted to EPOSS via TMS thus ensuring that all Outlets are
synchronised
Pathway Comment
None.
Reference No 807
Pathway Response
The transfer of stock between stock units will be conducted in
the following way:
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a) The requesting user (i.e. the one receiving the stock items)
will verbally agree with the sending user that the items can be
transferred.
b) The requester will use a Transfer Request function (a form
to identify the sender and the stock items required.
c) The sender will use the “Transfer Out” function to view and
confirm the stock items. When this is completed a “Transfer
Out” receipt slip is printed by the sender . This process
generates transfer out transactions and decreases the stock
units stock levels.
d) The requester will use the “Transfer In” function to view
and confirm the stock items. When this is completed a
“Transfer In” informational slip is printed by the requester.
This process generates transfer in transactions and increases
the stock units stock levels.
e) The physical exchange of stock is accompanied by the signing
ef the Transfer Out receipt slip by the requester. The sender
keeps the signed receipt as proof.
1. EPOSS will record the movement of stock and cash between
stock units (i.e. transfers) within the same post office. The
details of each transfer will be recorded in the journal and
will identify the stock units and their respective balance
periods.
2. Each transfer will comprise a set of one or more stock and
MoP products.
3. The mechanism for entering the details of a transfer will
resemble a form filling (P119) method rather than a serving
session,
4. EPOSS will automatically adjust the steck and cash levels
of the corresponding stock units to take into account the
transfer.
5. The transfer will be recorded as occurring within the
respective balance period of each of the stock units involved.
Pathway Comment
None
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Reference No 808
Pathway Response
1. EPOSS will support the receipt, maintenance, return and
issue of serial numbered stock items and tokens. Where the
serial numbers are identified at the point of service (i.e.
issue) EPOSS will support the recording of “spoiled” items.
EPOSS will provide reconciliation functionality for serial
numbered items. Reconciliation will be by volume and stock
unit as follows:
Number brought forward + Number received
equals
Number on hand - Number issued ( or spoilt or returned)
Where the movement of individual serial numbered items is not
recorded EPOSS will provide manual bulk entry facilities for
reconciliation.
2. EPOSS will support a suspense account mechanism whereby
items not cleared during the accounting pericd will be carried
forward to the next.
3. EPOSS will provide a snapshot representing the office
balance position derived from all of the stock unit balances
completed within the current accounting period. The format of
the snapshot report will be agreed with POCL.
Pathway Comment
None
Reference No 809
Pathway Response
1. The EPOSS desktop will provide customer session management
which will maintain:
a) a log of ail of the transactions performed since the start
of the customer session
b) the session balance in the form of an amount to “take in” or
“pay out”
c) the allowable methods of payment for settlement
2. Transactions recorded in the journal will be identified by
customer session.
Pathway Comment
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None
Reference No 810
Pathway Response
1. EPOSS will allow reversals and refunds. These operations
will only be possible if POCL and Client accounting and
business rules allow them.
2. The behaviour of transactions will be governed as far as
possible by reference data parameters.
3. EPOSS will allow ‘rate shopping’ for those transactions
which involve value-added associated services. For example,
insured, registered and recorded delivery services against an
inland letter transaction.
In addition, EPOSS will allow a total value to be input against
a fixed price preduct. It will calculate the whole number of
items that may be purchased for the amount specified. For
example, if £1.00 is entered against second class stamps (19p
each) the system will reselve this to 5 second class stamps
with a total amount of 95p.
Pathway Comment
None
Reference No 811
Pathway Response
1. The passing of information to TMS is not strictly an EPOSS
function. EPOSS will be responsible for recording information
to the journal, but the subsequent replication and transmission
of that information is then handled by the TMS functions.
2. EPOSS will support the introduction of new Client
services. These will be integrated into the EPOSS product set
so that they can be invoked by the appropriate event.
In most cases the introduction of a new product will be
achieved through the distribution of reference data updates via
TMS. In addition to reference data updates functionality can
be introduced dynamically using revised versions of EPOSS (or
APS) (and again these can distributed via TMS).
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Pathway Comment
None
Reference No 812
Pathway Response
a. EPOSS will allow customer transactions to be reversed.
EPOSS will also implement a mechanism to allow corrections to
stock and cash transfers within the Outlet or between the
Outlet and a remote location.
2. EPOSS will allow reversals to transactions providing that
POCL and Client accounting and business rules allow them.
3. EPOSS will allow “accounting adjustments” in the form of
correction transactions which are not necessarily mapped to
specific transactions in the journal.
Pathway Comment
None
Reference No 813
Pathway Response
1. EPOSS will allow revaluation of fixed price value stock
and MoP products. Revaluation of a product would normally be
achieved through a reference data change delivered via TMS.
The implementation of these types of products will be such that
the new version will be distributed to Outlets in advance, and
will coexist with the current version, only coming into effect
on a specified “activation date”. The activation date is part
of the reference data (as is the expiry date of the superseded
version).
2. Pathway acknowledges the possibility of future alternative
currencies and EPOSS will implement MoPs accordingly.
3. The inclusion “uprating” and “downrating” accounting
entries will allow for changes in stock product prices to be
balanced.
4. EPOSS will implement revaluation of generic stock products
in an appropriate and efficient manner.
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5. The reference data for each value stock product will
contain information which determines the accessibility (or
séllable status) of the product.
Pathway Comment
None
Reference No 814
Pathway Response
1. EPOSS will provide a cash on hand declaration function
analogous to the filling of a paper form.
2. This function will allow the cash on hand to be declared
by denomination (including coin) for the purposes of daily cash
reporting and as part of the stock unit balancing process.
3. The cash on hand declaration can be invoked at any time
but will normally be carried at the end of a stock unit balance
period and always as part of the end of day process.
4, The EPOSS system only accepts two-sided transactions so
that it is always in a balanced state as far as the information
it precesses is concerned. In reality, the system will
sometimes be out of balance due to physical misplacement of
cash, value stock or any other transaction related vouchers.
It can also be logically balanced but physically in error as a
result of mis-keying (e.g. MoP as cash instead of a cheque).
In this case there may be a discrepancy between the system view ~
of total cash and the actual cash on hand, but it will not
necessarily result in a loss or gain being generated.
EPOSS will generate a loss or gain when:
Total Receipts (including Opening Stock and Cash)
does NOT equal
Total Payments (including Stock and Cash on Hand)
5. EPOSS will issue an appropriate warning message when the
cash on hand declaration total differs from the expected figure
as maintained by the system.
6. EPOSS will permit the declaration of a zero value of any
(or all) cash denominations.
7. EPOSS will carry forward and default to the denomination
values from the last known declaration when no activities have
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eccurred to alter these. A message will be issued to ensure
that the user is aware of this when the cash on hand
declaration function is invoked. Under normal circumstances
the values will be set to zero to try and ensure that the user
explicitiy declares each.
8. In a Team Working office the cash declaration activity
could be shared by any (or all) of the users attached to each
particular stock unit.
Pathway Comment
None
Reference No 815
Pathway Response
1. EPOSS will allow stock units which have not being used
within an Outlet accounting period to be “rolled-over” to the
next accounting period.
2. All stock units within the Outlet which contribute to the
Cash Account must be rolled-over before the production of the
Cash Account. This applies to dormant stock units a well as
those that have been used during the period.
3. The office manager will control the roll-over of the
dormant stock units.
Pathway Comment
None
Reference No 816
Pathway Response
i. EPOSS will have access to a full set of outlet records for
a rolling period of 18 months.
2. Information will be retrieved as complete set of records
for the specified outlet account period.
3. The information for the previous two outlet accounting
periods will be available for review on demand. Information
dating back further than this will be available at 24 hours
notice.
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4. EPOSS will record all significant events and all data
entries.
5. EPOSS will implement a tiered level of access control.
Each facility will have an associated access level and the user
will require a corresponding (or better) privilege level to
access the facility. Combined with the user logon requirement,
this will provide a controlled environment for all users of the
system.
6. EPOSS will provide the facility for an authorised user to
maintain information about the users. This facility will allow
the introduction of new users, the modification of user
attributes (including password and privilege level), the
deletion of users, and the suspension of a user’s access to the
system.
There will be a similar facility for stock units.
Pathway Comment
None
Reference No 817
Pathway Response
Le EPOSS will allow discounting for those products which are
defined to be discountable in the reference data.
2. EPOSS will implement an appropriate discounting mechanism
for each discountable product. In it’s most generic form this
will take the form of a user specified percentage at the time
of transaction. In specific transactions, a percentage will be
derived from the reference data as the default. The
application of a user specified percentage discount for all
discountable products in a customer session will be supported.
3. In a similar way to above, allow a user specified discount
value at the time of transaction. In specific transactions,
the value will be derived from the reference data as the
default. The application of a user specified discount value
for all discountable products in a customer session will be
supported.
Pathway Comment
None
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Reference No 818
Pathway Response
1. EPOSS will have access to reference data imported from The
Reference Data System via TMS. EPOSS will support date and
time stamping of reference data in the form of activation and
expiry dates. The activation and expiry dates are part of the
reference data.
2. EPOSS will produce a report of the reference data in use
at an Outlet. The format of the report will allow recent
changes to be presented clearly. Changes (and notification)
will normally be delivered to the Outlet electronically.
3. EPOSS will maintain reference data used to control the
behaviour of most aspects of EPOSS and transactions. EPOSS
functions will be driven by reference data parameters whenever
the functionality can be generalised. This will allow many
aspects of the behaviour of EPOSS to be modified via reference
data changes rather than software.
4a, EPOSS will maintain the consistency of reference data to
report on and warn of errors. Interdependencies between
reference data elements will dictate whether reference data
record deletions (and other operations) are possible.
The distribution of reference data to other counter
workstations is the responsibility of the TMS/Journalising
middleware. Similarly, reference data record integrity is
handled by the TMS/Journalising middleware.
Pathway Comment
None.
Reference No 819
Pathway Response
1. EPOSS will support the different cash account formats
{i.e. standard Outlet format and CRU format)currently used.
The use of spare cash account lines to report on new products
will normally be facilitated by reference data changes
distributed via TMS. The cash account tables and validation
rules applying to individual cash account lines will be
maintained as part of the EPOSS reference data.
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2. The mapping of the cash account lines to product and
transaction data will be maintained as reference data.
3. EPOSS will maintain the cash account period numbers and
their associated start and end dates as part of the reference
data. A cash account period is normally a week. To cater for
those occasions when the Outlet is authorised to combine two or
three weeks into a single accounting period EPOSS will produce
a single cash account report covering all transactions in the
combined period. It is proposed that the cash account week
number of the final week is associated with this cash account
report.
It is understood that some client reports require the actual
cash account week number to be identified. EPOSS will print
the actual cash account week number for these reports.
4, EPOSS will initially produce a printed and an electronic
version of the cash account report.
5. EPOSS will include a 2D bar-code on the printed report.
The format of the data contained within the barcode is to be
specified by POCL, but it is anticipated that it will contain a
data-compressed set of all of the cash account report.
6. EPOSS will allow trial cash accounts to be produced.
Production of the final cash account can be followed by an end-
of-week facility which will ‘move’ the outlet forward into the
next accounting period.
Note. Stock units will normally have been rolled-over into the
next accounting period before the trial and final cash accounts
have been produced. This is necessary in order to allow the
staff in the Outlet to continue with their everyday tasks.
Pathway Comment
None
Reference No 820
Pathway Response
1. EPOSS will implement a tiered level of access control.
Each facility will have an associated access level and the user
will require a corresponding (or better) privilege level to
access the facility. Combined with the user logon requirement,
this will provide a controlled environment for all users of the
system.
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2. EPOSS will not hinder the Outlet’s ability to maintain
trading if the OPS is not available.
3. Following an Incident, EPOSS will:
a) allow the user to return to a recent trusted position
b) implement appropriate measures to reduce the risk of data
corruption
¢) resume operation in a controlled auditable way as quickly as
possible.
4. Backup of data will be handled by the data replication
facilities of the TMS/Journalising middleware. This will allow
seamless recovery from Incidents such as localised failure. A
return to a known and trusted reference position will be
provided by the setting of appropriate data markers.
5. EPOSS will implement measures to provide a robust
committal process that reduces the risk of unrecoverable system
errors.
6. EPOSS will implement measures to reduce the amount of data
re-entry following recovery from a system failure.
7. EPOSS will monitor the integrity of the data and will
inform the user of any implications with respect to the state
of the data.
Pathway Comment
None
Reference No 821
Pathway Response
1. Pathway recognises that the centralisation of the
administration of local schemes is a complex problem and needs
extensive investigation to assess whether it is operationally
achievable in an efficient manner. Therefore, it is proposed
that local schemes will be implemented as a set of blank
template products that can be tailored and activated when
required. Facilities to account for and report on these
transactions will be provided.
EPOSS will be configurable such that it could:
a) restrict the availability of specific transactions for an
Outlet.
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b) allow the use of specific transactions to be optional for an
Outlet.
c) allow local tailoring of specific transactions for an
Outlet.
d) introduce new functionality as agreed with BOCh.
2. EPOSS will ensure that transaction data and data derived
from transactions is in the appropriate form for use by systems
outside of OPS. It will also provide facilities to read and
interpret data originating from systems outside OPS.
Pathway Comment
The following information is provided in order to assess the
complexity of administering local schemes centrally.
Currently there are seven regions each administering
approximately 20-30 schemes as indicated in the following
table:
Region Approx. No. of Approx. No. of
Clients Schemes
North East 25 26
North Wales and North West 24 24
Midlands 18 21
Scotland and Northern Ireland 13 14
South East 22 22
South Wales and South West 27 27
North Thames and East Anglia 22 23
Total 151 157
In general, all post offices within an area will offer the
local schemes. A few offices within the area may be excluded
from the scheme, and a few offices from neighbouring areas will
be included in the scheme.
The FAD code of an office is a seven digit number of the form
000 AAA C
where 000 = Numeric Office code
ADA = Numeric Area Code
C «= Check digit
An analysis of the FAD codes has provided the following
information:
1. There are a total of 145 areas in ail regions.
2. The largest number of offices in an area is 404.
3. The average number of offices in an area is 135.
4. The smallest number of offices in an area is 4.
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For a centralised administration and reference data
distribution function for local schemes to be implemented, with
each participating office in each scheme being individually
identified, a database estimated at 30,000 to 40,000 records is
required.
Bach local scheme will consist of approximately 150 records
with a maximum of almost 500 records.
Reference No 822
Pathway Response
The Contractor shall provide the Logistics Feeder Service
through the medium of the POCL Service Infrastructure such that
it can interface to the agreed POCL SAP/ADS system. The POCL
Service Infrastructure shall be designed such that, subject to
the Change Control Procedure, it can interface into any other
POCL inventory management system, and shall have sufficient
capacity not to preclude such interfacing.
Pathway Comment
None.
Reference No 823
Pathway Response
1. The storage of EPOSS transaction data and data derived
from transactions is the responsibility of the TMS/Journalising
middleware. It is the responsibility of this middleware to
ensure that the data is made available to other POCL Services
which require access to the data.
2. EPOSS will implement appropriate measures in an attempt to
maintain the integrity of data in the event of an Incident and
avoid corruption of data due to interruption of an incomplete
process.
In addition to the actual data to be recorded EPOSS will
include information which is used to ensure the integrity of
the data. The additional information consists of a message
sequence number and a message CRC check digit.
Pathway Comment
None
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Reference No 824
Pathway Response
1. EPOSS will allow the price of posting a mail item to be
determined from information including the class of mail, the
weight, and (if not inland) the destination. The weight will
be provided by a connected electronic scale. Where the scale
is shared between counter positions, it will be the
responsibility of the scale to handle contention and accept or
deny a connection to a counter workstation.
2. EPOSS will ensure that a connection to the scales is only
requested when needed by a transaction and will proceed with
such a transaction when the connection is made. EPoss will
ensure that the connection to the scale is released promptly
when it is no longer required.
Pathway Comment
None
Reference No 825
Pathway Response
1. EPOSS will record all sales. All transactions will be
recorded using a Point of Sale function. This function will
provide a consistent method for invoking fixed price product
sales, simple open value transactions and complex transactions. -
The recording of information for all transactions will be
handled in a consistent manner.
2. Where transaction data will be captured through a
peripheral reading device, the invocation of the transaction
will be event-driven.
3. Each counter transactions will be maintained within its
respective customer session.
4. Transaction data captured during other POCL Services will
be recorded via EPOSS.
5. Transactions recorded in the journal will be identified by
customer session.
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6. The EPOSS desktop will provide customer session management
which will maintain:
a) a log of all of the transactions performed since the start
of the customer session
b) the session balance in the form of an amount to “take in” or
“pay out’
c) the allowable methods of payment for settlement
7. In general, an outstanding customer session balance can be
settled by a single MoP or a combination of MoPs (e.g. part
cash and part cheque). In some circumstances a transaction
{e.g. savings account deposit) can require settlement in its
own right irrespective of other transactions in the customer
session. In addition, EPOS will enforce a set rules for a
transaction which will determine the MoPs allowed for that
transaction.
8. EPOSS will allow the introduction of new types of MoP by
implementing the MoPs in a generic manner similar to other
products/transactions. As such, EPOSS will allow new MoPs to
be introduced dynamically via reference data and applets.
9, EPOSS will support multiple simultaneous customer sessions
at the same counter position. It will allow a customer session
to be suspended and resumed as required. When one or more
customer sessions are suspended the clerk can continue to start
and end further sessions for other customers.
10. EPOSS will provide a Void (or cancel) facility for the
current customer session. Some transactions in the session may
not be “voidable” due to accounting or business rules.
11. EPOSS will allow reversals and refunds. These operations
will only be possible if POCcL and Client accounting and
business rules allow them.
12. EPOSS will support primary products with associated
mandatory and optional products. For example, the £1.00 postal
order product will have an associated 25p postal order fee
product, or the association of a product representing the
notional value of an MVL disc for accounting purposes. EPOSS
will support the linking of as many associated products to a
primary product as is appropriate.
EPOSS will support cross-selling in the form of messages and
prompts associated with selected products. For example, the
selling of theatre tickets could prompt the question: “And how
are you travelling there, sir/madam?” which could result in the
sale of a bus or rail ticket.
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13. EPOSS will have the facility to read data from alli the
input devices (and their storage media) that are part of the
OPS.
14. EPOSS will allow the manual entry of weight values where
the scales are not linked. In fact, EPOSS will allow manual
entry of any information that is normally captured via a
peripheral to cater for the cases where the peripheral is not
connected, or has failed, or is unable to read for other
reasons (e.g. illegibility).
15. EPOSS will support the introduction of new Client
services. These will be integrated into the EPOSS product set
so that they can be invoked by the appropriate event.
In most cases the introduction of a new product will be
achieved through the distribution of reference data updates via
TMS. In addition to reference data updates functionality can
be introduced dynamically using revised versions of EPOSS {or
APS) (and again these can distributed via TMS).
Pathway Comment
None
Reference No 826
Pathway Response
The Pathway solution for OPS is based around a PC configuration
at each counter position. Each PC will have a number of spare
RS232 ports and these may be used for the connection of future
peripherals. Connection to Avery-Berkel Parcel Scales has
already been demonstrated,
Pathway confirms that the OPS will be capable of connecting to
specialist peripherals which support dual connection. The
capability for such peripherals to be dual connected is
primarily a function of the design of the peripheral, its
physical connections and supporting firmware.
Access to these peripherals will be restricted to those counter
PC's which are suitably configured.
Pathway Comment
None
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Reference No 827
Pathway Response
1. The overall Pathway solution can be developed to provide
support for a variety of authorisation methods including stop
lists, go lists and other forms of authorisation in support of
future POCL Products. Detailed discussion would be required
with POCL and/or the Client on the form of such authorisation
processes and the precise maintenance and usage of all
supporting data.
Where such products exploit the “nominated post office”
relationship between a customer and a specific post office the
design of any authorisation process would seek to hold such
data locally to reduce network costs and optimise transaction
times.
2. The Pathway solution can support links to external
computer systems. Such links are already in existence and are
achieved through the use of a service specific TMS agent.
Pathway Comment
None
Reference No 828
Pathway Response
Pathway confirms that it will maintain the confidentiality,
integrity, validity and completeness of data throughout all
storage, processes and transmissions, including during periods
of service failure and recovery from service failure.
The techniques that have been proposed by Pathway in particular
circumstances, include physical and personal security measures,
file integrity checking, data encryption, digital signatures,
CRC checking, disk encryption, systems design for selective
management and visibility of data.
Pathway Comment
None
Reference No 829
Pathway Response
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Pathway confirms that it will ensure that all relevant
information produced at the request of POCL shall be
evidentially admissible and capable of certification in
accordance with the Police and Criminal Evidence Act (PACE)
1984 and the Police and Criminal Evidence (Northern Ireland)
Order 1989 and equivalent legislation covering Scotland.
Pathway confirms that at the direction of POCL and subject to
reasonable regard to the data volumes and storage durations
incurred, audit trail and other information necessary to
support live investigations and prosecutions will be retained
for the duration of the investigation and prosecution
irrespective of the normal retention period of that
information.
Reference No 830
Pathway Response
1 Contingency plans
Pathway will, in co-operation with POCL establish comprehensive
plans that:
will ensure that all POCL Services are supported by
contingency plans, including where appropriate, fallback
transactions, that will minimise or negate the impact of
failure in any part of the POCL Services
will ensure that such plans are compatible with an overall
service continuity framework
are based on impact and risk assessments agreed between
Pathway and POCL
identify ownership of all plans
include activation procedures and time periods within which
contingency measures will be activated
include a testing strategy for both initial testing on
implementation and deployment and for regular testing during
normal ongoing operations
include:
prevention measures
preparedness measures
contingency measures
recovery of normal service
change control procedures
contact lists
service levels including contractor liability per associated
agreements
be subject to joint review by Pathway and POCL
+e ek ee
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Pathway Comment
fhe Business Continuity Framework will be introduced as a
contract controlled document.
Reference No 831
Pathway Response
Reference is made to Interface Specification, POCL Interface
Requirements for BA/POCL System.
PATHWAY SOLUTION:
Pathway will develop the necessary systems and operational
processes to support the interfaces as specified in this
requirement and the POCL Interface document.
Pathway assumes that subject to the comments made below this
document will form the basis of the Contract. Following
Contract award it will become subject to joint change control
between POCL and Pathway.
Pathway recognises from section 1.2.2 of the POCL Interface
document that further functionality may be required and will be
pleased to discuss the necessary operational and commercial
implications as details become known.
The development and implementation of POCL interfaces will
principally take the form of TMS Agents that act upon
transactions originated within the Outlets or which receive
transactions or data from POCL or Client systems.
Transactions from Outlets will be generated as a part of the
counter application (e.g. AP, OBCS, LPS).
The detailed formats of all interfaces will be agreed with
POCL. Pathway notes the requirement in section 2.1.2 and D5
of the POCL Interface document that the ARTS model will be
used where applicable as the standard for record interfaces.
Specific Interface support
1. Logistics Feeder Service (LFS) to/from Outlets via TMS
Interfaces will be provided in accordance with "LFS to SAPADS
and SAPADS to LPS Application Interface Specification” (POCL
reference JED/LFS/007).
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2. Transaction Information System (TIP) system interfaces
from TMS and outlets.
Interfaces will be provided in accordance with Pathway to TIP
Application Interface Specification
3. POCL Reference Data system interfaces to TMS and outlets
Interfaces will be provided in accordance with Reference Data
to Pathway (Reference Data Project Application Interface
Specification) and Application Interface Specification
Reference Data to Pathway Non-Automated Type B Data.
4. Interfaces between outlets (via TMS) and POCL Clients
Interfaces will be provided in accordance with Pathway to HAPS
Interface Specification. Interfaces will be provided in
accordance with AP Client Specifications in respect of
individual AP Clients when these are agreed.
5. TIP/TMS interface for authorisation data
The capability for POCL to effect reconciliation between itself
and its clients is provided by the TMS outputs to TIP as
specified in Pathway to TIP Application Interface
Specification.
Pathway notes the exclusions both in requirement 831 and the
POCL Interface document.
From requirement 831
EFTPOS (although stated as not part of the initial
procurement Pathway notes the terms of requirement 692).
Reconciliation and exception reporting. Reports will be
provided in accordance with Specification for APS
Reconciliation Reports (APS) and Pathway to TIP Application
Interface Specification.
Operational management information.
Inspection of transaction and event logs for audit and
security purposes.
Transitional arrangements in relation to the automated
payments/ALPS host. Automated Payments: Pathway will provide
interfaces in accordance with Pathway to HAPS Interface
Specification. ALPS host: Requirement 899 specifies that the
stop lists for OBCS will be transferred from DSS to TMS;
Pathway will provide interfaces in accordance with DSS Client
Interface Specification \ OBCS.
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Transitional arrangements for cash account processing.
Pathway will provide facilities in accordance with Service
Architecture Design Document Section 4.1.3.3.4.
From the POCL Interface document (where not stated in
veguirement 831)
File and message switching interfaces. These are covered in
requirements 471 and 478.
Pathway confirms that all interfaces will be agreed with POcL
and notes that the associated specifications are subject to
change.
Pathway Comment
None
Reference No 832
Pathway Response
The automation of transaction processing at the counter will
allow the following business processes:
1) The data captured at the Outlet will be complete and
accurate within the context of the activity being recorded.
For example, transaction data will include information which
uniquely identifies each transaction.
2) The transfer of data will be handled by the TMS/Journaling
middleware. It will ensure that the data transfer is secure,
complete, accurate and robust.
3) EPOSS will provide validation of transaction data for both
format and content. Validation of the format of data will
normally be handled at the data entry level by the EPpOSss
Desktop using information from the product definition reference
data. EPOSS will also support the validation of the content of
the data in on-line and off-line operation.
4) EPOSS will record transactions and events in a way that is
resistant to tampering. In the event of fraud, this
information will be used to establish that the POCL Service was
operating as intended.
5) EPOSS will support transactions which force the printing of
a customer receipt. A copy of the receipt will be printed for
retention in the Outlet. All of the transaction details will
be recorded in the journal and these can also be used for the
resolution of problems.
6) The Outlet, stock unit, and user will be all be identified
when recording transactions and any activities involving cash
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and value stock. This will enable accountability to be
maintained for the handling of cash, value stock and
transaction documentation.
7) EPOSS will record a complete set of transactions for a
customer session at the point of sale. This will include all
methods of payment.
8) EPOSS will implement a tiered level of access control. Each
function will have an associated access level and the user will
require a corresponding (or better) privilege level to access
the facility. Combined with the user logon requirement, this
will provide a controlled environment for all users of the
system. EPOSS will also provide the facility for an authorised
user to maintain information about the users. This facility
will allow the introduction of new users, the modification of
user attributes (including password and privilege level), the
deletion of users, and the suspension of a user’s access to the
system. There will be a similar facility for stock units
8) The TMS/Journaling middleware will provide transparent data
replication within the Outlet and transmission to TMS. This
will provide a robust environment for Outlets with two or more
counter positions. For Outlets with a single counter position
EPOSS will augment the transmission to TMS with transparent
replication of data to an auxiliary storage device (e.g.
diskette drive). Recovery will also be free of operator
intervention, EPOSS will rebuild the system using the data
from TMS and will augment this with information from the
auxiliary storage device. The process described above removes
the need for staff to perform back ups.
10) Each user, counter position and counter equipment device
will be uniquely defined within the Outlet.
11) EPOSS will allow each stock unit to be balanced as often as
is required within a cash account week. Balancing will involve
the reconciliation of transaction data, cash and stock
movements against the actual cash and stock held. The
balancing process will provide the opportunity for review and
amendment before final review and authorisation.
12) Transaction data will be transmitted to TMS in a timely and
efficient manner using a secure method.
13) Transaction data that has not been transmitted to TMS will
be clearly identifiable.
14) A recorded transaction will be reconcilable against any
supporting vouchers (i.e. stubs, forms, counterfoils) generated
er collected during the transaction. Where necessary the
vouchers will be made available for central processing and
validation. :
15) EPOSS will maintain an up-to-date record of each stock
unit‘s contents. It will provide facilities to report the
current balance position of each steck unit. It will algo
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provide an instant office snapshot facility which will provide
a view of the last known office balance position on demand.
16) All movements of cash, stock and other items will be
recorded and clearly identified. See responses to requirements
691, 807 and 822.
17) EPOSS will produce all specified summaries when required.
If required, summaries will contain only those transactions not
already summarised. The process will take into account the
client cut-off's such that transactions already reported and
despatched prior to the cut-off are not included on subsequent
summaries.
18) EPOSS will support and identify items posted to suspense
accounts.
19) Pathway will ensure that the system complies with all the
appropriate legislation.
26) The Outlet will continue to operate using the fallback
procedures following a system failure. This will include the
manual recording of all events and transactions, and this can
be considered to be an “audit trail”. On recovery, the system
will record the fact that the system failure took place, and
any events (such as transaction entry) which are part of the
recovery process will be identified as such.
Pathway Comment
None
Reference No 833
Pathway Response
EPOSS will support a training mode. It will support “trainee”
users and “training stock units”. Operations on training stock
units and any associated transactions will be recorded.
Balancing of training stock units will be permitted but this
information will be excluded from the office balancing and
accounting process.
Pathway Comment
None
Reference No 834
Pathway Response
1. Adequate Contingency
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The Pathway solution and supporting services provide
comprehensive contingency arrangements for all outlets. These
include :-
A distributed design which insulates the majority of counter
transactions from any failures external to the Outlet.
Comprehensive help desk support to provide OBCS transaction
authorisation where an Outlet is out of action.
Highly resilient designs for TMS, including multiple servers
and resilient local and wide area networks.
Transition of a post office will be undertaken on a “whole
office” basis and will be capable of being performed at any
point during the weekly cash account cycle. The sooner after
the weekly cash account is struck the less the retrospective
re-application of transactions will be required, whether this
re-application is manual or automated.
Because of this approach, contingency during transition of a
post office dees not represent a discrete requirement.
Facilities will be provided to enable information from offices
with ECCO+, Capture, PO Balancer (and similar programs) to be
extracted, converted and used as part of the automation
initialisation process. The automated migration of such data
will be implemented if sufficient information is available
about its storage and the number of offices affected is large
enough to warrant the creation of the appropriate migration
software.
The extraction of data from the office’s existing systems will
be carried out in a non-intrusive manner such that the
integrity of the systems being replaced will not be is not
compromised and will be available for live use until the
manager is satisfied that the new system has been adequately
established. In particular systems will permit more than one
migration sequence to be attempted such that a failed attempt
does not compromise the live system.
It is envisaged that all cash account products will be
“transactable” (in at least a minimum form) as soon as the
office EPOSS automation is operational.
2. Implementation of parent and satellite offices
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The roll-out plan will be agreed with POCL and will take
account of relationships between Outlets (e.g.
parent/satellite).
Where a post office is automated prior to one or more of its
associated satellite offices it will be provided with a
facility for the entry of paper-based information received from
the non-automated satellite offices.
Where a satellite office is automated prior to its parent
office it will be provided with a facility to produce paper-
based reports for its parent office.
3. Plain Paper Summaries
Each Outlet will be equipped with a back-office printer capable
of producing plain paper summaries. The content of these
summaries will require discussion and agreement with POCL.
4. 2-D barcodes
Each Outlet will have the ability to print a 2-D bar code on
the plain paper summary. the content of the barcode will
require discussion and agreement with POCL.
Pathway Comment
None
Reference No 835
Pathway Response
1. Benefits encashment and other Automated products will be
integrated into the EPOSS Desktop and will utilise its customer
session management and transaction recording facilities such
that:
a) The EPOSS Desktop will automatically record the transaction
details.
b) A local transaction record will be stored for summarisation
and balancing.
c) The information recorded locally will be consistent with the
information provided (via TMS) to other systems.
a} Transaction times will be minimised. The transaction
application will be invoked automatically on the peripheral
device read event. Transaction data will be obtained during
the device read such that manual data entry is reduced.
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2. EPOSS will support the provision of transaction summaries
for comparison with other records. It will provide summaries
showing detail and totals for the following items:
a) motor vehicle tax discs on hand;
b) milk tokens on hand;
c) cheques;
3. Summaries will be enhanced in the process of automating
transactions to show information about items issued, held,
received, returned and spoiled. Individual serial numbers will
be included where appropriate.
Pathway Comment
None
Reference No 836
Pathway Response
1. Pathway will investigate and assess the level of
integration that can be achieved between the CRISP system and
EPOSS. In the case where the CRISP system is truly standalone
it ais anticipated that the sharing of information will be
achieved via file or communications media. If the CRISP system
is to coexist with EPOSS on the same windows NT platform then
integration will take the form of sharing data via OLE
automation,
2. There is a very broad range of secondary businesses run by
Agents in post office Outlets. This means that it is probably
not a good approach to attempt to cater for every type of
business as an integral part of EPOSS. The facility will be
provided to allow appropriate applications for other business
to coexist with EPOSS on the same Windows NT platform.
Transactions from these applications will be identifiable as
separate from EPOSS transactions particularly with respect to
accounting procedures.
3. The information recorded for each transaction will be
dependent on the transaction itself. In general, it will
include the following:
a) Outlet, clerk, and counter position.
b) Date and time.
c) Unique Product Identifier.
dad} Value.
e) Quantity.
£) Product, client and/or scheme reference codes (it
applicable)
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g) Various customer details (if applicable)
h) Methods of payment. In many cases the settlement will be
applied to the whole customer session rather than individual
transactions.
4. EPOSS will support the introduction of new Client
services. These will be integrated into the EPOSS product set
so that they can be invoked by the appropriate event. In most
cases the introduction of a new product will be achieved
through the distribution of reference data updates via TMS. In
addition to reference data updates, functionality can he
intreduced dynamically using applets {and again these can
distributed via TMS).
Pathway Comment
We should beware increasing the complexity and therefore the
cost of EPOSS to all post offices for the benefit of just a
small number of post shops. At present the contractor has very
little information on the CRISP system (2 pages in the SSR) and
this is not sufficient to formulate a specific response to the
requirement. Pathway would like to discuss the CRISP
requirement with the Programme to take this forward.
Reference No 837
Pathway Response
1. EPOSS will support the production of the following
predefined reports:
a) Transaction level reports by stock unit printed on clients’
stationery using the counter printer or, if the physical size
or layout of the stationery demands it, the A4 Outlet printer.
6) Transaction level reports by stock unit printed on plain
paper using the counter printer or, if the physical size or
layout demands it, the A4 Outlet printer.
c) Reports on the current level of value stock products by
stock unit.
d) Reports of transaction volumes and values.
e) EPOSS will produce cash account reports.
£) Reconciliation reports.
g) Reports on cash and value stock movements.
h) Ad-hoc MIS reports as agreed with POCL.
2. EPOSS will support the printing of reports in accordance
with POCL and Client requirements on frequency subject to the
capacity of the printer provided. The printing or output of
reports will be at the users discretion. Client reports will
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be produced on a daily and weekly basis and it where
appropriate the facility will be provided to print several
weekly reports within a accounting period.
Pathway Comment
The contents of these reports will be defined in the ccp
entitled “Horizon OPS Reports and Receipts - ICL Pathway
Horizon Office Platform Service”.
Reference No 838
Pathway Response
1. EPOSS will allow the entry of additional information
associated with transactions. It will permit some of this
information to be entered at a later time. EPOSS will not
permit information to be entered which will compromise the
integrity of any balancing or accounting processes. EPOSS will
support the post-event entry of transaction information such as
the weekly total of inland parcels posted as prepaid by
franking meter label.
2. EPOSS will support the entry of data for transactions
(including local schemes) where only the volume is recorded for
accounting purposes.
Pathway Comment
None
Reference No 839
Pathway Response
EPOSS will provide retail functionality similar to that used in
PostShops. This will be available for delivery at a later date
to be agreed with POCL. The retail functionality will:
support the existing post shop products
be extendible to allow for the introduction of new retail
products and other changes in the product range
allow retail items to be mixed with non-retail transactions
at the counter within the same customer session
record the sale of each retail product as a separate
transaction against the user and the stock unit
support price (and other information) lookup for retail
products
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adjust the office retail stock levels in real-time in
response to receipt, return and selling of retail items.
allow office stock level interrogation on demand
support a weekly office “stock-take” activity
reconcile retail transactions as a single line entry in the
Receipts table in the stock unit balance, office balance and
the cash account
It is understood (from Req 836) that the integration of the
CRISP system used in PostShops and the EPOSS system will be
assessed. EPOSS will also endeavour to provide the type of
retail functionality which will support the following:
a) Till functionality.
b) Discounting.
c) Coupon management .
d) Multibuys.
e) Promotions.
f£) Marketing.
g) Reporting.
Note
The retail product set is considered to be separate from the
stock unit product set and will be maintained and accounted for
on an office wide basis.
Pathway Comment
We should beware increasing the complexity and therefore the
cost of EPOSS to all post offices for the benefit of just a
small number of post shops. At present the contractor has very
little information on the CRISP system (2 pages in the SSR) and
this is not sufficient to formulate a specific response to the
requirement. Pathway would like to discuss the CRISP
requirement with the Programme to take this forward.
Reference No 869
Pathway Response
1. Pathway notes that POCL are not concerned with the
performance of individual subsystems per se, but that their
primary concern is with the overall performance of the service
as it impacts upon their own systems, clients staff, agents and
customers. Pathway notes that targets for the level of
internal performance between its subsystems will therefore not
be set by POCL , but that internal subsystem performance will
be judged by POCL as it affects overall service performance.
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2. Pathway will specify the internal performance requirements
of any subsystem that is re-tendered. Pathway will maintain
and report actual measured performance for TMS in respect of
its interfaces with other subsystems.
3. Pathway will specify the performance requirements and
tolerances for
3.1 Hours of operation of the TMS
3.2 Response time required between TMS and OPS
3.3 The number of outages of TMS, identifying types of
outage monitored
3.4 The availability of TMS.
4. Pathway confirms it will report against all the
requirements and tolerances identified in (3) above.
5. Pathway will maintain detailed technical documentation of
the interfaces from TMS to, OPS and all attachable computer
systems. In the event of any changes to any interface to TMS,
this will be notified to POCL in advance with updates to
technical documentation made within 10 working days of the
change being implemented.
Pathway Comment
None.
Reference No 870
Pathway Response
1. EPOSS will be implemented such that it operates
efficiently and accurately with the minimum of user interaction
with the keyboard and other devices. It will endeavour to
reduce the transaction times wherever possible such that the
serving of a customer is not slowed down overall. The system
response to peripheral input will be maintained at an
acceptable level.
2. EPOSS will provide summarisation and balancing facilities
in an efficient manner so as to avoid unnecessary re-processing
due to data adjustments.
3. Normally, EPOSS will record the time of completion for
each transaction. This means that the time from the end of one
transaction to the end of the next can be measured. EPOSS will
also record the beginning of a customer session as the point
where the first transaction is invoked. Whilst this does not
provide a strictly accurate measure of transaction time it can
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used for simple analysis. It is recommended that the analysis
of transaction times be carried out centrally using information
extracted from TMS. This will allow transaction times to be
compared across Outlets so that averages, trends and
substantial performance deviations can be reported.
If a higher level of detail is required then mechanisms can be
implemented to capture all recordable user and system events
(device input/output, keystrokes etc.). It is recommended that
this is type of mechanism is only used on a temporary basis for
monitoring purposes.
4. EPOSS will perform transactions in a predictable and
consistent manner such that the elapsed time from invocation to
completion for the same transaction (i.e. same type, similar
data entry, similar office size and office load conditions)
does not vary to a statistically significant extent. Where the
transaction time does not meet this criteria then Pathway and
POCL will investigate and agree an appropriate course of
action.
Pathway Comment
None.
Reference No 871
Pathway Response
1. EPOSS will be implemented such that the version of any
reference data being referenced from outlets will be the latest
applicable version of such reference data. The version of such
reference data will be considered fully updated when all
applicable updates have been applied. If one day’s worth of
updates have not been applied then the version will be deemed
to be one day behind and so on.
2. Transaction data will normally be forwarded to POCL
central systems (e.g. TIP) soon after the completion of the
business day on which the transactions occurred as part of one
or more batch communications transmissions. Transaction data
not available for the first transmission will be included in a
subsequent transmission.
Data which is included in the first batch transmission to take
place after the time of the completion of the business day will
be deemed to be in the first batch transmission and so on.
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3. Batch transmission times will be agreed for each POCL
central system, but will not be scheduled to complete before
0430 on the morning of the day following the business day in
question.
Service levels for the above will be as described in Schedule
Fos.
Pathway Comment
It will be necessary to define the time or times when the
business day is deemed to end.
It will be necessary to define the start and finish times for
the first, second and third transmission windows.
Pathway notes that the definition of transmission of batched
transaction data does not anticipate transmission to commence
before the end of the business day in which the transactions
eccurred.
Where an outlet does not report end of day by the time the
latest time for this signal then Pathway will compile the
transaction record on the basis that end of day was signalled
at that time. It will be necessary to define the time or times
for the signal which may or may not be the same as end of
business day.
Reference No 880
Pathway Response
Transaction data from the Outlets and sent to TIP via TMS will
follow the specifications defined in the TIP Applications
Interface Specification.
Pathway Comment
None.
Reference No 890
Pathway Response
1. AP transactions
All transactions that take place in an Outlet will be
automatically and securely replicated to TMS throughout the
day. Transactions, once committed locally as part of a
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customer session, will be immediately replicated to any other
counter position PCs in the outlet and periodically to central
servers in TMS. Each transaction will have a unique and
increasing sequence number and TMS facilities ensure that
transactions cannot be replicated out of sequence.
The end of day process in each Outlet will transmit any
remaining transactions, any end of day control totals and an
end of day marker.
TMS Agents will extract information from the central TMS
journal and prepare the files (including transaction and value
totals) for subsequent dispatch to POCL and their Clients. Any
outlets for which an end of day marker has not been received
will be identified and investigated.
2. POCL and Client synchronisation
It is anticipated that the AP datafiles will be accumulated
during the day by the TMS Agent and that the files for POCL
(i.e. for TIP or equivalent) will be generated following Outlet
closures.
Transactions for POCL Clients (e.g. AP Clients) and for POCL
are all derived from the same source data (in TMS) and will
therefore be consistent. File dispatch to POCL and PoOcL
Clients will be determined by the operational windows agreed
with these parties but will always occur at least once every 24
hour period.
The agents which extract and transmit TMS data to Clients and
TIP act independently and can access the same source data
simultaneously. This ensures that the data received by TIP is
entirely consistent with the data transmitted to the clients.
In addition to the Outlets’ Transaction records, Client cut-off
records will be transmitted to TMS from Outlets (by Stock Unit
and by Balancing Period). The Client cut-off records will
indicate the despatch of foils, stubs and vouchers to the
appropriate processing centre. These Client cut-off records can
be used to control the extraction and transmission of TMS data
by the agents.
Pathway Comment
None
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Reference No 891
Pathway Response
1. General requirements
1.1 Pathway will ensure that all captured data (that is inward
data across service interfaces) is complete, and accurately
reflected in the appropriate outward interfaces. These
specifically to include:
transaction data of all transaction types and modes including
stock and money levels
reference data changes, both local (from an individual
outlet} and from POCL Reference Data System except for any
transient arrangements
such data consistency will be maintained at the levels of
interface and across interfaces according to requirement, e.g.
data captured in EPOSS is accurately reflected in the interface
between OPS and TMS
1.2 Pathway will provide for the synchronisation of data flows
and storage, by applying timing data (date and time stamps) and
time sentinels (end of day records) as appropriate. This
specifically to include:
monitoring data transfers and accounting for data brought
forward, received, passed on and carried forward across the
service boundaries
monitoring data transfers and accounting for data across
interfaces internal to Pathway
for example, EPOSS transaction data transferred to TMS and
subsequently transferred to TIP
where a single data stream is “switched” to more than one
recipient, Pathway will reconcile or eliminate any differences
due to timing between transfers, providing information to each
recipient such that they can reconcile with other recipients of
the same data even though such recipients may process the data
at different times and frequencies
for example, POCL will require (at least) daily volume and
value totals of APS transactions sent to its clients, such that
POCL may reconcile these against the daily volume and value
totals sent to TIP.
1.3 Pathway will ensure that data is consistent between the
levels where transaction or stock and money level data is held,
maintained or transferred at more than one level. This
specifically to include:
transaction data at summary and individual item level
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It should be noted that the Pathway solution maintains
transaction data in its original, non-updated and most finely
divided form within TMS both at the post office and
correspondence server layers, and that all derivations are from
this invariant base.
1.4 Pathway will perform daily cut-over reconciliations for
any on-line interfaces with external systems, for example
between TMS and any EFTPOS merchant acquirer. In particular,
interfaces with POCL clients which transfer data up to declared
cut off points will contain reconciliation data to check that
the data received corresponds with that sent.
1.5 Pathway will report reconciliation results to POCL
including any reconciliation exceptions. Reconciliation
exceptions will be held in a Reconciliation Exception Database
(RED) and the progress to resolution of each outstanding
exception will be reported to POCL. These to include
reconciliation results:
between Pathway and POCL
between Pathway and other external interfaces (e.g. POCL
clients) to enable POCL to maintain its commercial
relationships
between Pathway internal service components (to inform/assure
POCL on the status of the Pathway system and service)
1.6 Pathway shall apply appropriate integrity controls at all
interfaces and provide information demonstrating integrity.
For interfaces that are already in place integrity controls
shall be as specified in the document titled “POCL Interface
Requirements for BA/POCL System, version 1.6, dated 16 April
1996”. For new interfaces such integrity controls shall be
agreed through a process which is defined in the documents
Business Requirements Definition (reference PA/STD/003) and New
Service Introduction (reference PA/PRO/007).
i.7a Pathway will control the implementation of configuration
changes, including changes to reference data. This to include:
checking and reporting the implementation of changes against
instruction
maintaining the integrity of other reconciliation processes
across configuration changes, including demonstrating this in
testing
1.7b Pathway will meet all reconciliation requirements in
contingency situations as well as in normal working.
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1.8 Targets for all reconciliation requirements are:
full reconciliation with 100% of items accounted for
provision of reconciliation reports identifying
reconciliation totals at summary level and RED reports for
reconciliation exceptions at detailed levels, for example at
transaction level for transaction data
Pathway will resolve any reconciliation exceptions produced
by its reconciliation processes
Pathway will provide reconciliation reports at summary level
and identification of reconciliation exceptions to POCL by 9 am
of the day following that in which the reconciliation exception
occurred
Pathway will use all reasonable endeavours to resolve
reconciliation exceptions promptly
For APS, this is described within Pathway document CR/SPE/005
“Specification for APS Reconciliation Reports - for Release
NR2". There is no reconciliation for OBCS.
2. Post Office Outlet Reconciliation Requirements
2.1 Pathway will ensure that stock and money levels are
reconciled with transaction data. This will be:
at the transaction level
at the customer session level
at the stock unit level
at the outlet level
Note: the requirements for balancing within an office are
defined in the EPOSS requirements, those for stock and money
movements between offices will be reconciled by the PpochL
Inventory Management System using data provided to it from
EPOSS via TMS.
2.2 Pathway will provide the fundamental controls for stock
and money brought and carried forward, transaction data and
transfers to/from suspense as detailed in the EPOSS
requirements as well as facilities to allow permitted reversals
and rectifications. Such controls will be available in
fallback or recovery after failures.
2.3 The reconciliation of stock and money for transactions
will be, in effect, instantaneous, with a record of the levels
of stock and money within a stock unit being maintained as the
transaction is committed.
3. TMS reconciliation requirements
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3.1 Pathway will maintain controls on operations including
connection to and loss of communications with off:ces or with
other POCL Service components to alert Pathway operational
management to situations and/or events requiring its attention.
3.2 Pathway will apply controls on file and data transfers at
all technical levels and, using relevant counts and financial
totals, at business levels. Pathway notes that POCL will rely
on information provided via TMS interfaces to its TIP and IM
systems for reconciliation and control of various office
business processes.
3.3 Pathway will ensure that information provided to POCL via
TIP makes explicit what transaction data has been sent to its
clients.
4, Commercial reconciliation requirements
4.1 Pathway will provide information to enable reconciliation
of POCL Services provided by Pathway with charges made by
Pathway.
4.2 Pathway will act, and be seen to act, as an agent for POCL
in reconciliations with other parties, and provide the
necessary information for it to exert appropriate management
control over operations performed on its behalf:
Pathway will undertake the operational aspects and take
responsibilities as each defined in the Contract
Pathway will ensure that the commercial relationships between
POCL and third parties are not compromised.
Pathway Comment
None
Reference No 894
Pathway Response
1. Pathway’s Management Information System (MIS) will capture
the data necessary to facilitate effective contract and service
management. It will employ exception reporting for business
performance and monitoring reviews.
1.1 Contractual information presented via the business review
route will embrace:
a) Service Level Performance (by event, priority,
classification and type)
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b) Service Delivery Analysis (by product, function,
outlet and role)
c) Contractual Alerts and Escalations (by Red, Orange and
Amber classification)
d) Systems Operation (by type, performance and
availability).
1.2 Information relating to business reviews will be analysed
via exception reporting during the life of the event. Where
this relates to alerts and escalations it will be supplemented
by a declared owning problem/project manager. Critical
dependent systems will be subject to full SLA monitoring and
reporting via the review forum.
2. Requests by POCL for information during the life of the
contract, and relating to service management of the contract,
will be handled and processed in an effective and efficient
manner. Formal requests for information will be via the
business review route and delivered against pre-declared agenda
requirements. Please note that Pathway does not commit to
providing an MIS service after the life of the contract unless
provision for this is explicitly made within the Contract.
2.1 Special and ad-hoc information needs would have to be
fully understood and sized before contractual commitment can be
made. The scope, volume, timing and frequency of such requests
would be part of the task activity before such commitment.
Currently this is neither defined or qualified.
3. Pathway will provide information that would facilitate
infrastructure activities by POCL in matters embracing
resource, network and productivity. Where these topics are an
integral part of service delivery events they will
automatically be included in the business review forum.
Additional or supplementary requests would fall under the
criteria of paragraph 2.1 above.
3.1 Data will be available that enables service analysis
against the key attributes of POCL outlets. Flexibility will
be maintained by making data organisationally independent. Thus
any organisational based information will be defined and
qualified by construct at the time of information search
enquiries.
4, Pathway will, via the review forum, provide service
delivery information that would facilitate extrapolation for
marketing planning activity. Full trend and plan projections
against forecasts and budget could result. Pathway EIS would be
an enabler for the task but not a deliverer of it; limited by
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current defined requirements. Future needs, by definition, are
not known.
Pathway Comm
1. 1 caveat at section 2 relating to MIS service after
the life of the Contract. What would be the commercial basis of
a service “after contract’?
2. There are one or two areas where apparently “open ended”
commitments have been requested.
Reference No 895
Pathway Response
The POCL Service Architecture will be capable of monitoring
irregular encashments and reporting on them. Information will
be shared with POCL Audit/Security/Operations when it relates
to an Outlet in relation to the following pattern.
1. Daily reports of Transactions at a non-live Outlet i.e. one
reported to the Contractor as temporarily out of commission
Reference No 896
Pathway Response
Pathway will develop an electronic publishing and
communications strategy jointly with POCL to establish the
business requirements and feasibility.
You will see by reference to our response to requirement 471,
that at first sight that electronic information is not cost
effective and does not meet requirements for fallback operation
or for situations when staff will wish take paper documentation
home to read in their leisure time.
Pathway Comment.
None
Reference No 898
Pathway Response
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on the current ESNS in use in ALPS post offices.
1 OBCS will be implemented using TMS and OPS and will based
2. The implementation of OBCS will comply with the Horizon
OPS Style Guide.
3. Horizon System Helpdesk support will be provided to all
users of OBCS,
4. OBCS will be available at every counter position in every
automated outlet, at which OBCS is required, during the normal
opening hours of that outlet.
Pathway Comment
None
Reference No 899
Pathway Response
1. Lecal Stop List proposal
Pathway propose that a local stop list strategy be adopted in
order that the risks and costs associated with maintaining and
accessing the entire stop list at every outlet are removed.
Each post office will have a local stop list. Foreign Order
Book encashments will be checked against remote stop lists
accessible via TMS.
For a full description of the manner in which Stop Lists will
be maintained see Service Architecture Design Document, Section
4.1.4.2.2.
2. Pathway understand that the maximum size of the stop list
will be 1.5 million entries.
3. Pathway understand that the maximum size of a stop list
update will normally be 100,000 entries. The Pathway solution
for the OBCS stop list is not as sensitive to the size of the
stop list as other solutions, such as that used by ESNS.
Pathway would require notification if POCL expected the stop
list update size to exceed 100,000 entries.
4, Pathway understand that a null content file may be sent
comprising solely of header and footer records.
Pathway Comment
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In proposing this solution to OBCS Pathway have adopted an
approach which exploits the distributed architecture of OPS and
in addition minimises the volume of data transfer and local
processing.
Reference No 900
Pathway Response
The functionality required of OBCS will be provided in a local
counter application which will run on OPS and will conform to
the same technical architecture as other OPS supported counter
applications.
The Pathway OBCS application will provide a facility to deal
with barcoded order books presented for payment for encashment
of benefits at automated outlets.
For a full description of the manner in which Order Books will
be processed see Service Architecture Design Document, Section
4.1.4.2.3.
Pathway Comment
None.
Reference No 901
Pathway Response
1. When an order book with no barcode is presented for
encashment OBCS will prompt the clerk to enter the number of
vouchers to be encashed. A default of one (1) will be
presented which the clerk can override.
2. As part of the end of day process, each outlet will
calculate the number of vouchers encashed for non-barcoded
order books. This will be replicated to central TMS which in
turn will return this information to DSS.
3. This information will be supplied in accordance with the
DSS Client Interface Specification \ OBCS
Pathway Comment
None.
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Reference No 902
Pathway Response
The Service Levels will be as described in Schedule H08.
Pathway Comment
None.
Reference No $03
Pathway Response
The Service Levels will be as described in Schedule H08.
Pathway Comment
None
Reference No 905
Pathway Response
The Pathway solution for the OPS system includes a facility for
linking associated services and product offerings with any
particular transaction type, such that the User is prompted to
offer customers such services at the time of transaction.
The extent of such additional services to be provided will be
agreed with POCL.
Pathway will accept full responsibility for the accuracy and
integrity of data supplied to the User through the OPS. The
accuracy and integrity of product information and data supplied
by POCL and faithfully represented to the User by the OPS shall
be POCL’s responsibility and liability.
Pathway Comment
None
Reference No 906
Pathway Response
Pathway's roll-out strategy is based upon a geographic area-by-
area approach.
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Pathway's implementation programme effects delivery and
installation of counter equipment on the same day unless
specifically requested otherwise. This may be the case for
example in large offices where we understand that a weekend
installation is preferred.
Referring to the text of the requirement, it should be noted
that we have not interpreted “new" terminals to mean "unused"
terminals. Pathway may supply equipment which has been used in
other post offices, particularly in the case of office
relocation, upgrade or other changes.
Pathway confirms that Installation covers physical placement,
connection to the system and testing.
Pathway Comment
None
Reference No 911
Pathway Response
Pathway confirms that it will maintain accounting and reporting
integrity across changes in the versions of operating software
and hardware. Such changes will include upgrades or rollbacks
of whole POCL Services or other subsystems, changes to software
and reference data, operating controls and so forth.
This will include implementation of changes to effect rollback
to a previous version, and operation of the whole POCL Service
where parts have been updated or rolled back. Reference data
shall be upgraded or rolled back in step with the objects or
operations to which it refers.
Each transaction will be matched against the version of the
product that was active at the time of the transaction. This
link will be maintained to allow transactions against different
versions of a product to coexist and be correctly accounted
for.
Pathway Comment
None
Reference No 912
Pathway Response
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1 Pathway will arrange for the electrical safety testing of
all of its equipment installed on POCL’s sites enabling POCL
and Postmasters to meet their legal obligations under the
Electricity at Work Regulations 1989.
2 The Regulations
2.1 The Electricity at Work Regulations 1989 are a statutory
instrument arising from the Health and Safety at Work Act 1974.
The purpose of the regulations is ‘to require precautions to be
taken against the risk of death or personal injury from
electricity in work activities’.
2.2 The regulations impose duties on employers in respect of
‘systems, electrical equipment and conductors and in respect of
work activities on or near electrical equipment’.
2.3 To meet the requirements of the regulations, which came
into force on ist April 1990, it is necessary to assess all
electrical equipment, including information technology
equipment, with a view to eliminating possible hazards. In
practice this will usually necessitate a program of recorded
inspections and where appropriate, tests.
2.4 Full and accurate records must be kept, if for no other
reason than the ‘duty holder’ can demonstrate that ‘all
reasonable steps were taken and all due diligence exercised to
avoid the commission of an offence under the Act’.
2.5 The onus for compliance is with the employer, who is
responsible for the correct use of the equipment and the safety
of employees. The regulations define the employer or his
nominated employee(s) as the duty holder.
3 Scope of the service
3.1 The Electricity At Work Inspection And Test Service
enables Pathway’s customers to meet their legal obligations
under the Electricity at Work Regulations 1989.
3.2 The service provides for inspection, test and labelling of
each item of electrical equipment. Full records will be
presented to the customer on completion of the service.
3.3 During the service, the Pathway service deliverer will
carry out the following activities:
Visual inspection of all Pathway installed equipment and
mains cords on the customer site
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Tests systems on the customer site using appropriate tools
and test equipment. Testing of each item is undertaken by
application of the relevant test procedure
Attaches a colour coded sticky label to each item inspected
and tested to indicate success {of inspection and relevant
test) or failure
Replaces faulty detachable mains cords, incorrect value fuses
and damaged plugs
Re-terminates plugs where necessary
Renders inoperative any electrical item which fails the
inspection and test and brings this to the attention of the
customer and arranges for its replacement
Records test results against a unique identifier for each
item
3.4 Once these activities are complete the service deliverer
provides the Postmaster with the test results. Test results
will also be made available to POCL and will be maintained in
Pathway'’s database.
3.5 The service is delivered during normal office hours,
however, Pathway may agree to provide the service outside those
hours on request. The schedule for safety test visits will be
agreed in advance with Postmasters and POCL'’s Service Managers.
3.6 All remedial maintenance work carried out on site will
comply with the standards prescribed and will ensure that the
requirements of the Act continue to be met upon return to
service.
3.7 Pathway will report on the progress of its safety test
schedule at each monthly service review meeting.
Pathway Comment
The regulations apply to all items of electrical equipment on
the site. Pathway will be pleased to quote for the extension of
this service to cover all other electrical items not supplied
by Pathway.
Reference No 913
Pathway Response
1 Introduction
ICL Pathway will provide one paper and one diskette copy of the
PPDs to the POCL Self Service and publishing Team covering all
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automated transactions. This will be suitable for incorporation
by POCL into the Operations Manual.
2 Availability
2.1 The users of the POCL Services are:-
All Outlets, Head Office, Business Centres, Central Services
and Regions (including Regional Helplines) and Retail Network
Managers.
2.2 Other Users
The Operations Manual is despatched and readily accessible to
all users outlined at 2.1. The Operations Manual is in booklet
form and will be available to users at all times.
2.3 Contingency/Disaster Recovery Arrangements
Part of the Operations Manual will contain comprehensive
fallback and recovery procedures needed to perform transactions
in the event of a system failure.
3 Content of User Documentation
POCL will add the clerical procedures to the ICL Pathway
provided automated procedures. To provide a complete set of
operational procedures for staff at Post Offices and other
outlets. This will be subject to POCL Client Managers
approval.
4 Accuracy of Information
ccuracy of content in the existing manual is confirmed by POCL
Client Account Managers and in some cases, Clients prior to
publication and distribution by the POCL Self Service and
Publishing Team. Following receipt from ICL Pathway’s Technical
Authors, POCL Self Service and Publishing Team will interleave
the automated procedures with the current procedures for
approval by POCL Client Account Teams. POCL Self Service and
Publishing Teams will return amendments to ICL Pathway within
an agreed timescale.
5 Design of Document
5.1 Visual Identity
The POCL Self Service & Publishing Team have constructed
templates to accommodate inclusion of the ICL Pathway
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“flowchart” style to the operations manual while ensuring the
POCL Design Application Guidelines and Visual Identity Policy
is maintained. ICL Pathway technical authors will provide the
automated transaction data in the format agreed with the POCL
Self Service and Publishing Team.
5.2 Communications Policy
The POCL Self Service & Publishing Team confirm documentation
produced will conform to the POCL communication policy as
outlined in the “A guide to Head Office Communications Team”
document. The POCL Self Service & Publishing Team will conform
to the POCL Environmental Policy when interleaving ICL Pathway
automated transactions to the operations manual.
6 User Documentation for New Product/Service
6.1 Notification of Requirement by POCL
ICL Pathway expect the majority of planned documentation
changes to be the subject of a Product or Service Introduction
Plan for each new product or POCL Service to be introduced on
to the automated platform. The Product Service introduction
pian will detail timescales needed for production of new
documentation for the automated platform.
6.2 Drafting of Documentation
The final copy of user documentation for a new product or POCL
Service shall be provided to the POCL Self Service & Publishing
team for notification to all system users, initially by the
Counter News medium and subsequently by inclusion in the
operations manual.
6.3 Final Approval by POCL
Final Approval ef all updated user documentation shall he made
a number of days before the implementation of that particular
change, the timescales to be agreed by POCL and the contractor
at the time of agreeing such changes. Por routing additional
and changes approval will be required within 15 days of the
implementation.
6.4 The POCL Self Service & Publishing Team will provide
information of new products and services prior to introduction
via the weekly POCL Counter News operational document which is
currently used for such purposes.
7 Updating User Documentation
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7.1 Planned Changes
Tiel Notification of Changes by POCL
ICL Pathway will be notified of planned changes by the
appropriate authority within POCL in accordance with the
timescales described in paragraph 7.1.1 of the requirement.
This will be carried out in conjunction with POCL Self Service
and Publishing Team. All system users will be provided with a
change notification in the POCL Counter News medium and
subsequent inclusion in the automated operations manual as
appropriate.
7.4.2 ICL Pathway will be notified of final updated user
documentation a number of days before that particular change,
in accordance with the timescales described in paragraph 7.1.2
of the requirement. This will with POCL Self Service and
Publishing Team. All system users will be provided with a
change notification in the PoCL Counter News medium and
subsequent inclusion in the automated operations manual as
appropriate.
7.1.3 The same procedures as at 6.3.
7.1.4 The POCL Self Service & Publishing Team will provide
updated user documentation by the Counter News medium
immediately prior to introduction. A subsequent addition to
the operations manual will be provided within the agreed
timescales. A 10 day lead time for each weekly edition of
Counter News.
7.2 ICL Pathway commits to making emergency documentation
changes to the PPDs available to POCL within 24 hours of
notification. Pathway are able to alert system users by way of
‘on screen’ messages to consult relevant documentation
concerning such changes. This will map the same lead time as
Counter News e.g. 10 days notification on a weekly cycle.
8 [Not used]
9 User Satisfaction
$,1 Frequency of Monitoring
POCL Self Service & Publishing Team would recommend the
formulation of a user group, formed of ten people from branch
and agency outlets to meet at quarterly intervals to review the
effectiveness of the new manual, covering the subjects outlined
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at 9.3 of this document. This will be the responsibility of
the POCL Self Service & Publishing Team.
9.2 User Satisfaction Targets
Measurements should be made by market research telephony or an
equivalent form of data gathering procedure on at least an
annual or ideally a twice a year basis. The number of outlets
contacted should be statistically valid and recognised as an
acceptable vehicle for user satisfaction monitoring. The
results of the monitoring must be targeted to produce an
acceptable user satisfaction rate of 90%. Notification of
results will be provided to ICL Pathway.
9,3 Areas to covered in the User Satisfaction Survey will
include:
a) Ease of use of the manual.
b) Effectiveness of the manual.
c) Satisfaction with Layout, Style and Language.
a) Quality and Clarity of text.
e) Quality and understanding of Graphics.
£) Accuracy and comprehensiveness of index/indices
and cross references.
Reference No 914
Pathway Response
1 Introduction
1.1 This response documents the key service characteristics of
the Horizon System Helpdesk service.
2 Helpdesk Service
2.1 General
2.2.21 The Horizon System Helpdesk will provide a single
point of contact providing assistance and fault management to
Help Desk Customers. Help Desk Customers will include Users and
those of POCL’s Clients with access to the POCL Services
supported.
2.1.2 The Horizon System Helpdesk service will embrace
fault management, advice and guidance and overall operational
service management, information and administration. It will
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operate a full call logging service 24 hours per day, 365 days
per year (except Christmas Day).
2.1.3 Contact with the Horizon System Helpdesk will be by
‘local-call’ telephone (e.g. an 0345 mumber). The average
response time will be targeted at 80% of all calls answered
within 20 seconds and 99.9% targeted to be answered within 40
seconds. A target of less than 5% of calls during peak hours
will be abandoned calls. The percentage of ‘calls not answered’
shall be less than 1%. This includes calls where the line is
busy as well as calls answered but put on the ‘waiting queue’.
2.1.4 Three levels of service will be provided extending
from Level 1 addressing simple calls through more complex level
2 calls to level 3 calls which involve support from outside of
the help desk environment.
2.1.5 Operational Service availability, details of
scheduled interruptions and progress towards full service
resumption will be communicated by the Horizon System Helpdesk
to its customers. The Horizon System Helpdesk management team
will assist POCL in negotiating scheduled interruptions to
service with the Help Desk Customers.
2.2 Level 1 Service
2.2.1 Level 1 calls may be categorised as those which are
relatively simple and straightforward to explain and diagnose
and which can be fully resolved in less than 10 minutes by the
call taker who will have sole responsibility for the call’s
progress to resolution.
2.2.2 As end-users become more familiar and experienced
with Pathway’s systems, the time required to explain simple
resolutions will decrease and may approach an average of 5
minutes. Calls taking longer than 10 minutes to resolve will be
categorised either as Level 2 or will signify a potential
skills problem within the Horizon System Helpdesk or the post
office. Calls identifying potential skills problems will be
evaluated by Pathway and raised for discussion at the monthly
service review meetings.
2.3 Level 2 Service
2.3.1 Level 2 calls will generally be more complex problems
and potential faults. The Horizon System Helpdesk will make
extensive use of ‘Expert Systems’ diagnostic tools to assist in
their resolution and these may require more detailed and
extensive analysis, taking more time.
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2.3.2 Calls are transferred to Level 2 electronically
within the same help desk Call Management System. All of the
details of the call are preserved and available at Level 2.
Calls at all levels are presented to the diagnosticians in the
form of a prioritised stack of outstanding work-in-progress.
2.3.3 Typically, Level 2 problems will take less than 30
minutes to resolve but in extreme cases may take longer, up to
45 mins. Much of the diagnosis will be carried out ‘off-line’
from the originator, and may involve one or more interim
telephone calls from the Horizon System Helpdesk to clarify
symptoms or elicit extra information.
2.3.4 Level 2 calls will be analysed to identify trends and
patterns which may indicate the need for improvements in the
diagnostic process. New problems identified will always be
analysed to determine whether an appropriate Level 1 solution
is possible to save time in future instances.
2.3.5 As for Level 1, Level 2 calls which take longer than
45minutes to resolve will be categorised either as Level 3 or
will signify a potential skills problem within the Horizon
System Helpdesk or the post office. Calls identifying potential
skills problems will be evaluated by Pathway and raised for
discussion at the monthly service review meetings.
2.4 Level 3 Service
2.4.1 Level 3 service is invoked when the call can not be
fully resolved wholly within the Horizon System Helpdesk but
requires escalation either to a higher level of technical
support or to an engineer to perform a maintenance visit.
2.4.2 Calls will be transferred to Level 3 support
electronically complete with all of the details of progress
made at levels 1 and 2. Calls will be prioritised and
categorised so that they can be actioned within standard agreed
timescales.
2.4.3 All level 3 calls will be monitored to ensure that
the Service Level Agreement is met. The call will also continue
to be monitored post resolution to ensure that repeat or
intermittent failures are identified as quickly as possible.
2.4.4 Level 3 calls will be analysed to identify patterns
and trends of failure either within specific Outlets or with
system items.
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2.5 Hours of Service
2.5.1 Pathway will provide a continuous call logging
service 24 hours per day every day of the year except Christmas
day.
2.5.2 A full Horizon System Helpdesk service is required
during the POCL Core Day. A skeleton help desk service shall
be provided between 05:00 and 08:00 and between 20:00 and
24:00, Monday to Saturday, and between 07:00 and 22:00 on
Sundays.
2.5.3 Calls may be received directly from users or from
POCL help desks and help lines. Calls received which are
outside of the responsibility of the Horizon System Helpdesk
will be transferred to the appropriate authority.
2.5.4 The hours of service may be changed on request given
2 working days notice. Emergency cover may be provided at 5
hours notice.
2.6 Problem Management
2.6.1 Pathway will employ a specially developed Problem
Management System to log and manage all calls to the Horizon
System Helpdesk. The system is an enhanced version of one of
ICL’s current call management systems.
2.6.2 The system data model is comprehensive and records
all of the necessary data associated with calls during their
life. Call data is recorded as a collection of ‘progress
details’ each date and time stamped and ‘signed’ by the call
taker providing a complete audit trail.
2.6.3 The system will maintain call details including the
following
Problem Site Identifier
Call serial number {combined with Site ID provides unique
call identifier)
Site details such as address, telephone number and
Postmaster’s name
Site contact name
Date and Time problem occurred
Date and Time problem reported
Horizon System Helpdesk contact
Problem description
Problem Type (such as Hardware, Software, Advice & Guidance
etc.)
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Identity of any equipment or software associated with the
problem
Reported and assessed impact on the Help Desk Customer’s
business
Priority of the call
Estimated Fix time (for level 3 calls)
Current actionee within Pathway
Referral details
Progress information (date and time stamped and attributed)
Call resolution actions
Date and Time equipment returned to service
Date and time call closed (accepted by the Help Desk
Customer)
2.6.4 The Horizon System Helpdesk system also contains
details of engineer schedules. It provides an interface to the
2-way radio paging system used to assign calls to engineers and
to the spares system used to control the allocation of spares.
2.6.5 The problem management system will also be used to
record and manage incidents relating to systems operational
problems including those associated with the uploading and
downloading of data to post offices and interfaces to POCL and
POCL Client systems.
2.6.6 All calls will be given one of three priority
classifications depending upon the impact and urgency of the
problem with respect to the caller’s business
A Caller’s business is disrupted and cannot continue normal
working
B Caller’s business is impaired but a work around is available
Cc Caller’s business is suffering only minor inconvenience
2.6.7 Throughout the life of a call, the Horizon System
Helpdesk staff will moniter its progress. The Help Desk
Customer will at all times know precisely what is expected to
happen next by regular updates cf progress. The Horizon System
Helpdesk will always advise the customer of any changes.
2.6.8 All aspects of the operation of the Horizon System
Helpdesk will be comprehensively documented in a manual of
procedures which will be agreed with POCL and which will be
maintained in accordance with Pathway's objective of
registration to IS09000 quality standards.
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2.6.9 Major incidents, such as the total failure of systems
within a post office, will immediately be classified as alerts
and will be assigned to a problem manager. All alerts will he
managed in accordance with agreed documented procedures
covering all aspects of the fallback operation of the Outlet,
including the re-allocation of its responsibilities to other
Outlets.
2.6.10 A problem will remain open at the Horizon System
Helpdesk until agreed with its originator that is has been
resolved satisfactorily. The call will continue to be monitored
even after closure to ensure that a repeat or consequential
problem is not reported.
2.7 Systems and Services Supported
2.7.1 In addition to the problem and call management
database, Pathway will create and maintain databases containing
user, asset, configuration and change management information.
2.8 Resilience
2.8.1 The Horizon System Helpdesk will operate a fully
resilient service across two geographically remote sites with
duplexed database servers, networks and telephony systems and
separate telephone exchanges and electrical power supplies.
2.8.2 Each site will normally accommodate half of the
Horizon System Helpdesk staff and management team but will have
Spare capacity to accept increased workload in the event of
disaster at the other site.
2.8.3 The sites will be served by dual telephony and
Automatic Call Direction equipment which will perform call load
balancing between them.
2.8.4 Each site will be connected with Pathway’s central
systems via dual high speed carriers and will be resilient to
single network, system or site failures.
2.9 Training
2.9.1 During Roll-Out, Pathway will deliver training to
POCL staff. This training documentation and POCL’s Horizon User
Guide will include guidance on how to make most effective use
of the Helpdesk services.
2.9.2 Simple step by step instructions will be documented
in the operational procedures manual known as the Horizon User
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Guide, a hard copy of which will be produced and distributed by
POCL to each post office.
2.9.3 The Horizon System Helpdesk staff will receive in
depth training in all of the operational systems.
2.9.4 The staffing levels at the Horizon System Helpdesk
will be set to accommodate peak workload resulting in periods
during the shifts where activity is relatively light. These
periods will be used by staff for skills development and
training.
2.10 Personnel
2.10.1 Pathway will ensure that all Horizon System Helpdesk
managers and staff have the appropriate skills and experience.
Each member of staff will receive in depth training in
Pathway’s solution and operational procedures.
2.10.2 All staff will have individual personal development
programmes and training plans recording their progress in
achieving progressively higher standards of skills.
2.10.3 Staffing levels will be set to accommodate workload
peaks, staff absence due to sickness and holidays and natural
wastage.
2,11 Service Targets
2.11.1 Pathway proposes that service targets should be
established as follows.
80% of calls answered within 20 seconds
99.9% of calls answered within 40 seconds
Calls not answered < 1%
Abandoned calls (where the caller rings off) < 5%
35% of Level 1 calls resolved within 5 minutes
100% of Level 1 calls resolved within 10 minutes
95% of Level 2 calls resolved within 30 minutes
100% cf Level 2 calls resolved within 45 minutes
3 SERVICE MONITORING
3.1 Service Performance Statistics
3.4.1 The Horizon System Helpdesk service will be monitored
and reviewed over monthly periods. Statistical evidence of its
performance against agreed measures will be produced by
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analysis of the data captured by the Horizon System Helpdesk
system and by the telephony system.
3.1.2 The analysis will be presented to POCL in an agreed
format within 2 working days of the end of the period.
3.1.3 The data upon which the analysis is made will be
maintained within a relational database system supporting
standard SQL enquiries. This will enable Pathway to view the
data in a flexible way and provide reports based on problem
type, Help Desk Customer group and location, closure time, etc.
3.1.4 Pathway will make extensive use of this data to
identify actions to improve process efficiency and
effectiveness.
3.1.5 Help desk records will be maintained for a minimum of
18 months.
3.2 Help Desk Customer Satisfaction Surveys
3.2.1 Pathway will be pleased to participate with POCL in
devising and conducting quarterly Help Desk Customer
satisfaction surveys.
3.3 On-line Access and Ad-hoc reports
3.3.1 Pathway will be pleased to discuss the provision of
on-line access to its problem management systems for named
representatives for the purposes of planned audit and
inspection.
3.3.2 Reasonable requests for single ad-hoc service reports
will be welcomed and will normally receive a response within 3
working days.
Pathway Comment
1 It is not clear from the requirement what is the purpose
of POCL’s request for on-line access to the Problem Management
System.
2 The number, nature and frequency of the requirements for
ad hoc reports is unclear and needs further clarification.
Reference No 915
Pathway Response
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1. Introduction
The training requirements for POCL training is set out in the
document Training Needs Analysis reference SU/TRN/0001 and the
Training and User Awareness Baseline document reference
BP/TRN/001. As documented in the Training and User Awareness
Baseline document the Contractor will provide a maximum of
12,600 courses. Within this limit the Contractor will provide a
maximum of 5,504 one day Counter Assistants Course and a
maximum of 7,004 one and a half day Managers Courses. The
balance of the 12,600 courses are made up of specialist
courses. These courses are described in both the Training Needs
Analysis document and the Training and User Awareness Baseline
document. A further breakdown of course types and allocation
are detailed below.
Total training breakdown:
*Managers course 1.5 days 7,004 events
*Assistants course 1.0 day 5,504 events
*Train the trainer 5.0 days 25 events
*Auditors course 2.0 days 34 events
POCL helpline 1.5 days 33 events
Total offering 12,600 events
Key:
*Managers course = Branch managers, Assistant Branch manager
(ABM), Postal Officer. Assistant Branch manager (POA),
subpostmasters, franchise managers, nominee managers, Head of
Retail Networks (HORNs), regional support staff, relief or
deputy managers, Retail Network Managers, Outlet managers, POCL
User acceptance team, POCL staff who perform stock unit
balancing, and nominated POCL staff and officers.
*Counter Assistants course = Postal officers, Counter Clerks,
subpostmaster’s assistants and franchise staff
*Train the Trainer = POCL and agency trainers
*Auditors course = national and regional audit teams, POCL
security and investigators
POCL Helpline = POCL Helpline staff and managers
Key measures identified by the Contractor and agreed with POCL
will be used to assess the effectiveness of the training
programme as a whole. This is documented in the Training
Evaluation paper reference SU/TRN/005.
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2. Training Services
2.1 General
The Contractor and POCL shall agree acceptable standards of
competencies in the use of the automated platform. The
Contractor will be responsible for training POCL and agency
trainers to an acceptable standard. However it will be the
responsibility of POCL to ensure quality and competence levels
are maintained both by non Contractor Trainers and their
delegates.
The Contractor will be responsible for designing and developing
course materials/training event to POCL's approval. Any
Updates to training or additional supporting documentation will
be supplied by the Contractor and approved by POCL. This will
be provided to those Outlets Rolled Out subsequently as part of
national Rollout. Style and layout of training workbooks and
supporting materials are documented in the Training and User
Awareness Style Guide, reference PATH/PUBS/001.
2.2 Specific Responsibilities
POCL will mandate training for Users i.e. Outlet Managers,
Subpostmasters and Counter Assistants or Counter Clerks in
accordance with POCL’s Policy for Releasing Individuals to
Attend Training (CAR response number $31.000.03), document
reference BP/PRD/007.
It is not envisaged that "day to day" development of training
materials will be required although ongoing quality assessment
and maintenance will be undertaken by the Contractor.
The Contractor will ensure that all nominated parties are
advised of training activities. Such periods of notification,
content thereof and identification of nominated parties shall
be POCL’s responsibility prior to Contract Award.
Management of training will be the responsibility of the
Contractor in liaison with POCL. However Training Invitations,
Site selection/preparation and provision of equipment will be
the responsibility of the Contractor.
Management information (training) will be the responsibility of
the Contractor. Information passed to POCL shall be defined by
POCL and subject to change control procedures.
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Attendance of regular training review meetings will be the
responsibility of the Contractor and will be part of the
overall implementation review process. Training is an
integrated part of the implementation and roll-out programme
therefore it is not envisaged that the training will be
isolated from project reviews.
Agreement and sign off by the Contractor will be part of the
implementation plan. .
Monitoring and review of performance will be jointly undertaken
by the Contractor and POCL, This will be via standard and
agreed report formats within agreed timescales.
Identification of improvements to the training programme will
be part of an approved quality process and is part of the
Contractor's responsibility.
3. Key Measurables
3.1 Timeliness
The Contractor shall ensure that training is delivered in
accordance with the Project Plan. Such training will be
completed no more than 5 working days before live usage, and be
complete no less than 1 working day before live usage.
3.2 Quality
Course delegates will be requested to complete a questionnaire
on the training environment, and the Contractor shall achieve
not less than 85% satisfaction. Details of processes and
precedures to support ICL Pathway training environments are
documented in the Training Venue Administration document
reference PATH/PRO/0004.
The Contractor shall not be responsible for adverse
comments/user dissatisfaction relating to POCL’s premises.
The Contractor shall agree positive training matrices with PocL
prior to contract award. The Contractor shall ensure 95%
compliance with these matrices as measured through satisfaction
questionnaires as defined in ICL Pathway’s Training Evaluation
paper reference SU/TRN/005.
3.3 Cycle Time
Training should take no longer than a period of 1.5 days for
Outlet managers, subpostmasters and 1.0 day for counter
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assistants or Counter Clerks. This will be a continuous event
held during the day and off site. All trainees are to achieve
the minimum standard of competence as described in POCL’s
document reference BP/PRD/006. It is the Contractor's
responsibility to achieve the overall agreed level of
competence ¢é.g. 90% for knowledge related areas for
transactions of the automated platform relevant to a specific
Outlet.
Training will be offered to Users, who do not make up the ratio
for minimum training compliance, up to individual site
acceptance and during the Horizon Field Support Officer visit.
This will be offered on an exception basis at the time of
training invitations i.e. 4 weeks from installation. Remedial
training will also be offered to Users during this period who
fail a competency test and who do not make up the ratio for
minimum training compliance. Thereafter all outstanding or
ongoing training will be the responsibility of POCL. This
training will be delivered to either new or existing Outlet
Users. Update training or CSR+ training of existing Users will
be the responsibility of POCL. CSR+ training for Users at
Outlets which have not been Rolled Out will be the
responsibility of Pathway as part of the standard national
Rollout training programme. Subsequent updates and new product
training will be the responsibility of POCL unless the
Contractor takes on this responsibility in accordance with the
Change Control Procedure.
3.4 Contingency/disaster recovery
Notification of course cancellations by POCL must be issued
within an agreed timescale between the Contractor and POCL. A
minimum of 48 hours notice must be provided for 98% of cases.
The same will apply if the Contractor cancels a course with
notification of an alternative date.
The Contractor shall not cancel more than 2% of the scheduled
courses in accordance with the implementation Roll-Out plan.
However if an installation is cancelled due to POCL changes
then this is the responsibility of BPOCL and should not be
included in the 2% targeted for the Contractor.
It is the Contractor's responsibility to reschedule alternative
training venues if a site becomes inoperative at no extra cost
to POCL unless a POCL venue has been agreed and an alternative
is required.
3.5 Data Accuracy and integrity
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There will be no reduction in system performance as a result of
training mode being usec. Training mode will be used in the
same way as live mode with the exception of "training" stock
data.
It is the Contractor's responsibility to ensure there are no
factual errors at the time of acceptance and release.
3.6 Competence levels
It is the Contractor's responsibility to meet the agreed
objectives/competence level of the course and for delegates to
demonstrate this capability as part of an end of course review.
A competence test will be carried out at the training event to
meet the agreed competence level of 90% for knowledge related
areas for transactions of the automated platform.
The Contractor shall agree competence matrices with POCL prior
to contract award, The Contractor shall ensure 90% compliance
with the matrices as measured through a competence test. The
Contractor has the responsibility to meet level 1 of the
standarc Kirkpatrick model. This will be achieved by the end
of course review/appraisal. Level 2 of the standard
Kirkpatrick model will be met by the end of course competence
test.
4. Communication
It is POCL’s responsibility to provide agreed format on
performance criteria along with written permission from
ranchise Outlets that assessments can be carried out on their
staff. For POCL staff, subpostmasters and assistants ICL
Pathway will notify Users that data will be gathered on
individual performance and distributed to POCL for analysis.
It is also POCL’s responsibility to certify that managers of
franchise, Sub-Post Offices, POCL offices and multiple
franchise Outlets, ensure competency of their staff, and to
further ensure that their staff apply due diligence and
professional standards of care to ICL Pathway systems and
services.
POCL Regional reports will be defined by POCL and agreed with
the Contractor. Reports will be provided by the Contractor in
a timely manner to a nominated contact. These will be
distributed within 5 working days for each Region at the end of
each month. 24 hour competency failure reports will be supplied
to POCL by the Contractor for immediate action by POCL.
Response by POCL will be within 24 hours or the next working
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day. This is detailed in ICL Pathway’s Training Scheduling and
Minimum Training Compliance document reference IM/REQ/014.
It is the Contractor's responsibility to provide training
invitations to a nominated contact within the Outlet 4 weeks
prior to the proposed training event. It is also the
Contractor's responsibility to confirm attendance in writing at
least 1 week prior to the training event. This is detailed in
ICL Pathway’s Training Scheduling and Minimum Training
Compliance document reference IM/REQ/014.
5. Monitoring Training Services
Monitoring of training services will be carried out as part of
the implementation programme. It ais the Contractor's
responsibility to supply information to POCL in an agreed
format and to agreed measures. This format will be subject to
Change Control Procedure.
6. Training Review Meetings
It is the Contractor's responsibility to hold regular
management meetings to review progress and performance. This
will be carried out on a regular basis and to an agreed
timetable.
Regular review meetings regarding implementation should be the
responsibility of both the Contractor and POCL.
7. Escalation Procedures
Failures in Service Levels will be the responsibility of the
Contractor and POCL’s nominated SLA manager to resolve.
Issues or actions which fail to be rectified will be passed to
the agreed Contractor and POCL’s service management team for
escalation.
8. Change Management
Progressing (through the Change Control Procedure) permanent
variations to the agreed Service Levels and/or the training
services provided will be managed as part of the implementation
programme and will be the responsibility of the Contractor.
Pathway Comment
None.
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Reference No 918
Pathway Response
1. Pathway recognises the importance of a partnership
approach to communications and we are keen to establish a close
working relationship with the POCL Communications team who will
be managing this activity.
2. Pathway recognises the strategic need for the partnership
to be responsive to events as they occur, and accordingly we
recommend that the partnership is empowered to a level agreed
between POCL and Pathway.
3. The partnership will need to be comprised of suitable
staff from the POCL Communications Team and Pathway.
4, Pathway acknowledges that POCL shall retain the right of
veto on all communications, marketing and education for all
Customers, POCL employees, Agents and their staff.
Reference No 921
Pathway Response
1. The Pathway solution for OPS will provide a secure timeout
facility for counter PC’s and Back-Office PC's. This will
comprise a user activated timeout which will enable the user to
clear the screen and leave the terminal for a short
(configurable) period. The user session is reactivated by the
user entering their password. Any applications are left
active.
2. The clerk will reactivate their session by entering their
password.
3. The display presented when the timeout facility is
activated will be different to any normal desktop or
application screen.
4. Should the clerk who initiated the timeout be unable to
re-activate the facility, the following actions may be taken ;:-
After a configurable period of time during which there is no
active session it will automatically log-out. A journal
message will be created indicating this.
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CODIF
The postmaster may assume responsibility for any uncompleted
session, the stock unit or share thereof, by entering his own
user name / password.
Once the terminal has logged-out any authorised user may then
use that terminal.
All the above events will be written to the journal.
Pathway Comment
None
Reference No 922
Pathway Response
Pathway confirms that the acoustic noise emission of any item
of OPS equipment supplied by Pathway will not exceed 60dB(A)
measured at a distance of 1 metre.
Pathway Comment
None
Reference No 925
Pathway Response
None
Pathway Comment
None
Reference No 926
Pathway Response
1, Pathway confirms that all rollout plans and changes to the
plan will be agreed with POCL but POCL shall not unreasonably
withhold consent and shall not in any case withhold consent if
so doing would cause Pathway to fail to meet its obligations
under the Codified Agreement.
2. Pathway reserve the right to change functionality at its
discretion, subject to maintaining contractual obligations and
service levels.
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3. Operational change procedures shall be defined for the
Rollout programme, which should embrace any expected change to
service aspects.
4. Service Level measurement during rollout will be skewed
due to instability; suspension of rollout based on failure to
meet service levels needs to account for this and POCL should
advise which Service Levels will determine rollout suspension
prior to contract award.
Pathway Comment
None
Reference No 938
Pathway Response
Pathway responsibilities
Pathway will be responsible for:
Ensuring that any information supplied under the Data
Protection Act 1984 (DPA) is accurate and providing assurances
to that effect.
Delivering any information requested under the DPA to the
requesting body or person as appropriate.
Pathway will:
Comply with changes in the DPA (after 15 May 1996), or
related EC laws, or recommendations having the force of law.
In particular, record all written requests for a data
protection print from a customer or authorised representative,
within five (5) days of receipt of such request and deal with
queries raised within a timescale to be agreed with POCL.
Make available for authorised inspection all information
provided under the DPA.
Retain records of requests and responses made under the DPA
according to requirements of the DPA
Reference No 941
Pathway Response
Pathway confirm that the dates for Rollout will be agreed with
POCL given that POCL will not unreasonably withhold their
consent to such agreement.
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Pathway will treat Northern Ireland as a discrete area for the
purpose of rollout.
Pathway Comment
None
Reference No 945
Pathway Response
None.
Pathway Comment
During the Rollout we do not wish to and can see no reason why
we should provide POCL with the serial numbers of the equipment
installed as this is clearly our responsibility. In this
respect we could be non-compliant with this part of the
requirement. The Contractor is charged with the maintenance and
management of all counter equipment supplied under this
agreement. Configuration management thereof (including serial
numbers) remains the Contractor’s responsibility, and the
Contractor agrees to make available this information to POCL on
a periodic basis.
Reference No 949
Pathway Response
Pathway confirms that it is able to provide a complete training ~
service if required. Currently Pathway is providing Counter
staff training and support together with POCL Train the Trainer
events.
Clarification is needed to understand what is meant by total
training which refers to all of POCL’s training requirement
and not just those required to support the POCL Services under
the Codified Agreement.
Pathway is assuming that although the capability to provide
total training is sought the option will be exercised through
the Change Control Procedure and the additional costs are not
included in the Charges as at the date hereof.
Pathway Comment
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The requirement as stated is very vague and the scope as stated
may be greater than was really intended. Prices are not being
included with:n the Charges as at the date hereof.
Reference No 951
Pathway Response
Pathway will develop and maintain a document describing the
POCL Service Architecture.
Pathway confirms that it will, as a minimum, specify:
the major components, provided directly or subcontracted,
used in providing the services
the functionality within the major components
the interfaces between the major components
the design service levels of those interfaces
all interfaces with POCL’s systems and with other parties
Pathway notes that the audience for this document will be
technical staff within POCL and that it should be self
contained, although probably referencing other documents to
provide further levels of detail. Pathway affirms that the
level of detail within the document will be such that it gives
a thorough background to the construction of the services and
the rationale for the approach, and notes that a length of 200-
400 pages is anticipated.
Pathway Comment
None ~
Reference No 952
Pathway Response
The OPS will support a reliable, secure and encrypted means for
the transfer of data that may subsequently be used for
cryptographic applications at the counter.
The cryptographic services within the Pathway solution can be
considered in three groups:
* services covering post office traffic from and to POCL and
POCL Clients on the one hand and the Pathway Central Services
Layer on the other
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* services covering the authentication of the Point to Point
connection between the TMS layer and the post office
* services covering transaction traffic to and from the
Central Services Layer and the OPS and at the OPS itself
This requirement response describes the means by which keys
are distributed for the last group. The methods described are
subject to detailed agreement with HMG (CESG).
The OPS related cryptographic services comprise:
The selective digital signature and authentication of files
or transactions to or from the correspondence layer. The
purpose here is data integrity - to prevent tampering or non-
malign loss or injection of data.
Data will be transmitted in clear. Data will be digested
using a CESG-approved hashing algorithm called SHA and this
digest used to produce a digital signature using a companion
algorithm called DSA which uses asymmetric key pair techniques.
It is expected that a key length of 768 bits will be used. The
keys used will be session key pairs renewed periodically,
probably half-yearly. The session keys will be transported
using the CESG-approved modified Diffie-Hellman algorithm and
relying on master key encryption. Methods of master key
encryption will be agreed with POCL and CESG. The options
include secure factory installation into the OPS equipment by
Pathway of the initial key protected by Microsoft Windows NT’s
accredited access control. Alternatively first installation
will be via security accredited personnel, using manual keys
transported securely or by IC memory card, and input using
specific role protection. Renewal of master keys may use
similar manual or IC memory card-based methods.
The encryption and decryption of data stored on disk. The
purpose here is privacy - to prevent disclosure of sensitive
data.
Similarly, the keys used will be single session keys, managed
using the same key distribution methods as described above.
Data will be enciphered and deciphered using a CESG-approved
symmetric algorithm called RED PIKE.
Note that such data will only be enciphered for OPS journal
write and deciphered for OPS journal read. Replication of a
journal entry to and from TMS will be in clear.
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Use of eryptographic protection, particularly for
transactional data transfers, and transfers requiring digital
signature computation at the CPS will require exceptional
service level agreements.
Pathway Comment
The Security Functional Specification is a CCD covering
agreement on the above.
Reference No 953
Pathway Response
1. The Pathway solution to CPS supports concurrent access to
its PCCL Services by providing each working post office counter
with a PC configuration comprising peripherals and the counter
application set required for that outlet.
2. The precise requirements for back office reports have yet
to be agreed, but in general terms details including date/time,
clerk identifier and transaction number can be included to
ensure clarity and status of data printed on back office
reports and activity at the counter.
3. The Pathway solution for OPS is based on a PC
infrastructure configured such that multiple activities within
an outlet do not significantly impact on each other. In
particular back office processes ( e.g. report production) will
be operate on a logically consistent set of data which will not
be affected by any concurrent counter transactions.
Pathway Comment
None
Reference No 956
Pathway Response
Business supported across the boundary
Pathway confirms that it will provide the OBCS in accordance
with the description given in the Service Architecture Design
Document.
Pathway understands that its service responsibilities extend
to:
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transport of ESNCS-created data transfers and associated
information (e.g. reference data) from the ESNCS service to its
own POCL Service (OBCS) along with all subsequent processing.
This to normally include detecting the availability of such
data transfers and data on the ESNCS service. Pathway
interprets this to mean that Pathway will normally “pull” files
to itself
provision of all responses to such data transfers where
required (@€.g. acknowledgements} along with delivery to the
ESNCS service . This is interpreted as including the “pushing”
of files back to ESNCS
transport of OBCS-created data transfers and associated
information from OBCS to the ESNCS service and notification of
their availability. Pathway interprets this to mean that
Pathway will normally “push” files from itself
Pathway confirms that the technical nature and implementation
of the ESNCS to OBCS connection is specified in “OBCS Access
Service (VME) Release 0100 System Interface Definitions”.
Pathway Comment
None.
Reference No 960
Pathway Response
1. EPOSS will support zero-value transactions to:
a} record volumes of transactions for clients, such as Royal
Mail and Parcel Force
b) record the distribution of various forms
c) record customer enquiries, requests, incomplete services and
so on. The precise number and types of events associated with
a@ particular product or service will be dependent on its
complexity.
2. EPOSS will support zero-value Automated Payment
transactions for recording reversed smart card transactions and
other cancelled transactions.
3. EPOSS will support zero-value Order Book receipt, re-
direct and issue.
4. EPOSS will record the dispatch of items to storage,
retrieval and processing facilities.
5. Automated Payments will be supported as currently.
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Zero-value transactions will be designed as services and
products in their own right with the normal controls, data
flows and interfaces to external systems.
Pathway Comment
The volume of transactions will increase significantly with the
increase in the number of “events” and checkpoints which can
result in recorded transactions.
Transactions which cannot be substantiated (e.g. cancellation
before commit) are open to abuse if they contribute to payment
or penalty.
Reference No 971
Pathway Response
Pathway will agree with POCL a strategy to achieve a single
stream of unreconciled data to POCL's automated payment
clients, from day 1.
Part of the strategy will be a timetable for the absorption of
Farnborough's reducing workload by Pathway.
Pathway Comment
None
Reference No 972
Pathway Response
Pathway will develop a rollout plan sympathetic with POCL‘s
requirements as follows:
1. The nominated major conurbations to be done first are:
West Midland; Greater Manchester; Merseyside; Leeds/Bradford;
Tyne and Wear; Glasgow/Edinburgh; South Wales.
2. The Contractor confirms installation within the M25 area
will take place in the second half of the overall timetable.
Pathway Comment
None
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Reference No 973
Pathway Response
Pathway acknowledges that, during the lifetime of the contract
or at termination, POCL Services supplied by Pathway may need
to be replaced or supplemented with services provided by other
suppliers. Pathway further acknowledges that it must be
technically viable for its POCL Services to be replaced by
and/or interface to services from other suppliers. The
commercial viability of such replacements or adjuncts is
largely a matter for the other supplier and Pathway can offer
no warranty on this.
Pathway has agreed in its response to requirement 951 to
provide the service architecture document which will contain,
inter alia, the functionality of the major components, the
interfaces between them, and their design service levels.
These interface descriptions shall cover:
a) a definition of the business processes supported across the
service boundary, including who originates the processes;
b) all business transactions supported across the service
boundary including responses, associated information, any
supporting facilities and any constraints including
required timings.
Attention is drawn also to requirement 869 (TMS)and the Pathway
response. Pathway will specify the internal performance
requirements of any sub-system that is retendered. Pathway
reserves the right to modify service targets for overall
performance at the contract service boundaries in the event
that such a subsystem is retendered and/or let to a third
party.
Pathway’s costing and charging basis for integration with other
suppliers’ services will be on strict commercial terms.
Where a service or an upgrade thereof is supplied by another
supplier Pathway will require that it conforms to specification
as evidenced by a satisfactory test report based on a test
specification agreed by Pathway before being put into
operational use. In the event of malfunction of Pathway’s POCL
Services caused by the malfunction of another supplier‘’s
service, that service supplier shall be liable for all losses
sustained by Pathway including lost revenues and additional
operational costs.
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Where the content of the work to be done by Pathway as a result
of such service replacement makes for practicality,
subcontracts from Pathway will be let following competitive
tender. Such tenderers shall be at the sole discretion of
Pathway and shall not necessarily include prospective
replacement or supplementary service providers or POCL.
Pathway Comment
None
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POCL OBLIGATIONS
Ref. I POCL Obligation
463 1. For all testing required by POCL (including Acceptance,
Destructive and other) a co-operatively developed Test Plan
should be produced with Pathway. This would include the
objectives, timetable, key activities, expected outputs and
equipment requirements.
2. POCL should allow appropriate Pathway staff reasonable
access to any Test activities.
3. POCL should provide Pathway with the results of the Test
and, through a review process, discuss the implications of
the Test.
464 None
(465 [Agreement to a specification of equipment livery which
Pathway accept as reasonable in terms of its impact on cost,
manufacture and long term support.
466 None
467 None
468 None
469 IA co-operative role in the final review stages of the
documentation
470 IA co-operative role in the final review stages of the
documentation
471 i. Agreement as to the scope of the Broadcast facility
{including message types and expected usage) such that agreed
technical and cost boundaries can be defined.
2. Agreement to the development of an electronic information
strategy.
3. Co-operation in the design and specification of the data
preparation processes as required to support any electronic
information service in a post office.
472 Agree the events that must be logged and the data items that
must be recorded
473 1. Specify the precise user types and permissions required
for post offices.
2. Co-operation and involvement in the specification and
implementation of the processes to handle exceptional events
(e.g. lost password)
3. Provide details of which POCL Services are required in
each post office
474 1. Process for co-operation and involvement with Pathway in
agreeing reasonable responsibilities and subsequent actions
as required under current and future Health and Safety
legislation.
475 [Involvement in the Change Control Procedure as may be
required for document enhancements
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Ref. I POCL Obligation
476 1. Agreed involvement and co-operation in the assessment of
business functionality and any HCI of new or enhanced
application releases through system test and quality reviews
2. Agreement to a change control process which will govern
the acceptance of the functionality of new or enhanced POCL
Services.
477 Agree a period of notice.
478 I1. Agree the method.
2. Agree the data file.
479 ii, Specification of the authorised computer systems to which
TMS can connect
2, Agree a period of notice.
480 I None
461 None
482° INone '
484 I None
485 I None
486 IPOCL is responsible for the agreeing of the documentation
review process and adherence to the agreed timescales for
review.
487 None
4388 1. POCL shall provide a nominated person at each site who can
accept the installation works, in accordance with the roll-
out schedule.
489 I POCL is responsible for defining a site to where the existing
automated equipment will be taken.
490 I None
491 POCL will facilitate the planning permission process. A
process will be agreed to cover cases where planning
permission cannot be agreed. ~
432 None
493 None
434 I None
495 IPOCL shall be responsible for the initial identification of
all outlets to which the OPS shall be installed.
496 I None
497 IPOCL is responsible for identification of all sites and
Nominated Person so that Pathway may discuss with them their
requirements for each installation.
498 IPOCL will provide persomnel who understand the existing
systems and manual processes and can work closely with
Pathway to plan how to achieve effective migration.
499 INone.
500 IPOCL will facilitate the planning permission process. A
process will be agreed te cover cases where planning
permission cannot be agreed.
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Ref. I POCL Obligation
501 POCL is responsible for the nomination of Horizon
Implementation Manager, together with their interface,
operational responsibilities in relation to Roll-out.
502 POCL shall provide post masters who can agree the works
required to their own site for which they are responsible
for, and who will co-operate with the Contractor during the
installation activities.
503 POCL shall provide post masters who can agree the works
required to their own site for which they are responsible
for, and who will co-operate with the Contractor during the
installation activities.
504 IPOCL is responsible for supplying details of existing
equipment so that it may be assessed for future utilisation.
507 IPOCL is responsible for the timely identification of peak
times where roll-out to outlets may not be undertaken (e.g.
Christmas etc.)
508 IPOCL will agree a process.
509 [POCL to agree with Pathway normal specifications for the
siting of the office platform and will provide outlet
managers who can agree the positioning of the office platform
within each office.
510 I None
511 IPOCL shall provide post masters who can agree the works
required to their own site for which they are responsible
for, and who will co-operate with the Contractor during the
installation activities. °
512 POCL will agree a process.
513 None.
514 IPOCL will agree a process for deciding whether an office goes
live, -
516 POCL will agree a process.
517 I None
518 None
$19 IPOCL is responsible for the forecast of probable future
potential requirement for additional counter positions.
520 I None
521 I None
522 I None
$23 POCL will agree the operation of systems interfaces between
Pathway and POCL and their clients.
524 IPOCL agrees to supply details of the type of call which is
presently experienced on their own help desks.
525 POCL will agree a process for ordering adequate consumable
materials where appropriate.
$26 I None
$27 INone
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Ref. I POCL Obligation
528 None
529 I POCL will agree the behavioural standards.
530 I None
$31 IPOCL will agree the competency standards.
532 POCL will make appropriate staff available.
533 I None
534 I None
536 1. Reasonable advance notice of any change to OPS services
that would result in new peripherals being required
537 1. POCL will participate with Pathway in reviews and analysis
of those system management events that indicate pocL
operational or technical procedures and mechanisms require
modification.
2. POCL shall give reasonable notice to changes that are
required of the Pathway SMS.
538 I None
539 /1. POCL shall provide and maintain a specification of all
externally provided reference data.
2. POCL shall provide timely notification of any changes to
reference data and shall co-operate with Pathway in any
service testing that may be required.
3. POCL shall facilitate discussions with any third parties,
to produce an agreed interface specification and the
associated technical and operational methods to effect valid
data transfer.
S40 I POCL shall use reasonable endeavours to promote the agreed
operational procedures for OPS including equipment use,
operating conditions, physical and environmental conditions
and all relevant Health and safety legislation
541 1. POCL will provide information on forecast changes to ~
business volumes within current or new POCL Services.
2. POCL should adopt a flexible approach to the operational
and procedural implications of new or changed POCL Services
as advised by Pathway’s impact assessment on the current
technical architecture and POCL Services.
3. POCL should co-operate with Pathway in any system testing
and other activities as may be required in order to assess
the impact of changes to business volumes.
542 POCL shall not unreasonably restrict Pathway from changing
the support processes or support organisations as applied to
current or future POCL Services provided by Pathway, where
such changes do not adversely impact Pathway’s contracted
obligations.
543 I Provide the specifications applicable to each of the token
types.
Arrange access to software algorithms and drivers required to
implement support for tokens where such algorithms are held
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Ref, [POCL Obligation
under IPR arrangements by POCL or its agents.
$44 IAgree with Pathway the range of APS service types and the
initial client set to be supported by type
Provide timely information to Pathway on the characteristics
of new service variants by means of the standard parametrised
reference data or any extensions thereto required
Provide timely information on the token specification and
interface requirements for service extension to new clients
and facilitate Pathway access to sample tokens and equipment
for the purposes of service development, integration and
testing
545 1. Agree with Pathway documentation contents prior to its
production and to any subsequent changes
2. Facilitate Client participation in the production of the
Automated Payments Client specifications
546 IAgree with Pathway the counter positions at which the AP
service shall be available, and identify in a timely manner
proposed extensions to such service availability
Co-operate with Pathway in the assessment of future
transaction types and volumes.
547 [Agree Pathway the definition of the term “robustly” as
applied to APS data capture and validation
Agree with Pathway the implications of rules defined in the
APS Generic Rules and Token technology specifications.
548 IWill discuss with Pathway any modifications to POCL counter
and backoffice procedures necessary for the proper operation
of the required POCL Services by POCL staff or agents.
will use all reasonable endeavours to ensure that agreed
joffice and counter procedures are followed in their affect .
upon the operation of the Pathway services
549 IAgree with Pathway the implications of rules defined in the
APS Generic Rules and Token technology specifications
General obligations on agreeing and following counter
procedures
550 I POCL shall provide access to token specifications and
facilitate access to appropriate software algorithms in a
timely manner to facilitate the Pathway development (as in
Req Ref 543) and agree the rules defined in the APS Generic
Rules and Token technology specifications (as in Req Ref 547)
551 IAgree the scope and details of APS information retrieval
services required at the Outlet
552 ITo agree the implications of rules defined in the APS Generic
Rules and Token technology specifications
553 I To agree the implications of rules defined in the APS Generic
Rules and Token technology specifications
The AP client specification should include action(s) to be
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Ref. I POCL Obligation
taken in the event of non-availability of the Client system
or interface to it
554 IPOCL shail agree with Pathway the fallback approach.
555 1. Co-operation in agreeing the barcode standards to be used
{read or printed) for each service.
2. Co-operation in defining or agreeing the specific cards
(magnetic or smart) to be used in each service.
3. Co-operation in agreeing the format of any printed output
required for a service.
4. Facilitate the provision of examples of all current
magnetic and smart cards/keys and all associated software
such that development and testing can proceed.
557 1. POCL shall give reasonable notice of any future service
requirements that may require additional OPS equipment.
2. POCL shall co-operate with Pathway in any equipment
assessment and selection process.
3. POCL shall recompense Pathway for any agreed costs
incurred in equipment selection, testing and development
should the new or enhanced service not be required
4. POCL shall give a firm statement on the requirement for
OCR reading at the counter and the associated technical
specification.
5. POCL shall give a firm statement on the requirement for 2-
D barcode reading and the associated technical specification.
558 Regular review of expected and actual business volumes for
current and future POCL Services.
559 I2. POCL will agree a process under change control for adding
functionality.
560 }{1. POCL should not unreasonably prevent Pathway from
implementing changes to the OPS equipment for some or all of
the outlets where such changes do not impact on Pathway’s
operational or service delivery commitments.
2. POCL will constructively contribute to any discussions
that Pathway may initiate concerning technology refresh.
561 I None
6391 POCL Shall:
1. Define the denominations of all items
receivable/returnable
2. Define the format of the consignment note
692 I1. specify the allowable methods of payment for each
product/service offered.
2. Indicate which transactions should be committed on
completion (independent of the customer session)
3. Identify which services cannot be paid for using EFTPOS
(e.g. lottery tickets)
4, Indicate if and when credit cards will be supported
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Ref. I POCL Obligation
5. Indicate if and when cashback will be supported
6. Describe the mechanism for selection/appointment of
Merchant Acquirer
693 Ii. Agree format of all receipts.
2. indicate which transactions will automatically produce a
receipt
694 I None
695 I POCL Shall:
Agree format of all reports.
696 None
provide example pre-printed stationery
3. provide filled in examples of existing reports
ele
697 IIf impropriety or negligence should be attributable to POCL,
they shall take all reasonable measures to prevent
recurrence.
698 1. Agreement of policy.
2. Assessment, regular review of compliance.
3. Incident reporting (joint responsibility dependent on area
of responsibility) .
4. To take all reasonable steps to prevent privileged Pathway
information being released.
5. To take all reasonable steps to protect access to the
Pathway System via their dedicated access,
699 I1. Agree the content of the audit trail
2. Agree the procedures for identification of POCL staff
initiating transactions in the POCL Service, - POCL Counter
Staff for counter transactions
799 I Agree with Pathway the procedure for token issue, including
any client interfacing requirements and technical *
specifications
800 None
801 I1. identify the specific products and services within each
product style
2. Indicate default values (if applicable) for open value
products
3. Specify the product groups that comprise denomination
components
802 I1. identify by denomination the products which are considered
to be cash or value stock
803 I POCL Shall:
1. Advise whether a semi-complete customer session should be
discarded completely or recovered so far as possible,
804 I POCL Shall:
1. Identify the cut-offs for the clients which affects
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Ref. I POCL Obligation ]
reversibility.
805 I1. Specify which events are to be recorded in the journal
2. the criteria that may be used for searching for
transactions and journal events
806 ISpecify whether the system will be operated across different
time zones
807 I POCL Shall:
1. identify the items by denomination that can be transferred
between stock units.
808 I POCL Shall:
1. identify the items that will be reconciled by individual
serial number.
809 } None
810 ; POCL Shall:
1. identify all of the transactions that should allow “rate
shopping”.
Bli Ii. Provide a complete set of definitions for existing
products
2. Provide definitions of new products sufficiently in
advance of their live availability requirement
812 I Provide the rules regarding the reversibility of each
transaction
813 Identify which products can be revalued
814 IAgree rules for the sharing of cash and stock declaration
work in a team working environment
815 I None
816 I Specify the scope of an auditor's access to accounting data ~
817 I1. Identify discounts applicable to existing products
2. Specify their discounting strategy and the products
affected
818 IAgree the format and content of Reference Data transmitted
from POCL.
819 I POCL Shall:
1. identify the items that comprise the cash account.
2. at any point in time provide calendar information for the
previous, the current and the following year subject to
agreed process, including agreement on timescale.
3. provide the format of the data in the 2D bar code.
820 I POCL Shall:
1. Follow the fallback and recovery procedures agreed with
Pathway.
821 I POCL Shall:
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Ref. I]POCL Obligation
1. provide timely information describing each local business
scheme and identifying the regions, areas and offices
affected.
822 I1. Agree the format and content of reference data transmitted
to and from SAP/ADS
2. Identify the precise products whose movements are
controlled by the SAP/ADS
823 I None
624 [1. Provide full details of rules and tariffs involved in
mails services
2. Specify the level of data capture associated with added
value mails services
825 I POCL Shall:
1. identify the business and data relationships between the
“Linked” products.
826 I1. Advance notice of any requirement of POCL to introduce a
new peripheral into OPS.
2. Assist in the development of an impact assessment
resulting from any new equipment covering current service
provision, Pathway/POCL liabilities, procedural changes and
any resultant costs.
827 I1. The timely specification, using the Change Control
Procedure, of any changes to business functionality required
in current Services. This would include the introduction of
new authorisation methods.
2. Co-operation and involvement in the specification and
outline design of new authorisation methods
3. Support for Pathway in dialogue with third parties
828 5. Agree mechanisms for provision of control data, e.g. Post
Office reference details.
829 [Information required to support fraud investigation or
prosecutions shall be notified before the end of the agreed
normal retention period for the relevant information;
currently 12 months in the case of physical evidence (e.g.
receipts).
830 I1. Agree contingency scope and operational responsibilities.
2. Agree procedures for invoking contingency, particularly at
Post Office Counter.
3. Agree mechanisms for classifying and reporting when
contingency invoked.
4. Agree change control mechanisms for contingency
7. Agree review and problem resolution processes associated
with management of contingency invocation
831 I POCL shall:
1. Place the POCL Interface Requirements for the BA/POCL
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System document under joint change control.
2. Discuss the implications of extensions to this
functionality.
3. Agree to the specific applications of the ARTS model.
4. Agree the operating timetable for LFS.
5. Agree the operating timetable for TIP.
6. Assist in the agreement of operating timetables for POCL
Clients.
7. Assist in the agreement of interfaces for POCL Client
Authorisation Requests, Confirmations/Exceptions,
Authorisations and Client-specific reference data.
8. None
11. Agree the transition of traffic from APT host to AP
client hosts.
12. Agree outlet arrangements for cash account production.
13. None .
14. Agree a development strategy and timetable for the LFS
application.
15. None
16. None
17. None
832 IAll faults must be reported to the Horizon System Helpdesk.
833 I None
834 POCL Shall:
1. Agree with Pathway an approach to migrating business data
for all classes of office during roll-out.
835 I None
836 I None
837 Ii. define the format and content of all reports 2. Identify
the frequency of production of each report
838 I POCL Shall:
1. identify the transactions / products which will support
post-event entry of information.
839 POCL Shall:
1. identify all items by denomination that make up the retail
stock,
869 I1. POCL will endeavour to provide timely information on all
likely and possible changes to business volumes within
current or new POCL Services.
2. New or changed POCL Services will be subject to a change
control process.
3. POCL will agree system testing with Pathway.
870 I None
871 I None
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680 IAgreement of the technical details of the interface to TIP
and its operational characteristics, in terms of timings and
transfer schedules, etc.
Agreement on any reconciliation mechanisms between POCL,
Pathway and, where appropriate, any third parties, for
transactional data transferred to TIP.
890 [1. POCL shall agree with Pathway the technical details of the
interfaces by which committed AP transactions are transferred
to POCL and Clients.
2. POCL shall agree with its AP clients and Pathway the
operational characteristics of such transfer processes,
including time windows and the procedures by which
demonstrability of successful transaction transfers shall be
measured
891 I POCL shall:
1. input reference data at the central and/or post office
levels, and such other levels as may be defined, in
accordance with operating procedures agreed with Pathway
2. notify Pathway without unreasonable delay of any
reconciliation exceptions encountered by POCL systems that
are unexplained by POCcL
3. ensure that Pathway is notified without unreasonable delay
of any reconciliation exceptions encountered by POCL client
systems that are unexplained by POCL clients or POCL
4. aS appropriate, agree interface integrity controls with
Pathway
5. co-operate with Pathway in seeking explanations for
reconciliation exceptions
6. take appropriate steps to restore TIP and SAP/ADS in the
event of their failure.
9. accumulate and despatch paper receipts to the agreed
repository in a timely fashion and in accordance with agreed
procedures for grouping, enveloping, despatching and
notifying despatch
10. provide information to Pathway for the retrieval of
receipts
894 IAgree the arrangements for MIS reports and POCL control
mechanisms.
Agree frequency of Review meetings
Agree content of inputs
Agree reporting periods
Agree arrangements for exception reporting.
Agree the procedure for arranging “ad hoc” meetings
Oe wn
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6. Agree the list of reports that will be required
7. Specify data requirements to enable resource, network,
productivity, cash management and marketing planning
8. Advise changes to MIS requirements under Change Control
procedures
9, Specify and agree all required interfaces to Information
systems, e.g. TIP.
10. Agree the medium for the reports, i.e./ fax/EIS
access/paper/floppy disk/other
11. Customer to provide and agree MIS reporting requirements
895 Ii. Agree irregular encashment information.
2. POCL must inform Pathway of any exception event occurring
in a Post Office
896 IPOCL shall be jointly responsible for developing a strategy
study for the use of electronic communications in the user
documentation area.
898 Specify those outlets that require OBCS
899 IAgree the service levels and methods of data transfer to/from
the DSS ESNCS system.
900 I Provision and discussion of the ESNCS interface document
referred to above.
901 I None
$02 I Agree OBCS service level
Agree process by which OBCS time monitoring will be achieved
903 Provision of DSS interface document
Co-operation in the design and operational procedures
relating to the DSS ESNCS data interface
Agree final definition and enactment of OBCS service levels
905 I None -
806 I None )
911 I POCL shall:
Agree the transition arrangements through a change control
procedure.
POCL will agree a change control procedure.
912 1. POCL to agree a schedule for the electrical safety test
service, commensurate with the post office roll-out
timetable.
2. POCL to facilitate and promote the importance of this
service and the ongoing safety responsibilities of post
office staff.
3. Facilitate the access to equipment and other areas as
required during the electrical safety service.
913 IPOCL is responsible for the definition of the documentation
agree a process and adherence to the agreed timescales for
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review.
POCL will copy and distribute the paper copies of the manual
to the appropriate users.
$14 I None
$15 I1. POCL will give details of the staff to be trained.
918 I None
921 [1. Advance notice of any requirement of POCL to introduce a
new peripheral into OPS.
2. Co-operation in the development of an impact assessment
resulting from any new equipment covering current service
provision, Pathway/POCL liabilities, procedural changes and
any resultant costs.
922 INone
925 IPOCL shall produce and baseline the Operational Trial and
Model Office Test Requireemnts of the Service Provider
document for agreement with the Contractor.
926 IPOCL shall document the process to follow for agreement to
roll-out plans, including but not limited to:
a) initial release timeframe;
b) extent and scope of roll-out plan;
¢) process of change;
d) expected change frequency;
938 IAgree the content and distribution of the DP Act print report
941 I1. Refer to the Project Plan.
2. Agree the frequency and format of the installation
acceptance reports.
945 {I1. POCL shall nominate an Outlet Manager for each site who
can agree and authorise the site preparation work to be done
and also periods when no modifications can made to the site. “
POCL shall agree with the Contractor the format and approach
of the User Survey and also the parameters for the siting of
the OPs, prior to commencement of the Koll-out.
2. POCL shall define and agree with the Contractor the role
and interface with the “Regional Liaison Manager’.
949 I1. To define the scope of the “total POCL Training” that may
be required.
2. To identify the numbers, locations and skills profile of
the staff to be trained.
3. To identify the training requirements in sufficient time
to allow the preparation of training plans and training
courses,
951 I POCL shall:
Give timely notification of changes in the interfaces of
their systems and, where possible, those of other parties,
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where these affect Pathway.
952 I None
953 I None
956 I POCL shall:-
Negotiate any required practical alternative arrangements for
reception and transmission of files.
Originate the data transfers for OBCS and provide for
reception of transfers from OBCS in accordance with the
interface specifications and operational procedures to be
agreed with Pathway and POCL.
Facilitate access for the installation and maintenance and
de-installation of Pathway equipment.
Provide Pathway with specifications of OBCS functions,
particularly for the known addition for stop and recall
receipt acknowledgements.
Provide Pathway with reasonable notice of change in such
specifications.
Aid agreement as principal with Pathway in the event that
Pathway and DSS‘s agents cannot agree on technical and
operational process.
960 IIdentify the precise events that should be recorded as zero-
value transactions for all products/services but particularly
for APS.
971 IPOCL shall identify all automated payment clients and their
data requirement.
POCL shall identify the nominated end of day time for each
Post Office, and the assumed end of day for data transmission
cut-off.
POCL shall agree with the Contractor the strategy for
achieving single-stream unreconciled data transmission to its
automated payment clients.
972 I None.
973 I POCL shall:-
Give due notification of intention to re-tender any POCL
Service.
Give due notification of changes in interfaces of their
systems and those of alternative or supplementary suppliers.
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Agree test specifications, schedules and reports for
replacement or supplementary POCL Services.
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SCHEDULE A17 - CCN LIST
PART 1
The CCNs to which Clause 610.10.1 applies are as follows:
CCN No. CCN Title
o08id Electronic Cash Account
0201 Minor Changes to Reference Data
O215b Approval of SADD V4.0
0228b Reference Data to AIS version 3.3
0229a Refererice data to Pathway AIS physical filename
0239a Clarification of Requirement 493
O261la Agreement of AP Client Take On Process-
0262 General Security Contingency plans
0263a Detailed format for all interfaces
0264 Interface Integrity controls
0268a Introduction of Safeguard Virtual Private networks
0277b Pathway to TIP AIS update to version 5.3
0280 Implementation - SLA: Operational Systems Help Desk
0281 Implementation - SLA: Operational Systems Help Desk
0286d Details of training courses
0288 Modify password expiry parameter in OPS
0289 APS Data Capture
0290a
POCL Interfaces
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2
CCN No. CCN Title
0292 Benefit Payment Service - OPS Interface: ESNCS to OBCS - (A2A Ref
Id: R956-3)
0301 APS Watercard Smart Product
0302 APS Quantum Smart Product
0304a Flat Panel Display Monitors (Flat Screens)
0310a Document to define APS Client Baseline
O312a Introduce references to POCL HAPS into Related Agreements
0313a HAPS Disaster Recovery proposal
0337 2 or 3 Week Cash Account
0338 APS Acceptance Specification
0340 Training Acceptance Specification
0342 Services Acceptance Specification
0343 MIS Acceptance Specification
0344 OBCS Acceptance Specification
0345 Security Acceptance Specification
0346 SLAs Acceptance Specification
0349 Siting of Infrastructure Elements in an Outlet
0350 AP Client Specifications
0353 Timing of Site Survey
0361 Audit Acceptance Specification
0362 Introduce updated version of OBCS Acceptance Specification
0363 Introduce Frame relay communications
0370 TIP Interface Acceptance Spec V 3.0
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CCN No, CCN Title
0376 British Gas Trading Simple Payment Module Smart Product
0377 Interim Type B Fallback Specification
0373 EPOSS Acceptance Specification
0379 Help Desk Acceptance Specification Version 2.0
0380 Reconciliation Acceptance Specification
0381 Rollout Acceptance Specification
0382 End-to-End Service Acceptance
0383 Schedule C3 Acceptance Specification
O384a Introduce Installation Strategy, IM/STR/026 as a Conrract Controlled
Document
(A2A Ref ID: R489, R501, $489-1)
0386 Number of Counter Positions (A2A Ref Id:R945-1)
0387 I ESNCS - Restate Ful! Stops and Recalls List
(A2A Ref-Id R9S6-1)
0388 Policies and Standards Acceptance Specification]
0395 APS Receipt - Client and Scheme Name
0400 To Introduce the POCL Reference Data Interface A.Spec. as CCD
0405a Amendment of $507 to Reference CCD for Definition of Xmas Period
0407 OPS Technology Refresh (A2A R560)
O4lia British Gas Trading Simple Payment Module Smart Product
0415 Introduction of 1999/2000 Cash Account
0419 Appearance of the OPS Equipment(A2A Ref.1d:R465/8465-1)
0420 OPS Interface ESNCS ta OBCS (A2A Ref Id: R956-2)
0426 Revision to Office Weekly Suspense Account Report
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4
CCN No. CON Title
0427 Client Report Upgrade to 1999/2000 Specification
0429a Introduce Document “Scheduling Strategy” as a Contract Controlled
Document (A2A Ref Id: R517)
0430 EPOSS - General Service Levels (A2A Ref Id: R871)
0431 Acceptance Specifications Consolidated Caveats as a CCD
0432a Acceptance Incidents Raised by the Contractor
0436 Siemens meter security
0437 Extension of training window to 10 days for Branch Offices in Live Trial
0453 Supply of Consumables. (A2A Ref 1d:$466-1)
0458 To Introduce the POCL Infrastructure Acceptance Specification as a
Contract Controlled Document
0474 Introduce Document “Removal Of Existing Customers From The Card
Scheme” as a Contract Controlled Document
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PART 2
The CCNs to which Clause 810.10.3 applies are as follows:
CCN No. CCN Title
0202a D104 Weigh Scales Connection
0245¢ Definition of “Working Documents”
02594 CSR Service Levels
0284 Measurement of Printer Times
0297 War Pensions Order Books Being Amended
0333a Amend APS Client Baseline
0399a Removal of references to costing in R915
0406 Delete Misplaced Text in POCL Schedule HO8 (A2A PHO8-3)
0413a Invoice Design (A2A PA10}
0417 APS Key Management (A2A $952-2}
0423a Audit Trail (AZA R699, $699-1, $699-2, $699-3)
0428b Update Contract Controlled List to Introduce New Versions of and
Additional Interface Specifications
0434b 1999/2000 Horizon Cash Account Format - to Allow ICL Pathway to
Update the Horizon Cash Account Report to Comply with Revised
Layout and Presentation
0441 Introduction of Network Business Support Centre - Live Trial
0444 Horizon OPS Reports and Receipts (A2As)
9445b Changes to Pathway to TIR AIS to Support Operational TIP
(04578 Amendments to Solution References 914 (A2As)
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6
CCN No. CON Title
0461 Disaster Recovery Provision for Huthwaite
0462 Introduce the Security Functional Specification V4.0 as a CCD
0465 Introduce the Security Policy Version 4.0 as a CCD
0466 Full Automation of the Cash Account Type B Feed to Pathway
0467a SADD (A2As)
0470 To Link a POCL Financial Year with a set of reports
0471 Restricted Functionality at Outlets (A2A $473-1}
0472 Change to Requirement 818/3
0473a Facilitate POCL Management of Products using Item Transaction Mode
0475 Live Trial Enhancement 1 - Validate the Office Brought Forward Figure
at Migration
0476 Live Trial Enhancement 2 - Stock Declaration Process for Shared Stock
Units to become Optional
0477 Live Trial Enhancement 3 - Allow Users to Select and Edit Existing
Stock, Stamp and Cash Declarations
0478 Live Trial Enhancement 4 - Reduction of Forced Cash, Stock, Stamp
Declarations
0479 Live Trial Enhancement 8 - Remove the Cash Account Snapshot
Function
0480 Live Trial Enhancement 7 - Declaration and Stock Adjustment of Linked
Products
0481 Live Tria! Enhancement 9 - Stamp Declaration by Volume Rather than
Value
0482 Live Tria] Enhancement 10 - Remove the Office Balance Process
0483, Introduction of the NR2 Processes and Procedures Description (PPD)
Documents as Contract Controlled Documents
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7
CCN No. CCN Title
0484 Introduction of Additional Copy of TMS Layer Following Loss of Single
Data Centre
0486 Business Continuity (A2A $830-1, $830-2, P/GO1-15)
0489 Change of POCL Registered Address
0490 Introduction of the Horizon Office Platform Service Style Guide
(SD/STD/001 V2.0) as a Contract Controlled Document
0492 Introduce Document “ICL Pathway Core Systems Release Contents
Description” as a CCD
0494 Introduce Testing Strategy Documents as CCDs (A2A Ref Id: $925-1)
0497 Resolution of A2A PFO1-2 (A2A Ref Id: PFO1-3)
0499 Benchmark Counter Transaction Times
The Change Requests to which Clause 810.10.3 applies are as follows:
CR No. CR Title
ROO48 Amendments to the OBCS Stop List
ROO49 Changes to Shared Stock Balancing Process
ROO5O Increase the 5 day training window to 10 days in ECCO+ offices
ROO5S3 New Requirements for M1Bs and UAEs following the removal of BES
and TT
ROOS7
LFS contract schedule KO1 - Data Retention
A991 760.220
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CODIFIED AGREEMENT
SCHEDULE Bi
SCHEDULE BOl
The tables below
Software provided for operational use by
their agents.
The Software described below is licensed
POCL SOFTWARE
list the Contractor and
with Part 5 of the Codified Agreement.
Third Party
POCL staff or
in accordance
Description and
Product Name
Scope & purpose
Class
‘Windows NT
Operating system
Third Party
Workstation” {Microsoft}
“Riposte” Riposte desktop, Third Party (An
messaging and journal Post/Escher)
systems
APS counter Counter Application to Centractor
Application support inpayments using
(SPPFY) magnetic cards, Smart
Tokens and bar-coded
paper bills.
OBCS counter Counter Application to Third Party (An
Application support the checking and) Post/Escher)
(SESNS+"} subsequent management of
order books.
EPOSS counter Counter functions to Contractor
and handle sale and service
administration transactions.
applicatio Administration function
(* PEF’) to handle access control
and counter and office
administration.
Auditor access fo provide auditor Third Party (An
to TMS access to TMS Journal Post/ Escher) &
records Contractor
LFS Counter Counter application to Contractor
Application support inventory
management processes
and, via EPOSS, the
generation of inventory
management transactions
“ESNS+” - Electronic Stop Notice System - Enhanced
“PREY ~ Pathway Payment Fa ty
“PERV - Pathway EPOS Facility
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CODIFIED AGREEMENT SCHEDULE BO2 RESTRICTED CONTRACTS
SCHEDULE BO2- POCL HARDWARE
1. TITLE IN HARDWARE
ie
Title in all Hardware supplied as part of the POCL
Service Infrastructure shall remain in the Contractor.
1.2, Title in any element of Hardware supplied as an
Optional Product or an Additional Product shall vest
in POCL upon acceptance thereof and full payment
therefor in accordance with the provisions of this
Codified Agreement.
2. NOTICE PERIODS FOR EXERCISE OF OPTIONS TO PURCHASE
OPTIONAL PRODUCTS
2.1. POCL shall give written notice of any exercise of its
options under Clause 206. Delivery shall be made by the
Contractor within thirty (30) days after receipt of the
relevant notice or such other reasonable period as may
be agreed by the parties.
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SCHEDULE B03 - DOCUMENTATION -
ia
1.2
14
1S
PURPOSE
This Schedule lists the Documentation that is referenced in this Codified Agreement
and which the Contractor shall license to POCL under the provisions of Clause 506.1.
Documentation that is not referenced in this Codified Agreement, but which the
Contractor otherwise agrees shall be licensed to POCL under the provisions of Clause
506.1 shall be listed in a separate document which shall be updated as agreed from
time to time.
{Not used}
Where the licence allows the Contractor’s Documentation to be modified by POCL
then any such modifications shall be solely to enable the presentation of information
to different groups of readers and shall not materially change or misrepresent the
meaning of information set out in Documentation.
With the prior written agreement of the Contractor, POCL may modify
Documentation listed in Part A for specified purposes.
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2. PART A
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The table below lists Documentation in respect of which the Contractor grants an IPR licence
to use and copy solely in connection with the POCL Services.
Measurement and Benchmarking
Document References
Horizon OPS Reports and Receipts - ICL Pathway I Fol, R764, G01
Horizon Office Platform Service
Horizon OPS Style Guide R475, R473, R98, GOL,
HOI, Ao2
Security Functional Specification R698, GOL
Service Architecture Design Document ROSL, R480, R973, R736,
R669, R830, ADL, Gor
TMS Technical Documentation R470, RB6D
Training and User Awareness Baseline Document EO1, FOl, Hol, G06
Counter Hardware Design Specification R469, GOL
Post Office Site Failure Contingency Procedures I R830, Gol
Release Contents Description R476
Pathway Release Policy RATE
IAP Client Design Specification R545, PEOL
Business Continuity Framework RE30
Pathway Security Policy R698
OBCS Access Service High Level Design ROSS
Counter Transaction Performance - £08, FO8, Hoe
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3. PART B
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The table below lists Documentation in respect of which the Contractor grants an IPR licence
to use, copy and modify solely in connection with the POCL Services.
Document
References
IAll Process and Procedures Descriptions
{PPDS)
R525, R923,
R927
CAI91890.016
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SCHEDULE BO04- POCL CONSUMABLES
1. SPECIFICATION OF POCL CONSUMABLES
L.l. The POCL Consumables required to operate the POCL Services
ain Outlets are identified in the table at paragraph 6.4.
1.2. The Contractor shall maintain a high level specification for
each of the POCL Consumables identified in the table at
paragraph 6.4. In the event that the high level
specification is unavailable, being information confidential
to the manufacturer, then the table at paragraph 6.4. shall
include a st of approved products by brand name where
appropriate.
1.3. POCL shall ensure that only products which meet the high
level specifications referred to in paragraph 1.2. are used
in that part of the POCL Infrastructure used to deliver OPS.
1.4. Where appropriate, the Contractor shall maintain a list of
products, by product identity, which comply with the high
level specification for each POCL Consumable and which the
Contractor warrants for use in that part of the POCL
Infrastructure used te deliver OPS.
1.5. Without prejudice to any rights the Contractor may have to
recover any reasonable additional costs and expenses which
the Contractor can show were directly incurred by it as a
result of POCL’s use of products which fail to meet the
high level specifications referred to in paragraph 1.2., the
Contractor shall be relieved of any remedies arising from a
failure of that part of the POCL Infrastructure used to
deliver OPS to the extent that such failure is directly
associated with POCL’s use of products which fail to meet
such specifications.
1.6. POCL may invite the Contractor to quote at any time for
products it does not at that time supply to POCL.
2. NEW PRODUCTS
2.1. Evaluation
2.1.1. No more than once each calendar year POCL may request the
Contractor to evaluate products for use in the delivery of
the POCL Services which are not on the list of approved
products maintained in accordance with paragraph 1.4. Such
evaluation shall include, where appropriate but not be
restricted to, the assessment of the following product
features:
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(a) external mechanical compatibility;
i. visual inspection to ensure that the preduct is
physically compatible;
ii. mechanical dimensions and fit;
(b) torque measurements;
i. torque measurements required to move printer
vibbons/tally rolls etc., absolute torque and
torque variance to be within specification;
(c) internal construction;
i. includes integrity of design and quality of
materials used;
(d) patent infringement
i. check carried out to ensure no patents are
infringed
(e) performance
i. assessment of representative batch
(£) production samples
i. testing of batch from production run
. When requested to do so in accordance with paragraph 2.1.1.,
the Contractor shall undertake evaluation and shall notify
POCL of the results of the evaluation within one month of
the date of the request.
. If the Contractor evaluates a product as acceptable it shall
be added to the list of approved products maintained in
accordance with paragraph 1.4. Such approval of new products
by the Contractor shall not be unreasonably withheld.
If the Contractor evaluates a product as unacceptable, the
Contractor shall provide a report, to POCL, within one month
of POCL's request for the product to be tested, detailing
the reasons for the product's unacceptability.
In the event that a product is evaluated by the Contractor
and found to be unacceptable, POCL reserves the right to
carry out its own evaluation, based on the product features
given in paragraph 2.1.1. and using the same criteria
applied by the Contractor. If following such evaluation POCL
considers the product to be acceptable then POCL shall have
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the option of invoking the escalation procedures in
Paragraph 2.2.
Escalation Procedures
. Where the Contractor and POCL disagree on the evaluation of
a product then the Contractor and POCL shall jointly appoint
an “expert” to carry out a further evaluation.
. The “expert’s” evaluation shall be based on the product
features given in paragraph 2.1.1. and using the same
criteria applied by the Contractor and POCL.
. The “expert’s* opinion shall be final and if the “expert”
considers the product to be acceptable, the Contractor shall
not unreasonably withhold the approval of the product and
its inclusion in the list of products in paragraph 6.4.
INITIAL SUPPLY
The Contractor shall provide, free of charge, an initial
supply of POCL Consumables to each working Counter Position
or Outlet to be delivered at the time of delivery of the OPS
Service Infrastructure for that Outlec. This shall
comprise:
a) Per Counter Position
° Three (3) single ply tally rolls for use in the counter
printer.
* One (1) standard black ink printer ribbon for use in the
counter printer.
b)Per Outlet
* One (1) pack of A4 paper (500 sheets} for use by the
back-office printer.
. The back-office printer will have any required
consumables (e.g. ink-jet cartridge, laser toner and
drum) pre-installed.
ON-GOING SUPPLY
Subject to notification by POCL in accordance with Clause
208, the Contractor shall commence the provision of an on-
going supply of any POCL Consumable identified in the table
at paragraph 6.4.
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4.2. Following receipt of ni fication by POCL in accordance with
Clause 268, the Contractor shall supply the relevant POCL
Consumable, throughout the period of validity of the
notification, in accordance with any relevant additional
provisions specified in this Schedule or in the notification
provided pursuant to Clause 208.
4.3. The Contractor shall use all reasonable endeavours to ensure
that a supply of all the POCL Consumables identified in the
table at paragraph 6.4. can be secured throughout the term
of the Codified Agreement. This provision shall apply
whether or not POCL has previously exercised its rights
under Clause 208 to procure such POCL Consumables from the
Contractor.
4.4. In the event that a POCL Consumable listed in the table at
paragraph 6.4. is unavailable, the Contractor shall, at his
own expense, source an alternative acceptable POCL
Consumable, The price for such alternative POCL Consumable
shall not be greater than the POCL Consumable for which it
is an alternative.
In the event that a POCL Consumable, listed in the table at
paragraph 6.4., is unavailable and an alternative cannct be
sourced, then the Contractor shall not be relieved of his
obligations to provide the POCL Services under the terms of
the Codified Agreement.
5. ORDER AND DELIVERY ARRANGEMENTS
5S... The Contractor shall accept orders in accordance with
Schedule Al0, and shall supply POCL Consumables to agreed
POCL managed distribution centres.
5.2. Subject to POCL notifying the Contractor of the requirement
for an ongoing supply of a POCL Consumable, in accordance
with Clause 208, the lead time for the commencement of
deliveries in respect of each individual order shall be
agreed between POCL and the Contractor at the time of
notification in accordance with Clause 208.
6. PRICES
6.1. All prices offered in the table at paragraph 6.4. are on a
product by product basis. POCL shall not be required to
order all POCL Consumables shown in the table at paragraph
6.4. in order to take advantage of the prices quoted
therein.
6.2. pOCL shall not be required to order all POCL Consumables
listed in the table at paragraph 6.4. in order to have new
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products added to the list in accordance with paragraph
w
ii.
iv.
A
£
is)
an
ll prices offered in the table at paragraph 6.4. are on a
ixed price basis subject to the following conditions:
the prices for ‘all POCL Consumables shown in the table at
paragraph 6.4. apply to orders placed up to 28 February
1998 and for delivery before 31 May 1998;
supply of those POCL Consumables which POCL opt to procure
from the Contractor shall be on a committed single source
basis, separately for each POCL Consumable, to 28 February
1998.
the prices for all POCL Consumables shown in the table
at paragraph 6.4. {as amended pursuant to (iv) below} shall
after the date specified in (ii) above, be subject to
annual vre-quotation, such quotes to be provided by the
Contractor by 31 October of each year for the following
twelve month period 1 March to 28/29 February, should POCL
opt to renew its single source commitment to the Contractor
for any POCL Consumable then it shall notify the Contractor
of such decision by 31 December of the relevant year.
on annual re-quotation under paragraph (iii) above, the
Contractor shall update the items shown in the table at
paragraphs 6.4. by listing all consumables which are then
required for the performance of the POCL Services other
than Contractor Consumables.
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6.4. Details
POCL High Level I Approved Minimum Order I Minimum Item Cost
Consumable Specification Product Quantity Consignment
Quantity
Tally rollsIAs specified 1,200 packs 50 packs £39.00 per
{packs of 100) }in the Ithaca pack
~ single ply) specification
100-2203 Rev ©
(attached at
Annex i) with the
following
additional
specifications
Grammage :56.4gsm
Footage: 73.15m
Paper type: 15.5#
Tablet Bond
Counter N/A European 20,000 3840 (supplied I £3.20 per
Printer ribbon Article on pallets of ribbon
{black ink) Number 3840)
(EAN) :
5031713
851004 OKI
Part No:
5108
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Poch High Level Approved Minimum Order I Minimum Item Cost
Consumable Specification Product Quantity Consignment.
Quantity
EPSON Stylus N/A SO20047 1 box 1 box £12.00 per
200 Inkjet cartridge
printer
cartridge
(black)
supplied in
boxes of 100
Tally rolls IAs specified 1,200 packs 50 packs £37.00 per
{packs of 100) I in the Ithaca pack
- single ply specification
100-2203 Rev C
(attached at
Annex 1) with the
following
additional
specifications
Grammage:55gsm
Footage: 58m
Paper Type: White
wood free “A”
grade
Panasonic KX- [N/A KX-PEPS 25 25 £105.00 per
P6500 laser process unit
printer
process unit
Panasonic KX- IN/A KX-P459 250 ~ 250 £11.00 per
P6500 laser unit
printer toner
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POCL High Level I Approved Minimum Order I Minimum Item Cost
Consumable Specification Product Quantity Consignment
Quantity
Screen wipes IN/A N/A 1,000 drumI250 drum packs I £5.00 per drum
(drum packs of packs .
100)
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Annex 1 - Specification for Single Ply Tally Roll
Attached (3 pages)
€A991620089
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This document and ‘noma JEP A) iraca ‘Part Number: I
ereon is e@ property of thas i .
Peripherals Ino all uaouthonee TF Peripherals 100-2203 I
use and/or reproduction is VA vy / Incorporated
prohibited A Subsidiary of Tridex Corporation Rev C I
Component Specification
Name:___ONE PLY PAPER 3 1/2 DIA_x 3.23 W
Unit: SERIES 50, 60, 70 & 90 PRINTERS
i T
I i
i
I
I
i
c I __erzores I 10.96 Me NA NA
a I ero I iiss. — I MLM
a I _BR-00757 2993 I MEM
Rev I Release No. Date I Dfs ECC Safety
REV. B: UPDATED SPECIFICATIONS
YD DRAWING
REV. C: SHT #2 - @.4554.010 REF WAS @.452/,465, @.8504.010 WAS ©.845/.855; CORE
MATERIAL WAS “PLASTIC”, CORE ID WAS “@.452/.465", CORE OD WAS
“@.845/.855", SHT #3 - REMOVED WALL THICKNESS & WEIGHT
Initial Release: Mooney. Date: 12/93
Designer Mooney __Date: 12/93
Engincer: Moone: Date: 12/93.
Drafter Mooney. Date: 12/93
Unspecified Specification Tolerances: XX=#/-.02
_XXX=#/-.005, <=+/-1 deg
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[This document and
thereon is the proge: a ey Vl awh fi Ithaca Pant Number: I
Peripnerais inc. All unauthonz V/) Wh Peripherals 100-2203
use andlor reproduction [s/ // — \ncorporated
prohivited it A Subsidiary of Tridex Corporation { Rev Cc
DO NOT SCALE DRAWING
-4554.010
REF
oe
1/2 MAX ~
(7 8504.010
REF
eT I
we
I_ SPECIFICATION DESCRIPTION
SPECIFICATION VALUE
fo WIDTH: -3:936:+.006,
I DIAMETER 03 1/2 MAX
es FOOTAGE 4 :
HOW SHIPPED
CORE OD 4.850.010
OVALITY .020
-_ DROP FITTER 445 J
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Ss SPECIFIC! ATION D DESCRIPTION
WARNING S
ROLL CLOSURE
CORE BOND I
CASE PART NUMBER
100-1667:
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SCHEDULE BO5- POCL ACCEPTANCE CRITERIA-
1, The POCL Service Infrastructure shall meet the following Acceptance Criteria, namely
that the elements of the POCL Service Infrastructure shall be as specified in Schedules
BO1 and BO2 and shall interwork with the POCL Service Environment specified in
Schedule 1, and that the POCL Service Infrastructure shall be technically capable of
supporting the provisions of the POCL Services to the standard necessary to ensure
that:
(a) data shall be received, stored and transferred in a secure manner, timeously,
without corruption and having been validated as specified in Schedule B8;
and
(b) data shall be secured against fraudulent attack as far as the Codified
Agreement requires.
6A991530.017
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NOT USED
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SCHEDULE B? RESTRICTED ~ CONTRA
THIS SCHEDULE IS NOT USED AND IS LEFT INTEN
NALLY BLANK
Page 1 of 1 Version 1.0
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SCHEDULE B08 - POCL VALIDATION PROCEDURES -
1
1a
1.2
34
3.2
PURPOSE
The Contractor shall validate all data received at each defined Service Boundary with
the POCL Service Environment, to ensure that any such transfer of such data is
secure, complete, accurate and robust.
POCL shall specify validation characteristics of ali data delivered to the Contractor at
each Service Boundary, The Contractor shall not unreasonably withhold agreement
to all such validation characteristics.
SERVICE BOUNDARIES
The Service Boundaries of relevance are at the interface between POCL Infrastructure
Services and:
@ TIP;
e Reference Data;
e LFS;
° POCL Clients;
e ESNCS;
id the HAPS migration specification.
e the point of data entry.
VALIDATION PROCEDURES
The Contractor shall validate ali data passed to its domain from POCL or any POCL
Client at each Service boundary in line with the validation specifications detailed in
paragraph 4 below.
All such validation shall ensure that each data item is validated by criteria including
as appropriate, but not limited to:
e by type (eg date);
e by reference to existing data (eg an existing Customer);
e with reference to whether the field is optional or mandatory;
® by range (eg maximum and minimum values);
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3.3
B.4
44
4.2
4.3
44
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o cross field validation, where the value of one field is dependant on the value
of data in another field.
All files shall be validated to ensure that they conform to the correct structure
ensuring that they contain, where appropriate:
@ the correct file header;
e the correct file structure;
® the correct number of records.
All files and records shall, where appropriate, be validated to ensure that they are
processed in the correct sequence.
VALIDATION SPECIFICATIONS
The following documents specify the validation that shall be carried out by the
Contractor on data received at the TIP to POCL Infrastructure Services Service
boundary:
° Pathway to Post Office Technical Interface Specification;
e Pathway to TIP Application Interface Specification.
The following documents detai} the validation that shall be carried out by the
Contractor on data received at the Reference Data to POCL Infrastructure Services
Service boundary:
e Reference Data to Pathway Application Interface Specification;
® Pathway to Post Office Technical Interface Specification.
The following documents detail the validation that shall be carried out by the
Contractor on data received at the LFS/SAPADS Service Boundary:
@ LFS to SAPADS and SAPADS to LFS Application Interface Specification.
® Pathway to Client Generic Technical Interface.
The following documents detail the validation that shall be carried out by the
Contractor on data received at the POCL Client to POCL Infrastructure Services
Service Boundary:
e the appropriate POCL Client Technical Interface Specification;
e the appropriate POCL Client Application Interface Specification.
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45 The following documents detail the validation that shall be carried out by the
Contractor on data received at the ESNCS Service Boundary to the Contractor's OBCS
service:
e OBCS Interface High Level Design
e OBCS Business Process Rules;
e DSS Client Interface Specification - OBCS.
4.6 The foliowing documents detail the validation that shall be carried out by the
Contractor on data received at HAPS Service Boundary to the Contractor APS service:
e the HAPS migration specification.
4.7 The validation that shall be carried out by the Contractor on data at the manual data
entry to POCL Infrastructure Services Service Boundary shall be as set out in
Schedules E01, FO1, G01, HO1 and KO1 as appropriate.
€A992530.018
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SCHEDULE BO9- TIMETABLE-
1 TIMETABLE
EVENT TO BE
@) CSR Core Observation Period from 31st May, 1999 to 26th July,
1999
di) End of CSR Operational Trial Review by 16th August, 1999
Period
Gd Release Authorisation for Core System I by 23rd August, 1999
Release
(iv) Commencement of Rollout of Core by 23rd August, 1999
System Release
iw) Final Deadline for CSR Acceptance 15th November, 1999
(vi) Provisional planned date for CSR+ April, 2000
€A991536.020
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C IED AGRE SCHEDULE B10 RESTRICTED CONTRACTS
SCHEDULE B10 - POCL REMEDY AGGREGATIONS
1. OVERVIEW
lel. This Schedule aggregates any liquidated damages due
as a result of failing to meet the Se
ted Transaction Times
, F8 (EPOSS), and H8
relating to maximum Contra
defined in Schedules E6& {APS
(OBCS) .
with Service Levels, the calculation
ice Levels
The reporting of actual levels of Service as compared
of liquidated
damages and the payment of liquidated damages, shall
be in accordance with Schedule A06.
1.3. All monetary values specified in this Schedule shall
be subject to annual indexation from May 1996. The
basis for this indexation shall be the Retail Price
Index.
2. CALCULATION OF REMEDIES
The liquidated damages for excess time are calculated
by aggregating the difference in time between the
actual Service component (excluding
element) and the contracted Servi
{excluding any manual elen
Transaction Time, for each o
1. APS and EPOSS
2. OBCS.
is)
iS
the following services as defined in
F8, and H8):
le. APS (from Schedule E8}
2. EPOSS (from Schedule F8}
3. OBCS (from Schedule H8)
any manual
ce component
the Contracted
The following variables are calculated for each of
Schedules E8,
T: the total number of Transactions for the Service
in question in the Service Level reporting
period for that Service;
Cc: the aggregation, as appropriate,
of the values
of © calculated in accordance with the relevant
Service Levels and Remedies Schedule (i.e. £8,
F8 or H8) for the Service Level reporting period
in question
REMEDY AGGREGATION Page 1 of 3
Version 1.0
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CODIFIED AGREEMENT HEDULE B1lO RESTRICTED CONTRACTS
2.3. Values of C and T relating to these Services are
distinguished in the formulae below by appending the
Service name in parentheses.
2.4. Transaction numbers (T) and the cumulative variance
(C} are considered in two groupings: the first group
is OBCS; the second group is EPOSS and APS:
2.5. Firstly, the totals of the C and T values for OBCS
are calculated.
T, = T(OBCS)
C, = C(OBCS).
2.6. Secondly, the totals of the C and T values for APS
and EPOSS are calculated.
Tz, = T(APS) + T(EPOSS)
Cz = C{APS) + C(EPOSS)
nD
The following calculations are then carried out for
each of C,; with T, and Cz; with T:.
2.8. The Minimum Acceptable Threshold is expressed as C, =
zero (09) seconds and no liquidated damages are
payable in respect of the Services to which Cy
relates when C, <= 0.
2.9. The Termination Review Threshold is:
C, > (Th * 0.5).
2.10 The liquidated damages for excess time are
calculated, based on the aggregated ail Outlet
figures of C, and T, (for the values n = 1 and n = 2),
as follows:
where (C, > 0) and (C, <= (T, * @.2)), then the
liquidated damages are:
Cy * O. 7p;
where (C, > (Ty, * 0.2)) and (C, <= (T, * 0.3)), then
the liquidated damages are:
(T, * O.24p) + ({Cy - (Ty * 0.2}) * 1.0p);
where (Cy, > (T, * 0.3)} and (C, <= (T, * 9.4}), then
the liquidated damages are:
(T, * 0.24p) + ({C, - (T, * 0.3)) * 1.4p);
REMEDY AGGREGATION Page 2 of 3 Version 1.0
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CODIFIED AGREEMENT SCHEDULE B10 RESTRICTED CONTRACTS
where (C, > (T, * 0.4)) and (C, <= (T, * 0.5)), then
the liquidated damages are:
(T, * 0.38p}) + ((C, - (T, * 0.4)) * 2.0p).
2.11. In the event that the actual level of Service falls
below the Termination Review Threshold for any two
(2) consecutive months then POCL may terminate the
Codified Agreement in accordance with Clause 902.2 of
the Codified Agreement. For the avoidance of doubt
this right of termination is in addition to the
general rights of termination specified in paragraphs
4.4 and 4.5 of Schedule A06.
REMEDY AGGREGATION Page 3 of 3 Version 1.0
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SCHEDULE CO1- POCL OPTIONAL SERVICES
1. The Contractor shall, if so required by POCL in accordance with Clause 202,
provide, on reasonable notice, any or all of:
(a) training services as defined in the Training and User Awareness Baseline
Document, beyond the volumes described in the solution to requirement
915;
(b) Operational Business Change;
te Out of Hours Support to POCL sites as provided for in paragraph 8.2 of
Schedule A12.
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CODIFIED AGREEMENT EOL RESTRICTED CONTRACTS
SCHEDULE EO1-APS SERVICE DEFINITION
1. INTRODUCTION
Led. This Schedule details the Automated Payment Service
{APS} which the Contractor shall provide.
~
i
The APS is a generic POCL Service which, in conjunc
with EPOSS, enables POCL to provide a range of payment
services to the customers of many POCL Clients. Specific
payments and the APS Transactions which support them
shall conform to the relevant AP Client Specification,
which in turn shall reference POCL APS Generic Rules and
appropriate Token Technology Sp fication({s}.
{Fs4.1.2.1]
w
. The Contractor shall provide APS in accordance with the
Service Levels set out in Schedule E08.
2. SCOPE
2.1. Tokens
i. The APS shall support the fellowing range of Tokens
(R543):
. Landis & Gyr PISCES Smart Token;
. GEC Meters WATERCARD Smart Token;
. Schlumberger Smart Key for the water industry;
° Schlumberger Smart Key for the electrical industry;
. Magnetic Stripe Cards;
. British Gas Quantum Smart Token;
* Bar coded documents.
2.1.2. The Contractor shall provide assistance to implement an
interface to additional third party applications/Tokens
if so required by POCL. [R544]
2.2. Clients
. The Contractor shall provide the APS to POCL in respect
of all its APS Clients as at 15 May 1996. [R544]
2.2.2. The Contractor shall develop, implement and maintain the
APS in a generic way and provide facilities such that
Clients or APS Client Service Types may be added to,
modified, or removed from, the APS on a regular basis
APS Service Definition Page 1 of 7 Version
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CODIFIED AGREEMENT SCHEDULE EO1 RESTRICTED CONTRACTS
3.
3.1.
4.1.
for Clients using Tokens supported by the APS, Such
changes shall minimise any disruption to the APS, and
shall be at minimum cost to POCL.[R544] The full list of
Client and APS Client Service Types is recorded in the
CCD entitled Automated Payments System Client List as
updated from time to time through the Change Control
Procedure.
. The Contractor shall make reasonable endeavours to
provide technical assistance to support POCL’s
relationship with Clients and potential Clients. [R544]
GENERAL CONSTRAINTS
Service delivery access points
The Contractor shall deliver the APS using the POCL
Infrastructure Services. The Contractor shall ensure
that appropriate APS Transaction data shall be available
for use within EPOSS. [R546]
The APS shall record all Events and Transactions in an
audit trail using the fa ities of, and maintained by
the POCL Infrastructure Services. [Post discussion with
John Dicks]
The Contractor shall make the APS available at all
Counter Positions, subject to the limits contained in
Annex 5 of Schedule Al2, and at such other places where
the POCL Service Infrastructure exists. [R546]
The Contractor shall ensure that the availability of
each APS Client Service Type at each Outlet is
individually controllable on authority from POCL, via
Reference Data records. [R546]
SERVICE BOUNDARY TRANSACTIONS
Counter Service
Data Capture
. The APS shall, as a minimum, validate data, whether read
from Tokens or entered by the User, in accordance with a
set of rules identified in:
{a} POCL APS Generic Rules;
(b) Token Technology
(c) the AP Client Specification.
§ Service Definition Page 2 of 7 version 1.0
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CODIFIED AGREEMENT SCHEDULE EOL
SSTRICTED CONTRACTS
4,1.2. The APS shall check data, whether read from Tokens or
entered by the User, against any valid Client data or
Reference Data for the ent Service Type (e.g. stop
lists) and take the action prescribed in the relevant AP
Client Specification or Token Technology
Specification. [R547]
4.1.3. The Contractor shall ensure that data are captured
correctly, robustly, accurately, securely and as agreed
with POCL. [R547]
4.1.4. The APS shall enable the Reversal of Committed
Transactions if eligible for Reversal as defined in:
(a) POCL APS Generic Rules;
(b) Token Technology Specifications;
cation.
(c) AP Client Spec
[R549]
4.1.5. The Contractor shall provide a secure and auditable
process for dealing with such Reversals[R549].
4.1.6, The APS shall display User instructions specific to a
nt Service Type as identified in the relevant AP
nt Specification. [R547]
Token Update
shall write data to APS Tokens in accordance
identified in e appropriate Token
Technology Specification, AP Client Specification and
POCL APS Generic Rules. [R550]
Customer Receipts
4.1.@. The APS shall ensure that a Transaction is Committed and
a receipt is produced for the Customer when one of the
following is true [R548]:
when monies have been recorded as accepted;
a Committed Transaction has been reversed;
a Token has been issued;
a Smart Token has been accessed (including an
abandoned or enquiry Transaction).
4.1.9. The Transaction receipt shall include, as a minimum,
information sufficient to provide a Transaction audit,
pius any other information identified in the appropriate
AP Client Specification and Token Technology
Specification. The receipt produced for a Reversal
Transaction shall identify it as a Reversal and identify
the original (reversed) Transaction. [R551]
APS Service Definition Page 3 of 7
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CODIFIED AGREEMENT SCHEDULE EO1 RESTRICTED CONTRACTS
4.1.10. The APS s enable individu
ingual receipts (Welsh and Engi
Outlets to produce
h). [R551]
Methods of Payment
4.1.11. The APS shall enable the User to input the Methods of
Payment identified in the appropriate AP Client
Specification and/or Token Technology Specification.
[ext]
Other services
4.4.12. The APS shall provide a facility that manages the
issve at Outlets of replacement APS Tokens and APS
Tokens for new Customers as directed by POCL, The
detailed operation of the facility shall be specified in
the appropriate AP Client Specification and Token
Technology Specification when required. [R799 and ext]
The APS shall, by use of standard EPOSS facilities,
allow authorised Users to retrieve Committed Transaction
information for the purpose of resolving Customer
queries in Outlets. [R551]
4.2. External interface services
Data delivery
4.2.1. The APS shall maintain and deliver Committed
Transactions to POCL and Clients in accordance with the
following:
{a} POCL APS Generic Rules;
(b) the appropriate AP Client Spec nj
(c) Token Technology Specification. [R552]
4.2.2. The APS shall ensure and demonstrate that all Committed
Transactions have successfully passed from the Outlets
through te POCL internal systems and Clients. [R@90]
4.2.3. The APS shall ensure there is at least one point in the
day when all Transactions to be sent to a Client are in
step with those to be sent to POCL. [R890]
Client data collection and distribution
4.2.4. The Contractor shall ensure that Data Files from POCL
and Clients are collected/received and validated in
accordance with the relevant AP Client Specification,
Token Technology Specification and POCL APS Generic
Rules. [R553]
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CODIFIED AGREEMENT SCKEDULE E01 RESTRICTED CONTRACTS
4.2.5, The Contractor shall ensure that Data Files from POCL
and Clients are available to all, groups of, or specific
Outlets in accordance with the appropriate AP Client
Specification, Token Technology Specification and POCL
APS Generic Rules. [R553]
5. FALLBACK AND RECOVERY
Fallback
5.1. The APS shall include fallback procedures and facilities
for situations when a User is unable to use elements or
all of the POCL Service infrastructure (for whatever
reason) and this provision shall maintain the integrity,
auditability, security and levels of Customer service.
[R554]. Such procedures and facili may include
directing Customers to alternative facilities in Outlets
with multiple Counter Positions. [8554]
5.2. In the event of a printer failure at an Outlet, the APS
shall provide the User with sufficient information to
enable a receipt to be produced manually. [R551]
Recovery
5.3. Following a Service failure, the APS shail ensure that
[R554]
. the affected office(s) are automatically returned to
a known position and each User is able to identify
what Transaction data have to be recovered;
* any previously recorded data which may have been
corrupted are discarded;
* data recovery can be achieved ftly and in an
auditable way, with minimal impact on Customer
service,
5.4. The APS shall provide facilities for the re-input
(recovery) of previously captured Transaction data which
have been lest following an Incident, and for the input
(recovery) of the details of Customer Transactions
performed whilst the POCL Service Infrastructure was
unavailable. [R554]
5
5.8. The APS shall
ow the over-riding of certain
validation rules for recovery Transactions, as specified
in the appropriate AP Client Specification. The APS is
not required to produce a receipt for recovered
Transactions. [R554]
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IPIED AGREEMENT SCHEDULE E01 RESTRI CONTRACTS
6. MANAGEMENT INFORMATION [DERIVED FROM R894]
6.1. The Contractor shall provide management information with
reference to service performance accordance with
Schedule E08. The details of this shall be defined in
the POCL MIS Reports document.
vin SUPPORT SERVICES
7.1. APS help desk
7.1.1. The Contractor shall provide an APS support facility
through the Horizon System Helpdesk service. The APS
support shall be av able for use by all Users of APS,
as soon as APS is made available to them. [derived]
7.2. Training
7.2.1. The detailed training specifications shall be defined in
“Pathway’s Training and User Awareness Baseline
Document”.
7.3. User Documentation
[derived from various requirements inc 915]
7.3.1. The Contractor shall produce PPDs in support of the
delivery of the APS.
7.3.2. The Contracter shall amend/update PPDs as required from
time to tim in accordance with changes to the APS
introduced in accordance with Schedule AO
Technical documentation
7.3.3. The Contractor shall provide technical and overview
decumentation describing the APS. The technical and
overview umentation shall be in sufficient det to
allow POCL to market the APS to nts and potential
Clients and to consider the suitability of additional
services. [R545]
7.3.4. The Contractor shal agree the content of technical
documentation and any changes to it with POCL. [R545]
AP Client Specification
7.3.5. The Contractor shall develop and maintain an AP Client
Specification for each Client/Client Service Type of the
APS, which includes, but is not 1 ed to: [R545]
a)Client identity and overview.
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This sect
specific
provides an overview of the
objectives in relation to the APS.
on shall identify the Client for whom a
instance of the APS is to be provided and
ent’s business
b) Tokens and Methods of Payment
A description of the Token(s) that the Client
requires its customers to use and the Method(s) of
Payment that are acceptable to the Client.
Transaction data
Contents
Validation
Sort /Substitution/Customisation
Batching
Transfer
c)Other data
Contents
Validation
Availability
d)Client interface specification
A technical specification in sufficient detail to
allow the required data exchanges to take place
e}Client service levels.
f)Reference to the relevant parts of POCL APS Generic
Rules and Token Technology Specification, including
confirmation of compliance with any mandatory aspects
contained therein.
g} Fallback operation
h})Token issue
7.3.6. The Contractor shall agree the content of and changes to
the AP Client Specification with POCL before the
activation of that APS or change for that Client. [R545]
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SCHEDULE E02 - APS ACCEPTANCE CRITERIA
1. Subject to Clause 201.6, the APS shall meet the
following Acceptance Criteria, namely that APS shall be
as specified in Schedule E01 and interwork with the POCL
Infrastructure Services specified in Schedule G01,
ensuring that:
(a) data shall be received, stored, captured and sent in
a secure manner, timeously and without corruption;
and
(b) APS shall be secured against fraudulent attack as far
as the Codified Agreement requires; and
(c) APS has the contingency arrangements specified in
Schedules E01 and E09 and that all contingency
arrangements can be implemented successfully; and
{(d) APS meets the maximum Contracted Transaction Times
specified in Schedule E08 and the Minimum Acceptable
Thresholds specified in Schedule E08.
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CODIFIED AGREEMENT SCHEDULE E03 RESTRICTED CONTRACTS
SCHEDULE EO3- APS POCL RESPONSIBILITIES
1. INTRODUCTION
This Schedule specifies the actions and responsibilities
that P shall fulfil in order to enable the Contractor
to meet its obligations under Schedule £01 and related
Schedules.
te
i
The table under paragraph 2 below matches the paragraphs
in Schedule EOl to the POCL Responsibilities that are
set out in Schedule Al6 of the Codified Agreement.
1.3. For the avoidance of doubt the omission of relevant POCL
Responsibilities from paragraph 2 below shall not
relieve POCL from any such relevant POCL
Responsibilities as are expressed in Schedule Al6 of the
Codified Agreement.
2. POCL RESPONSIBILITIES
Paragraph reference Responsibility
343
«2.1, 2.2.2, 2.2.3 544
: 546
Pode) ee) raed NS) ed ed ed ed ed od ed ed
ue
3, 4.1.6 547
:5 549
550
548
5.2 SSi
799
952
890
$53
1969 554
915
$45
894
wl
ws] m] ue] 00)
w
Es
nis
[Po] Ll oo] a8] 0)
wilt Ie
wo]
~sI
w
S
~
w
wy
4
oO
of ~} afr} ep eds) oto) as} Ie! col po] po
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CODIFIED AGREEMENT SCHEDULE EO4 RESTRICTED CONTRACTS
SCHEDULE E04- APS ROLL-OUT AND IMPLEMENTATION
1. The roll-out and implementation of those elements of APS
to be delivered as part of the Core System shall be
coincident with the roll-out and implementation of the
POCL Service Infrastructure as defined in Schedule G06.
2. The roll-out and implementation of those additional
elements of APS to be delivered as part of CSR+ shall be
part of roll-out and implementation of CSR+.
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SCHEDULE EO5- APS SERVICE MANAGEMENT
1. OBJECTIVES OF SERVICE MANAGEMENT
1.1. The objectives of the management of the APS are to
monitor and manage the delivery of the APS, and to
report on the same to the Contract Steering Group
defined in Schedule A04.
1.2. The sections below detail (without limitation) the
specific objectives of key activities that will be
undertaken. The significance of the detailed tasks may
vary over the life of this Codified Agreement.
2. ORGANISATION
2.1. General
2.1.1. The Contractor and POCL shall establish an
organisational structure to manage the delivery of the
APS in accordance with Schedule E01 and all other
applicable provisions hereof. The key roles within this
organisation are identified in sections 3 and 4 below.
2.1.2. Any changes to the organisation defined in this Schedule
shall be made in accordance with Clause 102.2.
2.1.3. The specific individuals to fulfil the roles identifi
in the organisation shall be communicated in wri
between the parties to this Codified Agreement.
3. CONTRACTOR ROLES KEY TO THE DELIVERY OF THE SERVICE
3.2. Introduction
3.1.1. The roles and responsibilities within the Contractor's
organisation specific to the delivery of the APS are
detailed below. One person may perform more than one of
these roles.
3.2. Operational Service Manager
3.2.1. The Operational Services Manager shall be responsible
for building a strategic relationship at the appropriate
level in POCL with an emphasis on operational
requirements of this Service. The Operational Services
Manager shall attend the quarterly Service Review
Meeting.
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3.3.
Service Manager
3.3.1. The Service Manager shall be responsible for the overall
delivery of the APS to POCL. The Service Manager shall
specifically be responsible for:
a)the maintenance of Service Levels in accordance with
Schedule E08;
b)the provision of monthly service reports as described
below;
¢)briefing the Contractor’s attendees at the Contract
Steering Group Meetings as described in Schedule A04;
d)briefing the Operational Services Manager in advance of
the quarterly service review meetings;
e) facilitating joint quality initiatives with POCL.
The Service Help Desk Manager
. The Horizon System Helpdesk manager for this service
shall be responsible for the management of POCL problems
and enquiries.
4. POCL ROLES KEY TO THE DELIVERY OF THE SERVICE
4.1. Introduction
4.1.1. The roles and responsibilities of POCL specific to
Service Management are detailed below. One person may
perform more than one of these roles.
4.2 Business manager
4.2.1. The POCL Business Manager is the individual responsible
for the business which the Service supports. The
Business Manager shall attend the quarterly Service
Review Meeting.
4.3. POCL Liaison Manager
4.3.1. The POCL Liaison Manager is responsible for the day-to-
day liaison with the Contractor. The POCL Liaison
Manager provides the first point of contact with the
Contractor. This manager shi specifically be
responsible for:
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(a) monitoring delivered Service Levels;
(b) receipt and analysis of the Contractor's monthly
service reports;
(c) briefing the POCL Business Manager in advance of the
Service Review Meetings;
{d) briefing the POCL attendees at the Contract Steering
Group Meetings as described in Schedule A04;
fe) facilita
Contractor.
g joint quality initiatives with the
Key Personnel
. The specific individuals who fulfil the roles defined
for POCL shall be notified to the Contractor in writing
in advance of their taking up the post.
5. ESCALATION PROCEDURES
5.1 The Contractor and POCL shall operate escalation
procedures for issues affecting the APS in accordance
with the provisions of Schedule A04 of the Codified
Agreement.
6. MONITORING
6.1. Service Reporting
6.1.1. The Contractor shall provide POCL with monthly service
management reports, which shall be produced within
five(5}) working days of the calendar month end, unl
agreed otherwise. The service management reports shall
allow POCL to monitor the Contractor's Service provision
and achievement of the Service Levels.
6.1.2. Service management reports shall include but are not
restricted to the following attributes:
(a) availability of service;
(b} service breaks/service failures;
(c) planned maintenance breaks;
(a) service delivery changes; and
(e) Incidents resolved and outstanding;
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(£) and data to support Schedule E8.
6.1.3. The Contractor shall provide POCL with access to the raw
data used to generate service management reports when
requested to allow POCL to generate POCL internal
reports.
6.2. Service Review Meetings
6.2.1. The POCL Business Manager and the Contractor's
Operational Service Manager shall meet every three
months (or as otherwise agreed by the POCL Business
Manager and the Contractor’s Operational Service
Manager) to review Service Levels, Incidents and
Problems reported in the previous period.
6.2.2. In addition POCL shall advise the Contractor of its
requirements for implementation of the Service at new
Outlets.
6.2.3. Other Contractor staff and POCL staff may attend these
meetings at the request of either the Contractor or POCL
to resolve particular matters on the agenda.
6.2.4. A typical agenda for such a meeting may include, without
mitation:
(a) Service management reports;
{p) highlights of previous period’s service statistics,
concentrating on failures to meet required Service
Levels, including major Incidents reported, Service
trends and Service achievements;
(c} explanation of unresolved Incidents and, in
particular, any matters still outstanding;
{d) review of the on-going actions, such as fault
correction, agreed service changes and any POCL
related work;
(e) change management progress report;
{f) suggestions for improvements to Service;
(g) advance notification of major changes and new work,
and review of the impact these may have on Service
requirements;
(h) any implementation requirements.
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6.2.5. The Contractor shall prepare the necessary reports for
discussion at these meetings.
6.2.6. POCL shall keep a record of these meetings and shall
distribute the record to the Contractor and to the POCL
Contract Manager for review at the Contract Steering
Group Meeting (see Schedule A04).
6.2.7. The Service Review Meeting shall normally take place
at least five (5) days after the delivery date of each
third monthly service management report provided by the
Contractor
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SCHEDULE E06- APS SERVICE TRANSFER
This schedule is not used and is intentionally blank.
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CODIFIED AGREEMENT SCHEDULE E08 RESTRICTED CONTRACTS
SCHEDULE E08 ~ APS SERVICE LEVELS AND REMEDIES
1. PURPOSE
l,i. This Schedule specifies the generic Service Levels for
APS No specific imp APS for a
mt(as defined in an AP C Specification) shall
operate at a lower standard of Service Levels than these
generic Service Levels.
1,2. A specific AP Client Specification may add Service
Levels and remedies in areas not covered by the generic
service levels and remedies described below.
Service availability
1.3. APS shall be fully available in an Outlet whenever
Outlet is open, either through normal procedures or
in fallback unless otherwise agreed by POCL.
Transaction time
1.4. The maximum Contracted Transaction Time
manual, EPOSS, and APS components) of a
supported Transaction within a Customer Session shali
be:
Transaction types i Maximum Contracted
(APS) L Transaction Times {seconds
Cash payment, no ° 19.96
tokens handed back
to customer, using
a magnetic card
Cash payment, 21.52
tokens handed back
to customer, using
a magnetic card
Cash payment, using I 26.56
Smart Token i
1.5. automated APS components to be measured on an
ls basis shall be determined by reference to the
entitled “Counter Transaction Performance
Measurement and 8 arking”. Target times shall be
agreed between POCL and the Contractor prior to the
Operational Trial Acceptance Date and shall be recorded
in the APS Benchmark Counter Tran. tion T s document
against the APS Transaction Types shown in table above.
Target times for future releases shall be agreed prior
to release autho ation and the APS Benchmark Counter
Transaction Times document will be updated
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ULE E08 RESTRICTED CONTRACTS
1.5.1 The printer component actual time shall be measured in
accordance with section 7/8 of the CCD entitled “Counter
Transaction Performance Measurement and Benchmarking’.
1.5.2 For the calculation of ‘C{APS)’ as defined in paragraph
3.1.2 the actual printer system time, will be deemed to
be the same as the benchmark time recorded in the CCD
entitled ‘APS Benchmark Counter Transaction Times”
except on the ions that actual measurements are
taken as per 1.5.
Data File collection/receipt and delivery
1.6. Delivery of Transaction records shall not normally be
before 03:00 on the day following the completion of
Transaction (referred to as “day BY in the tables
below) .
1.7. Immediate data collected or received by 20:00 shall he
available at all relevant Counter Positions by the start
of the following POCL Core Day. Advance data collected
or received by 20:00 shall be available at all relevant
Counter Positions by the rt of the second POCL Core
Day after collection or receipt. [R553]
1.8. The principles for the classification of Data Files as
immediate or advance shall be contained in the CCD
entitled “POCL Automated Payment Generic Rules”.
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SCHEDULE E08
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2. SERVICE LEVELS
Service Level Threshold
Service Requirement Reporting Minimum Acceptable Termination Review
Period (MA) (TR)
APS ansaction Monthly All APS @ overall average
times Transactions Transaction is
operate within the more than h,
maximum Contracted second greater than
Transaction Times the maximum
in the table under Contracted
paragraph 1.4 Transaction Times in
the table under
paragraph 1.4
2.Data File delivery I Monthly 97% of a 982 of all
Transac n records I Transa nm records
delivered by day B;
99% of all
Transaction records
delivered by day C
delivered by day D;
(i.e. 1 day after
day B);
1008 of all
Transaction records
delivered by day D
(i.e. 1 day after
day C)?:
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RESTRICTED CONTRACtio
Service Level Threshold
Service Requirement
Reporting
Period
Minimum Acceptable
(MA)
Termination Review
(TR)
3. APS
data
reference
Monthly
97% of Counter
Positions can
access the data the
next POCL Core Day
99% of Counter
Positions can
access the data the
second POCL Core
Day following;
100% of Counter
Positions can
access the data the
third POCL Core Day
following;
n/a
Note;
that will
There is,
at present,
applied post- NK2 implementation.
The resultant SLA
workgroup activity taking place between POCL and ICL Pathway
revisit and upgrade Reference Data SLA’s.
findings will be
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IFIED AGR
3. REMEDIES
3.1. Liquidated Damages
Transaction times
3.1.1. The liquidated damages payable by the Contractor shall
be based on a series of measurements, accumulated over a
range ef Services. This Schedule specifies the
contribution made by the APS, while the formulae for
calculating the value of the lig ated damages and the
effects of the accumulation of effects over the range of
Services is described in Schedule B10.
w
he
nN
. The following variables shall be recorded and used in
calculating the remedies:
. T (APS): e total number of APS Transactions in the
reporting period;
mulated difference between the
and the
. C{APS): the total ac
actual measured variable system componen
agreed benchmarked variable system compone in the
ecD entitled “APS Benchmark Counter Transaction
Times” against the APS Transaction Types shown in the
table in paragraph 1. 4 plus the total accumulated
difference between the agreed benchmarked total
transaction times and the maximum total transaction
times.
lating the value for C(APS) above, APS
ons which take place in faliback mode (a
fore cannot be accurately accounted for in Service
rements) shall be considered to have taken a
ised time.
3.1.4. The following Fallback scenarios have been identif
the Contractor:
ied by
{a} Token failur
The Service ils to read the magnetic stripe on the
Token due to, for example, damaged Token.
Assumes Counter Clerk shall swipe the Token twice
before keying Token number. The Contractor shall
distinguish between a token failure and a token reader
failure.
(>) Token reader failure
Assumes Counter Clerk knows Token reader
therefore does n swipe Token before
number. In multi-Counter Position Outlets, where
ical, Customers shall be directed to another
nex Position and fallback procedures need not be
invoked.
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(c) Smart Token / Key failure
Service fails to read the Smart Token/Key due to,
for example, damaged Token/Key. Such Tran i
cannot be manually processed as it is not possible to
write to/from the Tok and shall become
Transactions.
(dj Smart Token / Key reader failure
-Counter Position Outlets, where practical,
shall be directed to another Counter
Position. In single Counter Position Outlets, such
ctions cannot be manually processed as it is not
ble to write to/from the Teken/Key and shall
come lost Transactions.
(e} Printer
Assum ter Clerk
must ou ine to imprint Teken details on
the receipt with f her details bei hand-written.
For Smart Tokens, where details are not embossed on the
Token, all details must be ha ritten on the receipt.
In multi-Counter Position Outlets, where practical,
Customers shall be directed to another Counter Position
and fallback procedures need not be invoked.
(f) PC failure
This may be due to either the PC, monitor or keyboard
ling. For Token Transactions, the Counter Clerk
ll use the zip-zap machine to imprint the Token
ils on the receipt with further det s being hand~
The receipt shal later be ed to capture
saction when the Service becomes available. In
unter Position Cutlets, where practical,
Customers shall be directed to anotherCounter Position
and fallback procedures need not be invoked.
3.1.5. The following table identifies the synthesised times for
a range of fallback scenarios. These times shall be
validated as part of Operational Trial, and adjusted by
ment. between the parties. The difference between
synthesised times and the appropriate Contracted
saction Time shal be added to C{APS). The
ractor shall report to POCL occurrences of each
scenario. The synthesised times for the fallback
scenarios are:
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[Fall hpayment, Cash payment, I Cash
I Reason ;no Tokens I) Tekens handed I payment,
i I handed back to I back to customer, using Smart
{ / customer, /using magnetic Token or key
I I using magnetic I card
i card
Token
21.21 seconds 24.42 seconds ‘i
~ Lost
Transaction
50.28 seconds / 47.70
_ seconds
.68 seconds Lost
3.1.6. The liquidated damages for exces time are calculated,
based on the all Outlet figures of Tz and C,; as described
in Schedule Blo.
3.1.7, In the event that the actual level of Service falls
below the Termination Review Threshold for any two (2)
consecutive months then POCL y terminate the Codified
Agreement in accordance with Clause 902.2 of the
Codified Agreement. For the avoidance of doubt this
right of termination is in addition to the general
rights of termination specified in paragraphs 4.4 and
4.5 of Schedule AO06.
Lost Transactions.
3.1.8. Where it is agreed that a Transaction is classified es
having no fallback and component failures prevent the
Trans ion from taking place at an automated Counter
Position, a synthesised number of lost Transactions
shall be calculated. The numb of seconds to be
ributed shall be calculated by summing the Contracted
Transaction Times for each Transac n lost.
The Contractor shall be able to determine the number of
normal transac ns (ie not performed in fallback) for
any time span, for each Outlet, over the prior month. At
Transaction I
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month end, for each reported incidence of fallback
operation, the system shall estimate the number of APS
Transactions performed in fallback during the specific
period by accumulat the total number of APS
transactions performed in that Outlet in equivalent time
spans of the same day of the week during the preceding
four weeks and dividing by four. If no matching period
for any of the four weeks can be identified then
number of tran ons in that particular period of
week may be assumed to be zero
Data file delivery
. The liquidated damages due to late delivery of Data
Files are calculated as follows:
Liquidated damages =
(({190 - actual level of Service by day D) / 100) *
total number of Transactions * 1.0 pence) +
- actual level of Service by day €) / 100) *
number of Transactions - any also failing at
i * 1.0 pence) +
(((97 ~ actual level of Service by day 8) / 100) *
(total number of Transactions - any also failing at
day D and day C) * 1.09 pence).
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CODIFIED AGREEMENT SCHEDULE E09 RESTRICTED CONTRACTS
SCHEDULE EO9- POCL CONTINGENCY SERVICES
1. The APS Contingency Services shall be as specified in
the contingency plans to satisfy Requirement 830 in
Schedule Als.
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SCHEDULE FOQ1- EPOSS SERVICE DEFINITION
a. INTRODUCTION
1.1. This schedule details all the requirements relating to
the EPOS Service (EPOSS) which the Contractor shall
provide.
1.2. The Contractor shall be responsible for all the
resources, facilities, procedures and systems necessary
to deliver the POCL Service specified in this Schedule.
2. SCOPE
2.1. EPOSS shall provide functions across four service
boundaries:
(a} to the Counter Clerk in support of dir Customer
service, including a till function and in support of
POCL Services delivered over the POCL Service
Infrastructure;
{b} to the Counter Clerk and other Users within Outlets
in support of EPOSS = Ad stration {including
reporting functionality);
(c) transfer of data to Client and POCL systems and
services outside the POCL Service Infrastructure;
{d) for management information.
2.2. [Not used}
2.3. The Contractor sh provide EPOSS in every Outlet for
the hours that each is open for business. [From B03]
3. CONSTRAINTS
General
3.1. EPOSS shall be provided solely through the medium of the
POCL Infrastructure Services. [Implied by 835]
3.2. Where date and time data are required, EPOSS shall use
that set within the POCL Service Infrastructure. [R806]
3.3, EPOSS shall have the facility to accept data, via the
POCL Infrastructure Services, from a variety of media
including, but not limited to, Tokens, keyboard,
electronic scales, and bar codes. EPOSS shall allow
additional functionality to accept data from other
agreed peripheral devices to be added. [R825]
ersion
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3.4.
wo
4.1.
EPOSS shall be event driven so that data capture and the
recording of information relating to POCL Services using
the POCL Infrastructure Services is dynamic. EPOSS shal
be flexible enough to support the introduction of new
POCL Services using the POCL Infrastructure Services in
an integrated manner and thereby ensure that any ne
POCL Preduct is event driven and that EPOSS is
automatically updated. [R825]
EPOSS shall be flexible enough to support the
introduction of new POCL Services for Clients in an
integrated manner and ensure that any new POCL Product
can be added, and that EPOSS automatically updated.
[R811]
is
EBPOSS shall ensure that all Transaction and process data
captured through EPOSS are available to any POCL Service
delivered through the medium of OPS and specified by
POCL as requiring access to those data. [R823]
Access to EPOSS shall be under the control of the User
access facilities of the OPS and shall allow specific
EPOSS functions to be restricted to authorised Users.
Bach function within EPOSS shall have an associated User
authority level into which Users can be assigned by the
Outlet manager. [R816, 820]
shall be a robust POCL Service, features
EPOSS including
to:
(a) warning
critical
consistency,
errors
reporting errors,
and preventing
check internal
of non critical
errors;
{b}) refuse deletions if there is dependent business data
which would lead to consistency of data within the
POCL Service Infrastruct i
{c) make Reference Data available at the counter
terminals;
(d) check Reference Data consistency and report
exceptions. [R818]
SERVICE BOUNDARY TRANSACTIONS
General
4.1.1. EPOSS shall provide reconciliation and accounting
facilities for all Transactions using EPOSS.
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4.2.
Counter Service
4.2.1. EPOSS shall include the ability to subject Transaction
data to validation by format or value, or against
Reference Data. [R810}
4.2.2. For each Transaction processed at a Counter Position
through the POCL Service Infrastructure EPOSS shall
capture the following information where such information
is available: [R836]
{a} value of each Transaction;
{b} a unique code for each POCL Product across all
Clients;
{c) source ( Outlet, User and Till identification);
(d) Client reference and Client scheme or product
reference for each Transaction;
{e} Customer identification and details (e.g. for
Transactions involving cheques, passports, motor tax
discs);
(f) Method of Payment;
{g} date and time of the Transaction;
and update a record of the total voiume of Transactions.
4.2.3. EPOSS shall maintain a Transaction log for any Balancing
Period in the POCL Outlet Accounting Period in such a
way as to allow the User to refer back to a previous
Transaction, to identify a unigue Transaction identifi
for the purposes of Reversal or for the resolution of
enquiries. [R804]
4.2.4. For the avoidance of doubt, EPOSS shall, subject to POCL
business and accounting rules, allow zero-value
Transactions, Such Transactions shail be recorded in
logs and audit trails, and reported against in the same
way es Transactions with a value. [R960]
Till function
4.2.5. EPOSS shall record all Transactions between a Customer
and a Counter Clerk, grouping contiguous Transactions
for one Customer to a Customer Session. [R825]
.6. Before a Counter Clerk is allowed to record Customer
Transactions on EPOSS, EPOSS shall require that the
Counter Clerk has validly connected to a Stock Unit,
either exclusively or shared with other Counter Clerks,
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against which his Transactions are to operate. [FS
4.1.3.1.2.1]
Customer Session
4.2.7, Within a Customer Session EPOSS shall allow:
(a) Transactions, including amendment of Transactions not
yet committed;
{b}) Reversals;
Reversals may be entered by a User other than the
User who recorded the or nal Transaction, but
Reversals of a Reversal are not allowed. [R812]
{c) Void Transactions; and
{(d) Refunds relating to previous Transactions; [R800]
subject to Client and POCL business and accounting rules
as notified by POCL and agreed by the parties from time
to time. [R825, R810]
EPOSS shall record each Transaction and each Customer
Session such that they can be uniquely identified within
the Balancing Period in which they occurred. [R800]
4.2.9. EPOSS shall provide a facility for Counter Clerks to
multiple concurrent Customer Sessions,
ity to suspend and rec Customer
Sessions and their dependent Transactions. [R825]
4.2.10. Within a Customer Session, EPOSS shall maintain the
record of Transactions performed, the current balance,
accounting sense (i.e. pay~in or pay-out) and settlement
details. [RB09, R825]
4.2.11. EPOSS shall provide a cash tendered facility to
calculate change due to the Customer. Use of this
feature shall be at the discretion of the User and not
forced by EPOSS. [R800]
Receipts [R693]
4.2.12. EPCSS shail allow production of:
(a) a non VAT receipt for Customers to support a specific
POCL Service e.g. APS;
(b) a VAT recei for Customers at the end of each
Customer Session, but before the next Transaction is
entered;
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(c) receipts in support of other POCL Services; and
(da) additional (duplicate) receipts and they shall be
marked as such.
4.2.13. For appropriate Transactions (as be specified by
POCL} EPOSS shall automatically generate a receipt for
Customers and a copy shall be retained in the Outlet to
allow recovery or problem resolution. [R832d]
4.2.14. The Contractor shall agree the format of all styles
of receipts with POCL before they are used
operationally.
4.2.15. All receipts produced by EPOSS shall meet the
requirements of the Welsh Language Act.
Product/Price Look-Up
4.2.16, EPOSS shail determine the price, where applicable,
for each POCL Product involved in a Transaction during a
Customer Session. The price shall be determined by use
of Reference Data, and, where applicable, from data made
available by the OPS (including, but not Limited to,
weight information from electronic scales connected to
the OPS). EPOSS shall determine the price type as
follows:
(a) fixed price - where the price is held in Reference
Data; or
(b) variable price (open) - where the User enters the
actual price. If the valid range excludes zero the
User is forced to enter a non zero price; or
(c) variable price (default) - where the default price is
non zero. The User can either accept this price or
overtype to change it within the valid range. [R824,
R801)
4.2.17. EPOSS shall allow the manual input of weight values
where scales are not linked. [R825]
4.2.18. EPOSS shall provide the facility for the Counter
Clerk to determine the unit guantity of a given Stock
Item available for a tendered monetary amount. [R810]
4.2.19. EPOSS shall provide a facility to Rate Shop. [R810]
4.2.20. EPOSS shall allow discounting for relevant POCL
Products. A list of discountable POCL Products shall be
maintained in Reference Data supplied by Po EPOSS
shall allow the Counter Clerk to enter the discount by
either a percentage or a value for the last Transaction
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or for all discountable POCL Product Transactions in the
Customer Session, [R817]
I Methods Of Payment
4.2.21. EPOSS shall provide the facility to record, against
each Customer Transaction, the Method({s} Of Payment
used, and the amounts settled by each Method Of Payment.
This shall include the ability to accept separate, or
multiple, Methods Of Payment for the same Transaction.
[R825, R692]
cs
nN
ie)
ND
EPOSS shall allow the lementation of new types of
Methods of Payment, including without limitation debit
cards and EFTPOS. [R825, R692]
4.2.23. EPOSS shall be capable of validating Methods Of
Payment against business rules for individual
Transactions. [FS 4.1.3.1.5]
Retail functionality
4.2.24. EPOSS shall provide, at a date to be agreed between
the Parties, the point of sale retail functional i
use in PostShops. This includes, but is not restr
to: [R839]
(a) Till functionality;
{b) discounting;
(c} coupon management;
(d} multibuys;
(e}) promotions;
(#) marketing;
{g) reporting
4.3, EPOSS Administration
Reference data [R818]
4.3.1. EPOSS shall provide a faci to update Reference Data
files with Reference Data supplied from the POCL
Reference Data System. It shall be possible for a date
and e@ stamp to to Reference Data
identifying when the to be activated, to
facilitate timely price cha
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4.3.2, When an update to Reference Data is made, each affected
Outlet shall be warned by EPOSS at the start of the next
POCL Core Day that a change has been made.
4, ence Data shall also define the availability of
pecific POCL Products in each Outlet. Such availability
shall be controlled centrally, and an Outlet shall not
be able to modify such data. [R821/FS 4.1.3.1.1]
Stock units
4.3.4, EPOSS shait provide each Outlet with the flexibility to
set Stoc Unit(s} according to the local working
practice ‘requirement. Each Stock Unit can in turn be
tied to both a User or group of Users
er group of Tills. [R695]
er a single Till
4.3.5. EPOSS shall ensure that Stock Unit options and
assignments chosen for an Outlet can be changed as and
when required, subject to controls as agreed with POCL
and with minimal impact to the Users. [R695]
4.3.6. EPOSS shall provide a mechanism to allow only authorised
Users access to the data and processing associated with
each Stock Unit. [R695]
4.3.7. EPOSS shall allow each Stock Unit to be Balanced
individually. The Stock Unit may be Balanced more than
once within a POCL Outlet Acceunting Period. Cash and
Steck Items shall be entered by denomination or Stock
Item level. At the end of the POCL Outlet Accounting
Period an Outlet Balance is struck with the details
provided by the Balanced Stock Units. [R695]
Stock And Money Management
4.3.8. For each Stock Unit, EPOSS shall maintain the current
Stock record for Value Stock Stock Items and Methods of
Payment to reflect the Transactions completed. [R802]
. EPOSS shall allow the movements of Value Stock Stock
and Methods of Payment into and out of Stock Units
the same Outlet to be recorded. The data
recording a movement shall be entered in a Transaction
Session similar to a Customer Session except that the
session total comes to the Transfer total rather than to
zero. However, EPOSS shall adjust overall item Stock
levels when the data entry session is complete so that
the “balance” of the Stock Unit is maintained. Each
movement is entered to the current Balancing Period for
the Stock Unit. [R807]
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4.3.10. EPOSS shall provide a facility to reconcile Non-value
Stock Stock Trems with unique serial numbers.
Reconciliation shall be by volume and by Stock Unit as:
(a) number on hand at the start of the POCL Cutlet
Accounting Period;
(b) number received;
{c) mumber on hand at close of POCL Outlet Accounting
Period:
(d) number issued/spoilt/returned. [R808]
4.3.11. EPOSS shall provide a Suspense Account facility where
items that cannot be cleared operationally during one
POCL Outlet Accounting Period can be identified and
carried forward to the next. [R808] Authorised Users
shall be able to identify items posted to the Suspense
Account. [R832q]
4.3.12. EPOSS shall provide a facility to re-value fixed
prices, including the efficient revaluation of multiple
Value Stock Stock Items of the same generic type. The
revaluation process must automatically make any
necessary accounting adjustments to maintain the Stock
Unit balance. [R813]
4.3.13. EPOSS shall provide the fac ty to manage and report
on the movement of Cash or Sto Items, either at Stoc
Unit level within each Outlet, or at the level of
transfers to and from other locations external to each
Outlet. [FS 4.1.3.3,2.6 - 4.1.3,3.2.8]
4.3.14. EPOSS shall provide a facility to adjust cash and
Stock levels to reflect the actual leveis on hand when
requi iy including provision for any necessary
accoun ig adjustments. [R695]
EPOSS shall provide a function to record the value of
cash held in the Stock Unit by denomination: [RB14]
{a} as part of the Cash Flow Reporting process;
(b) as part of the Stock Unit Balancing process.
The EPCSS shall allow entry by cash value for each
denomination and total value declared (including zero
value entries), The EPOSS maintained Stock value for the
cash Method of Payment shall not be altered during the
process. The User shall be advised of any discrepancy to
warn of potential errors and (in Balancing) the implied
balancing loss or gain. Where no activity has occurred
to change the last known cash position, EPOSS shall
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allow the last known declaration to be carried forward
for Cash Flow reporting purposes. [R814]
Dormant stock units
4.3.17. EPOSS shall allow a facility to bring unused Stock
Units (that is those for which no activity has taken
place since their most recent final Balance}, and their
Stock Unit information, forward into the next POCL
Outlet Accounting Period. This facility may be used at
any time, under the control of the Outlet Manager.
[R815]
Accounting
4.3.18. EPOSS shall accurately maintain data and record all
Transaction Sessions as double entries. If EPOSS is
interrupted or fails during a Customer Session the POCL
Service Infrastructure shall ensure that data capture is
resilient and consistent with the need to retain a
balanced status. [R803]
Report Production
4.3.13, The media for, and format and contents of reports and
summaries available from EPOSS shall be agreed and
ied in “Horizon OPS Reports and Receipts”.
4.3.20. Changes to the POCL Product range and the internal
reporting structure with current principles shall be
possible by Reference rather than by Software
update. [R818]
4.3.21. EPOSS shall be able to produce Reports at the User's
discretion, subject to POCL and Client rules on
frequency of despatch and POCL Outlet Accounting
Periods. Client Reports shall be produced on a daily or
weekly basis. Where operationally appropriate, several
weekly Reports shall be produced during a POCL Outlet
Accounting Period. [R837]
4.3.22. EPOSS shall allow the User to preview on-screen, or
print, each Report. [R696]
4.4. External interfaces
4.4.1. All Transactions and actions undertaken in EPOSS shall
be recorded in an audit trail by use of, and maintained
by, the POCL Infrastructure Services. [FS 4.1.3.1]
. EPOSS shall allow TMS to pass all recorded information
to agreed remote systems outside the FOCL Service
Infrastructure (including but not limited to TIP). [R814]
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4.5. Management information
4.5.1. EPOSS shall have the facility to allow input of
Transaction related data after the event for items
required for management information which may not impact
on the Outlet Balance. [R838]
Audit [R805,816]
4.5.2. EPOSS shall maintain a log of Transactions and Events,
including fallback and Recovery actions, attempted and
actioned at Stock Unit level for any Balancing Period in
the current POCL Outlet Accounting Period.
rs
.5.3. EPOSS shall provide a facility to allow authorised Users
to inspect the log activities on the Stock Unit within
the POCL Outlet Accounting Period, for example to
support the resolution of enquiries or to review all
attempts to access a Stock Unit.
4.5.4, R complete set of Outlet Records, for a rolling period
of 18 months, shall be maintained as available for
retrieval and review (but not amendment).
4.5.5, On retrieval all Records shall be packaged in weekly
batches as a complete POCL Outlet Accounting Period
cycle.
5. INTERFACE TO POCL SERVICES
5.1. BPOSS shall allow the integration of Transactions of
other POCL Services using the POCL Infrastructure
Services with the Transaction recording elements of
EPOSS such that: [R835]
{a} there is no necessity to manually notify the EPOSS of
the Transaction;
{b) there is a single Transaction Record created and
stored to provide the basis for Outlet summarisation
and Balancing and Transaction level data transfer
(c) Transaction Records created and stored shall be
entirely consistent with any data transferred at the
time of the Transaction to systems and services
outside the POCL Service Infrastructure;
{d} Transaction times are kept to a minimum.
6. RESILIENCE, RECOVERY, AND FALLBACK
6.1. EPOSS shall provide fallback facilities for situations
where the User cannot use the POCL Infrastructure
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Services for any reason. These facilities shall maintain
the integrity, security and levels of Customer service
consistent with the need to maintain trading. [R820]
6.2. EPOSS shall ensure that, in the event of an Incident,
data integrity is maintained and that no. corruption of
data is introduced arising from the interruption of any
uncompleted activity. [R823]
6.3. EPOSS shall ensure that, following an Incident, or if
operationally desirable for any other reason,
(a) the User can return to a complete and recent
position;
(>) no corruption of secured data has occurred; and
(c) a full recovery can be effected swiftly and in an
auditable manner. [R820]
7. SUPPORT SERVICES
7.1. General
. The Contractor shall previde, develop, and maintain,
prior to the implementation of EPOSS, PPDs and other
materials required for its operation.
7.2. EPOSS help desk
7.2.1. The Contractor shall provide an EPOSS support facility
through the Horizon System Helpdesk. The EPOSS support
shall be available for use by all Users of EPOSS, as
soon as EPOSS is made available to them.
7.3. Training
{FS 4.1.3.3.6]
[R531, R532, R533, R534, R833, R949]
7.3.1. The detailed tr ing specifications shall be defined in
’Pathway’s Training and User Awareness Baseline
Document”.
7.3.2, For training purposes, EPOSS shall provide a built-in
training mode which:
(a) Allows the serving of (imaginary) Customers for all
Customer Transactions.
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~
(b>) Allows all operations used in accounting and
balancing of a Stock Unit.
(c) Is generally functionally indistinguishable from
normal operation, except that clear indication is
permanently provided that training mode is in use.
(a) Records all counter operations and Transactions.
(e) Can be used at any time by any User (including in a
live Outlet environment).
(£) Allows the production of receipts and Reports.
. EPOSS shall provide an effective training mode through
the implementation of “training” Stock Units and will
segregate these from operational Stock Units and the
normal office accounting processes.
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SCHEDULE F02- EPOSS ACCEPTANCE CRITERIA
Subject to Clause 201.6, the EPOSS shall meet the
following Acceptance Criteria, namely that EPOSS. shall
be as specified in Schedule FOl1 and interwork with the
POCL frastructure Services specified in Schedule G01,
ensuring that:
{a} data shall be received, stored, captured and sent in
a secure manner, timeously and without corruption;
and
{b) EPOSS shall be secured against fraudulent attack as
far as the Codified Agreement requires; and
(c) EPOSS has the contingency arrangements specified in
Schedules FOl and FO9 and that all contingency
arrangements can be implemented successfully; and
{d) EPOSS meets the maximum Contracted Transaction Times
specified in Schedule F08 and the Minimum Acceptable
Thresholds specified in Schedule Fos.
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ED A NT SCHEDULE FO3 STRICTED CONTRACTS
SCHEDULE FO3- EPOSS AUTHORITY RESPONSIBILITIES
INTRODUCTION
This Schedule specifies the actions and responsibilities
that PO shall fulfil in order to enable the Contractor
to meet its obligations under Schedule FOl and related
Schedul
The table under paragraph 2 below matches the paragraphs
in Schedule FOl to the POCL responsibilities that are
set out in Schedule Al6 of the Codified Agreement.
For the avoidance of doubt the omission of relevant POCL
Responsibilities from paragraph 2 below shall not
relieve POCL from any such relevant POCL
Responsibilities as are expressed in Schedule Al6 of the
Codified Agreement.
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SCHEDULE
FO3
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2. POCL RESPONSIBILITIES
Paragraph reference Responsibility
3.1 835
3.2 806
3.3 825
3.4 825 I
3.5 sii “i
3.6 823 i
3.7 816, 820
3.8 818
4.2.1 810
4.2.2 836
4.2.3 B04
4.2.4 960
4.2.5 825
4.2.7(b) 812
4.2.7(d) 800, 825,810
4.2.8 800
4.2.9 825
4.2.10 809, 825
4.2.11 B00
4.2.12 693
4.2.13 @32e
a2 776 824,801
4.2.17 825
4.2.18 I B10
4.2.19 810
4.2.20 817
4.2.21 825,692
4.2.22 625,692
4.2.24 839
4.3 818
4.3.3 821
4.3.4 695
4.3.5 695
4.3.6 695
4.3.7 695
4.3.8 802
4.3.9 807
4.3,10(d) 808
4.3.11 808, 832
I 4.3.12 813
4.3.14 695
4,3.15 814
4.3.16 e14
4.3.17 B15
4.3.18 803
4.3.20 818
4.3.21 837
EPOSS Authority Responsibilities
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a, 3.22 696
4.4.2 Bil
4.5.1 638
4.5.2 805,816
5.1 835
6.1 820
6.2 @23
6.3 820
7.3 531,532, 533, 534, 633, 949
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SCHEDULE F04- ROLL-OUT AND IMPLEMENTATION
1. The roll-out and implementation of EPOSS shall be
coincident with the roll-out and implementation of the
POCL Service Infrastructure as defined in Schedule G06.
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SCHEDULE FO5~ EPOSS SERVICE MANAGEMENT
1. OBJECTIVES OF SERVICE MANAGEMENT
I... The objectives of the management of the EPOSS are to
monitor and manage the delivery of the EPOSS, and to
report on the same to the Contract Steering Group
defined in Schedule aA0o4.
1.2. The sections below detail (without limitation) the
specific objectives of key activities that will be
undertaken. The significance of the detailed tasks may
vary over the life of this Codified Agreement.
2. ORGANISATION
2.1. General
2.2.1. The Contractor and POCL shall establish an
organisational structure to manage the delivery of the
EPOSS in accordance with Schedule FO1l and all other
applicable provisions hereof. The key roles within this
organisation are identified in sections 3 and 4 below.
2.1.2. Any changes to the organisation defined in this Schedule
shall be made in accordance with Clause 101.2.
2.1.3. The specific individuals to fulfil the roles identified
in the organisation shall be communicated in writing
between the parties to this Codified Agreement.
3. CONTRACTOR ROLES KEY TO THE DELIVERY OF THE SERVICE
3.1. Introduction
3.1.1. The roles and responsibilities within the Contractor’s
organisation specific to the delivery of the EPOSS are
detailed below. One person may perform more than one of
these roles.
3.2. Operational Service Manager
3.2.1. The Operational Services Manager shall be responsible
for building a strategic relationship at the appropriate
level in POCL with an emphasis on operational
requirements of this Service. The Operational Services
Manager shall attend the quarterly Service Review
Meeting.
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3.3. Service Manager
3.3.1. The Service Manager shall be responsible for the overall
delivery of the EPOSS to POCL. The Service Manager shall
specifically be responsible for:
a)the maintenance of Service Levels in accordance with
Schedule FO8;
}the provision of monthly service reports as described
Y
below;
c)briefing the Contractor's attendees at the Contract
Steering Group Meetings as described in Schedule A04;
d) briefing the Operational Services Manager in advance of
the quarterly service review meetings;
e)facilitating joint quality initiatives with POCL.
3.4. The Service Help Desk Manager
3.4.1. The Horizon System Helpdesk manager for this service
shall be responsible for the management of POCL problems
and enquiries.
4. POCL ROLES KEY TO THE DELIVERY OF THE SERVICE
4.1. Introduction
. The roles and responsibilities of POCL specific to
Service Management are detailed below. One person may
perform more than one of these roles.
4.2. Business manager
4,.2,1. The POCL Business Manager is the individual responsible
for the business which the Service supports. The
Business Manager shall attend the quarterly Service
Review Meeting.
4.3. POCL Liaison Manager
4.3.1. The POCL Liaison Manager is responsible for the day-to-
day liaison with the Contractor. The POCL Liaison
Manager provides the first point of contact with the
Contractor. This manager shall specifically be
responsible for:
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{a) monitoring delivered Service Levels;
(b) receipt and analysis of the Contractor’s monthly
service reports;
(c}) briefing the POCL Business Manager in‘advance of the
Service Review Meetings;
(d) briefing the POCL attendees at the Contract Steering
Group Meetings as described in Schedule A04;
(e) facilitating joint quality initiatives with the
Contractor.
4.4 Key Pergonnel
4.4.1. The specific individuals who fulfil the roles defined
for POCL shall be notified to the Contractor in writing
in advance of their taking up the post.
5. ESCALATION PROCEDURES
5.1. The Contractor and POCL shall operate escalation
procedures for issues affecting the EPOSS in accordance
with the provisions of Schedule Ao4d of the Codified
Agreement.
6. MONITORING
6.1. Service Reporting
6.1.1. The Contractor shall provide POCL with monthly service
management reports, which shall be produced within
five(S) working days of the calendar month end, unless
agreed otherwise. The service management reports shall
allow POCL to monitor the Contractor's Service provision
and achievement of the Service Levels.
6.1.2. Service management reports shall include but are not
restricted to the following attributes:
{a) availability of service;
(b} service breaks/service failures;
{c) planned maintenance breaks;
{d) service delivery changes; and
(e) Incidents resolved and outstanding;
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(£) and data to support Schedule Ps.
6.1.3. The Contractor shall provide POCL with access to the raw
data used to generate service management reports when
requested to allow POCL to generate POCL internal
reports.
6.2. Service Review Meetings
6.2.1. The POCL Business Manager and the Contractor’s
Operational Service Manager shall meet every three
months (or as otherwise agreed by the POCL Business
Manager and the Contractor’s Operational Service
Manager) to review Service Levels, Incidents and
Problems reported in the previous period.
6.2.2. In addition POCL shall advise the Contractor of its
requirements for implementation of the Service at new
Outlets.
6.2.3. Other Contractor staff and POCL staff may attend these
meetings at the request of either the Contractor or POCL
to resolve particular matters on the agenda.
6.2.4. A typical agenda for such a meeting may include, without
limitation:
(a) Service management reports;
(b) highlights of previous period's service statistics,
concentrating on failures to meet required Service
Levels, including major Incidents reported, Service
trends and Service achievements;
(c) explanation of unresolved Incidents and, in
particular, any matters still outstanding;
(d} review of the on-going actions, such as fault
correction, agreed servic changes and any POCL
related work;
(e) change management progress report;
{£} suggestions for improvements to Service;
(g) advance notification of major changes and new work,
and review of the impact these may have on Service
requirements;
th) any implementation requirements.
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CODIFIED AGREEMENT SCHEDULE FOS RESTRICTED CONTRACTS
6.2.5. The Contractor shall prepare the necessary reports for
discussion at these meetings.
6.2.6. POCL shall keep a record of these meetings and shall
distribute the record to the Contractor and to the POCL
Contract Manager for review at the Contract Steering
Group Meeting (see Schedule A004).
6.2.7. The Service Review Meeting shall normally take place
at least five (5) days after the delivery date of each
third monthly service management report provided by the
Contractor to POCL.
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SCHEDULE FO6- EPOSS SERVICE TRANSFER
This schedule is not used and is intentionally blank.
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CODIFIED AGREEMENT SCHEDULE FO@ RESTRICTED CONTRACTS
SCHEDULE FO8~ EPOSS SERVICE LEVELS
1. PURPOSE
Ll. This Schedule specifies the Service Levels for EBPOSS.
1.2. The Contractor shall provide EPOSS at all post offices
for all the hours that they are open for business. [B03
§,.1.1.5]
2. TRANSACTION TIME
2.1. The maximum Contracted Transaction Time (including both
manual and EPOSS components) of an POSS only
Transaction (i.e. excluding those Transactions which
make use of EPOSS facilities but have their own timing
requirements inclusive of the EPOSS component) shall be
not more than the weighted average of:
e one and nine-tenths of a second (1.9 sec.) more than
the equivalent manual Transaction time for those
Outlets which operated manually at 15 May 1996 and
e nine-tenths of a second (0.9 sec.) more than the
equiv t ECCO Transaction time for those Outlets
which were automated and used the ECCO software at 15
May 1996.
2.2. At 15 May 1996, the weightings shall be by reference to
PIVOT transaction volumes, as documented in the CCD
entitled “PIVOT Transaction Volumes, by Outlet type and
by type of EPOSS Transaction”. In the event that the
ion volumes are no longer available from PIVOT,
the weig ngs shall be by reference to equivalent data
produced by the management information systems used by
the Contractor at that time. While PIVOT transaction
volumes are available, reports on PIVOT transaction
volumes shall be prepared by POCL annually. Thereafter
reports on data produced by the Contractor’s management
information systems shall be prepared by the Contractor
annually. The report for the 52 (fifty two) or 53 (fifty
three) weeks ending on or within 14 (fourteen) days of
the previous end of year Invoice date shall be used to
determine the relevant weighting
2.3. The method for determining equivalent Contracted
Transaction Times will be as set out in the CCD en led
“Counter Transaction Per formance Measurement and
Benchmarking”
2.4. Within EPOSS there shall be a number of different
Transaction types (e.g. relating to different POCL
Products), for which the Cont ted Transaction Time may
differ. The table below sha be used to record the
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different Transaction times. The table shall be
completed prior to the Operational Trial Acceptance Date
and shall be updated as agreed between POCL and the
“Contractor from time to time.
Transaction types (EPOSS) Maximum
Contracted
Transaction
Times (seconds)
Transactions { Deposits {Business < £60) 42,02
Postage Stamps (non-Books} 23.08
BT Saving Stamps 11.48
1* Class Stamps 12.14
Business Account Deposits (> £60} 87.32 _
DSS Greens 22.20
Vehicle Licence (V1) 88.67
TVL Saving Stamps 10.22
2" Class Stamps 9.61
BT Bills 41.64
Vehicle Licence (¥10} 115.96
Stamp Books {non Vended} 8.91
Giro with Withdrawal I Dutpayment _. STAG
Transeash Gas (Girobank) 23.78
Postal Orders (all fee banids) 24.96
TV Licence (Colour) 19.75
DNS Ordinary Account Withdrawal 60.32 }
DNS Ordinary Account Deposit 48.54 }
The automated EPOSS components to be measured on an
actuals basis shall be determined by reference to the
ccD entitled “Counter Transaction Performance
Measurement and Benchmarking”. Target times shall be
agreed between POCL and the Contractor prior to the
Operational Trial Acceptance Date and shall be recorded
in the EPOSS Benchmark Counter Transaction Times
document against the EPOSS Transaction Types shown in
the table above. Target times for future releases shall
be agreed prior to release authorisation and the CCD
entitled*EPOSS Benchmark Counter Transaction Times” will
be updated.
The printer component actual time shall be measured in
accordance with section 7/8 of the CCD entitled “Counter
Transaction Performance Measurement and Benchmarking”.
For the calculation of ‘C{EPOSS)’ as defined in
paragraph 4.1.2 the actual printer time, will be deemed
to be the same as the benchmark time recorded in the
CCD entitled “EPOSS Benchmark Counter Transaction Times”
except on the occasions that actual measurements are
taken as per 2.6.1
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3. SERVICE LEVELS
Service Level Threshold
[Service Reporting ‘I Minimum Termination ~
Requirement Period Acceptable Review
(MA) (TR)
“T.EPOSS Monthi All EPOSS ‘The overali~
Transaction
times
transactions
operate within
the maximum
Contracted
Transaction
Times in the
table under
2.4 above.
average
half of a
(0.5 secs.)
greater
maximum
Contracted
in the table
under 2.4 above.
Transaction Time
is more than one
second
than the
Transaction Times
REMEDIES
4a...
Liquidated Damages
Transaction times
4.1.4.
Level Measurement
Services.
by the
accumulation
described
fol
. The
This
EPOSS,
lowing
Schedule
while
value of the liquidated damages and the effects
of effects the range of
in Schedule Bl
variables
The liquidated damages payable by the Contractor
be based on a series of measurements over
accumulated
specifies the
for
Period,
the formulae
over
0.
calculating the remedies:
* T (EPO!
the total
the reporting period;
. C(EPOSS):
actual measured
the agreed benchmarked variable system
the
variable
the Servi
over a range
contribution ma
calculating ¢
of t
services
number of EPOSS Transactions
ponents a
Components
shall
ce
of
de
he
he
is
ll be recorded and used in
in
the tctal accumulated difference between
system
nd
in
the CCD entitled “EPOSS Benchmark Counter Transaction
Times”
the
accumulated
benchmarked total transaction
aga
table in
st the
difference
paragraph 2.
total transaction times.
4.1.3. In
calculating
Transactions
the
which take
value for
place in
C{EPOSS)
the
tot
agre
plus
the
EPO
fa
above,
fallback mode
EPOSS Transaction types shown in
4
between
times
al
ed
and the maximun
ss
nd
EPOSS Service Levels
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therefore cannot be accurately accounted for in service
measurements) shall be considered to have taken a
synthesised time. For EPOSS, in fallback a synthesised
time, which shall not be les than the Contracted
Transaction Time, shall be agreed between POCL and the
Contractor, which shall be validated during the
Operational Trial. Each time a Transaction is undertaken
in fallback, the difference between the synthesised time
for the llback scenario and the Contracted Transaction
Time (if the Transaction had not been undertaken in
faliback) shall be added to C(EPOSS).
. The Contractor shall be able to determine the number of
normal transactions (ie not performed in fallback) for
any time span, for each Outiet, over the prior month. At
month end, for each reported incidence of fallback
operation, the system shall estimate the number of EPOSS
Transactions performed in fallback during the specific
period by accumulating the total number of EPOSS
ransactions performed in that Outlet in equivalent time
spans of the same day of the week during the preceding
four weeks and dividing by four. If no matching period
for any of the four weeks can be identified then the
number of transactions in that particular pericd of the
week may be assumed to be zero.
The following table identifies the synthesised times for
the fallback scenarios. These times shall be validated
as part of Operational Trial, and adjusted by agreement
between the parties. The difference between the
synthesised times and the appropriate Contracted
Transaction Time shall be added to C(EPOSS). The
Contractor shall report to POCL occurrences of each
scenario. The synthesised times for the fallback
scenarios are:
I Fallback Reason Synthesised
Bar Code reader failure =
Printer failure — ~
wo] eA
cs
‘PC failure To be agreed I
- In the event that the actual level of Service falls
below the Termination Review Threshold for any two (2)
consecutive months then POCL may terminate the Codified
Agreement in accordance with Clause 902.2 of the
Codified Agreement. For the avoidance of doubt this
xight of termination is in addition to the general
rights of termination specified in paragraphs 4.4 and
4.5 of Schedule AO6.
EPOSS
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SCHEDULE FO9- POCL CONTINGENCY SERVICES
1. The EPOSS Contingency Services shall be as specified in
the contingency plans to satisfy Requirement 630 in
Schedule Ais.
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CODIFIED AGREEMENT SCHEDULE GO1 RESTRICTED CONTRACTS
SCHEDULE GO1- POCL INFRASTRUCTURE SERVICE DEFINITION
1. OVERVIEW 2.0... eee ee eee eee beeen ee eee ere ee eee ave wenene tbe eeees 3
2. OFFICE PLATFORM SERVICE ........-.--6-
PURPOSE
. OVERVIEW .
. GENERAL SERVICE DESCRIPTION cee .
3 Non Operational Requirements for Equipment vee
Appearance of the Equipment within OPS
. OPS Equipment - engineering visits .
. Health, Safety and Legal obligations ..
Eguipment Environmental Considerations wees
Co. ued Support of Operating Sys tems, Middleware
ations ECWALE voce cree eee . ee ee eres
Capabilities on Initial Taplenentat ion
Technology Refresh oo. eee cree ee
Ability to Provide Authorisation to P
. Use of OPS for Agent business .
. ‘AVAILABILITY
User @
Concurrency
PERIPHERALS ...
POCL Infrastri
ral Requirements .
Schlumberger Smart
Peri
w
}
& & & GD & ww
and input dev.
ic
2
3
2.
2.
a.
2.
2.
2.
A
2.
2.
2,
4
2.
5.
Ge
2
2
78.
2
2.
2
4. Fur
2 SECURITY,
Security of data and audit trail for OPS .
OPS Secure Suspension ...ceeceeeccreeveeee
Inactivity Time-out
Encryption Key Management
2 DOCUMENTATION ...... bier eee
7.1. OPS - technical documentation
2.7.2, POCL Infrastructure - 0:
3. TRANSACTION MANAGEMENT 5
3.1. Purpose .... . 5
3.2. Overview ... . 5
3.3. General aAttribut iS
3.3.1. Scalability .... 15
3.3.2. Discreteness of TMS .. 16
3.3.3. Data Integrity 16
3.3.4, Exclusivity... 16
3.4. General Serv i?
3.4.1, Interface support 17
3.4 Data delivery.... 21
3. File Operations . . » 2
3. File Proces ing. 22
3 Data Transfer Initiation 22
3. End to End Recovery + 22
3.4.7. Audie on » 22
3.5. Documentation .... 23
3.3.1, Technical docum 23
4. GENERAL POCL INFRASTRUCTURE REQUIREMENTS .......... eta ne eee reer ee
4.1. INTRODUCTION oo... cea eee
4.2, LINKS FROM OPS TO TMS
4 General ..
4. Data Replication
Version 1.
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3. Data Integrity
é . Recovery
4.2.8, Messaging . . seas
4.3. Agreement to offer BOCL services using the POC
5. SYSTEM MANAGEMENT SER Dee eee cer eee reece tere enone
S.1. Purpose ....- eee eee eee eee oe
5.2. Overview .. ce. se ceneee
5.3. General Service description .
5.3.1. Synchronisation Of Time
5.3.2, Reference Data handling
5.3.3. Release control
5 4, Asset register .......
5. Software Distribution anaes eee
5. Configuration Management for Qutiets . 31
5, . Network Management . 31
6. HORIZON SYSTEM HELPDESK SERVICE . 0... eee ee eee eee eee eee ee eee eee 32
6.1. General vo... eee eee eee eee erence wear ese nnee
6.2. Appropriate Levels of Support Service...
6.3. Levels of
6 Lev Servic
nd Level Service .
Third Level Service ..
blem Management. . :
Systems and Services Supported teane
Training....
Personnel ...
Service Monitoring . veces . :
Horizon System Helpdesk Availability from Day
rizon System Helpdesk Services Single Point
Horizon System Helpdesk Telephone Number .
Horizon System POCL Service INFRASTRUCTURE ‘Support 37
Horizon System Helpdesk Additional Support Services ......... 37
Horizon System Helpdesk Resolution of Reported Incidents ....37
Horizon §$ availability ....... .
.17,. Horizon System Helpdesk Re-Routing of Calls
Help Desk pliance with POCL Help $
DIHW
6
6.
6.
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6.
6
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6.
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2
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1, OVERVIEW
Lei. The POCL Infrastructure Services consist of the Office
Platform Service (OPS), the System Management Service
{SMS} and the Transaction Management Service (TMS).
(extrapolation]
L.2. The POCL Infrastructure Services provide the services to
deliver the POCL Application Services and EPOSS.
[extrapola ]
2.3. The Contractor shall provide POCL Infrastructure
Services in a e with the Service Levels set out
in Schedule G10. [extrapolation)
2. OFFICE PLATFORM SERVICE
2.2. PURPOSE
2.1.1. This Section details the functions and capabilities
provided by the Office Platform Service (OPS) that shal
be supplied by the Contractor. The CPS is provided
using the Equipment installed in Outlets which enable
the POCL Appli ions and EPOSS to run successfully.
[extrapolation]
2.2, OVERVIEW
2.2.1. The Contractor shall in each Outlet install the
Equipment used to provide OPS, and provide OPS, subject
to the limits specified in Annex 5 to Schedule Al2.
[R559]
2.2.2. The OPS shall be capable of supporting the entire range
of business transacted at Outlets for current v mes of
business and volumes of business as projected by POCL
subject to the limits specified in Annex 5 to Schedule
AlZ. [R558]
2.2.3. Two types of Counter Position configurations shall be
provided:
e® a standard configuration which shall be suitable
for the majority of Outlets;
® a mobile configuration which shall be installed in
Outlets to the maximum number described in Annex §
to Schedule Al2. [4.1.4.1]
n>
nN
cs
. The OPS shall support the POCL impe ive of keeping
Transaction times to a minimum. [R 558]
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2
2
2
2
2.
2
.3. GENERAL SERVICE DESCRIPTION
2.3.4. Non Operational Requirements for Equipment
.3.1.1. The Contractor shall supply samples of all elements
of the EOCL Service Infrastructure used to provide OPS
which are provided by the Contractor for purposes other
than (i) Roll Out and (ii) live use in Outlets as part
of the Operational Services. [R463]
-3.1.2. The Equipment shall be reassigned to operational use
by the Contractor when it is agreed by the par Ss that
it is no longer required for the purposes of paragraph
2.3.1.1. [8463]
3.1.3. POCL shall notify the Contractor of the number of
samples required which shall be used for such purposes
as described in paragraphs 2.3.1.4 to 2.3.1.7.
Testing by POCL;
3.1.4. POCL shall notify the Contractor from time to time of
how many samples are required for the purposes of
testing such elements of the POCL Service Infrastructure
at Operational Trial. They shall not in total exceed the
equivalent of eight (8) Outlets with a total of fifty
(50) Counter Positions. Any requirements thereafter for
samples of Equipment for testing purposes (beyond the
initial fifty (50) Counter Positions) shall be agreed by
POCL and the Contractor. [R463]
Destructive testing;
-3.1.5. Unless testing demonstrates a breach of the relevant
standards in Schedule A02, the number of specimens for
destructive testing purposes shall not exceed one
example of each type of POCL Service Infrastructure used
to provide OPS. [R463])
Training;
3.1.6. The Contractor shall provide OPS and associated
Equipment for a combination of both classroom training
and on-site training, where such training is provided by
the Contractor. [S463]
Demonstrations and marketing.
.3,.1.7. The Contractor shall provide OPS Equipment which
shall be required to demonstrate and market Office
Platform Services to Clients and prospective Clients.
The Equipment that is required shall be set out in
marketing plans which are agreed jointly between the
POCL and the Contractor. [S463
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CODIFIED AGREEMENT SCHEDULE GOL RESTRICTED CONTRACTS
2.3.2. Appearance of the Equipment within OPS
2.3.2.1. The livery of the elements of the POCL Service
Infrastructure to be used for OPS shall conform to the
“Counter Hardware Design Specification”, referenced in
Schedule B2 (Hardyvare}. [R465}
he effort required to maintain the appearance of the
Equipment shall be minimal and capable of being
und aken by the local Outlet Users. It shall be
con rable to the eaning required of any desk-based
office computer system. [R465 / $465]
2.3.3. OPS Equipment ~ engineering visits
.l. Maintenance and repair of the elements of the POCL
Service Infrastructure used to provide OPS involv.
site attendance at POCL Premises by the Contr
engineers shall not interfere unduly with the ability of
an Outlet to serve Customers, even where Outlets have a
single Counter Position and/or extremely limited
physical space. [R468]
2.3.3.2. If a maintenance or repair operation is predicted to
take longer than twenty (29) minutes then the Contractor
shall replace the whole unit or module to minimise
disruption at the counter. [S468]
2.3.3.3. The Contracter shall carry out maintenance or repair
visits in line with the Service Levels described in
Schedule G10 (Service Levels and Remedies). Optionally,
an Outlet Manager shall elect to d ya visit to a time
which he helieves is more convenient. For example, in a
larger Outlet, if a ult occurs at the busiest time of
day then POCL may specify the start time from which the
Contractor may carry out the maintenance or repair. In
these circumstances, the request for service shall be
diagnosed fully but net carried out until the preferred
appointment time. n this case the time in suspension
shall not count towards down-time as defined in Schedule
G10 {Service Levels and Remedies). [S468]
2.3.4. Health, Safety and Legal obligations
2.3.4.1. All Equipment used to provide OPS shall comply with
the Health, Safety and Legal requirements laid down in
Schedule AOZ2. [R474]
2.3.5. Equipment Environmental Considerations
N
3.5.1. All Equipment used to provide OPS shall comply with
the Equipment environmental considerations laid down in
Schedule A0Z. [R540]
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CODIFIED AGREEMENT SCHEDULE G01 RESTRICTED CONTRACTS
2.3.6. Continued Support of Operating Systems,
Middleware and Applications Software
2.3.6.1. The Contractor shall fully support the Software in
the POCL Service Infrastructure during the life of the
elements of the POCL Service Infrastructure on which
such Software is utilised in providing the POCL
Services. [R542]
2.3.7. Capabilities on Initial Implementation
2.3.7.1. The Contractor shall provide the POCL Service
Infrastructure appropriate for each Outlet.
fextrapolation]
2.3.7.2 The Contractor shall install and support the
POCL Service Infrastructure provided as mobile counter
configurations, in accordance with the limits set in
nex S of Schedule Al2 of the Codified Agreement, where
quested by POCL. The exact numbers and circumstances
each mobile configuration shall be agreed with POCL
jor to Roll Out. [4.1.4.1.7]
id
a
re)
nh
of
pr
2.3.7.3. In each Outlet, at each Counter Position PC, from
Roll Out at such Gutlet, OPS shall: [R555]
a)support the reading of track 2 from magnetic stripe
cards complying with ISO 7811 parts 1~4;
b)support the reading from and writing to Smart Tokens
complying with:
e ISO 7816 parts 1 and 2;
e and/or ISO 7816 parts 1, 2 and 3;
and be capable of supporting future applications
complying with:
@ ISO 7816 part 4;
® support GFM~-2K and GFM-4K.
c)where pos le,support magnetic stripe cards and Smart
Tokens that do not match the above standards in all
respects (@.g. where embossing is not in the correct
position, or the magnetic stripe information does net
adhere fully to the standards set out in paragraph
{a)}. Support for such non-standard cards will be
assessed on an individual basis in accordance with the
Solution to Requirement 555 in Schedule Al6é;
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dj)suppert the reading of one dimensional bar-codes. The
maximum bar-code width to be read shall be 10.9 cm at a
resolution of 9 mils. OPS shall support, at minimum
code 128, EAN 8, EAN 13, code 39.
e)support a colour touch screen anc keyboard.
2.3.7.4. In each Outlet from Roll Out at such Outlet OPS shall
enable POCL Applications and EPOSS to: [R555]
a)support printing on manually fed pre-printed forms at
the Counter Position;
b)support printing on cheques and other forms at the
Counter Position;
c)support printing of existing Client reports at the
counter. This shall include Counter printing, as
specified in “Horizon OPS Reports and Receipts”, in
large fonts and printing with 90 degree rotation;
d}support the connection of electronic weighing scales
(which shall not be supplied under the Codified
Agreement} te the POCL Service Infrastructure. As a
minimum, connections shall include Avery Berkel
D104 and A702 via RS-232 connections. It
possible to share a set of weighing scales betwe
or more Counter Positions at which the POCL
infrastructure has been installed;
e)support the printing of reports necessary to meet
existing Client commitments;
f)support the printing of cash accounts and plain paper
summaries;
g)support the printing of PDF417 two dimensicnal bar-
codes on forms generated through back of
processing. Typically the two dimensional bar-~-code
shall be used to contain cash account information;
a
h)suppert the printing of one dimensional bar-codes at
the Counter Position on forms as well as tally roll
print. As a minimum, code 128, EAN 8, EAN 13 and code
39 shall be printable;
i}support the printing of one dimensional bar-cedes at
the back office, if a back office printer is provided.
As a minimum, code 128, EAN 8, EAN 13 and code 39 shall
be printable. [R555]
ion
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2.3.8. Technology Refresh
2.3.8.1. POCL wishes to take advantage of changes in
technology during the term of the Codified Agreement.
{R560}
2.3.8.2. The specification of the Equipment used within the
POCL Service Infrastructure shall be specified in the
“Counter Hardware Design Specification” and shall be
reviewed by POCL and the Contractor at times reasonably
agreed by them, to ensure that the most appropriate
technology is deployed. [R560)
2.3.8.3. No change shall be made to the specification of
Equipment to be used within the POCL Service
Infrastructure without prior approval by POCL.
2.3.9. Ability to Provide Authorisation to POCL
Products
2.3.9.1. It is likely that, in due course, re-engi ed POCL
Products shall require specific authoris on, either
through access to a computer system external to the POCL
Services or within the POCL Services. [R827]
3.9.2. The POCL Services and the POCL Service Infrastructure
shall be able to be developed to support the maintenance
and use of:
N
a}stop lists;
b)go lists;
c)other authorisation types;
in relation to such
[R827]
ngineered POCL Products.
2.3.9.3. The POCL Services and the POCL Service Infrastructure
shall support su authorisations through access to
external computer systems. (R827]
2.3.10. Use of OPS for Agent business
O.1. Where an Agent may in future use the OPS for his own
business, all POCL Services using the OPS shall identify
such Transactions separately from those relating to POCL
Services under the Codified Agreement, in particular for
financial accounting. [R836]
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2.4. AVAILABILITY
2.4.1. User access to OPS
1.1. Any remote User access to OPS shall be restricted to
Users specifically authorised by POCL and shall only
take place via TMS. [R473]
2.4.1.2. Access to OPS and POCL Services offered via OPS to
Users working in the Outlets shall be controlled by a
mechanism, conforming to the "Horizon OPS Style Guide”,
referenced in Schedule 3, offering multiple access
levels and providing fic identification of each
User. [R473]
2.4.1.3. Only Users authorised by POCL shall be able to log-on
to the OPS at an Outlet in accordance with their defined
role. [S473]
2.4.1.4. Buthentication of all Users logging on to the OPS in
the Outlet shall be undertaken by the elements of the
POCL Service Infrastructure on which OPS is based. Full
access control and password management facilities shall
be provided. Users shall only access those Applications
for which they have been given permission by the Outlet
Manager. Each User shall be identified by a unique User-
id and individual password. [S473]
2.4.1.5. It shall be possible to restrict the functionality
available at an Outlet, to permit (inter alia) some POCL
not to be offered at Outlets. It shall also
ible to restrict certain Transaction types in an
Outlet. (R473 / S473}
2.4.1.6. The OPS shall provide facilities to enable the Outlet
Manager to establish new Users and set an in i
password for all Users in an Outlet. Should a User
forget their password the Outlet Manager shall be able
to reset the password. The same procedure shall apply at
single Counter Position Outlets and multiple Counter
Position Outlets. [S473]
2.4.1.7. For situations where the sole User (e.g. Outlet
Manager in a single Counter Position Outlet) has
forgotten their password, the OPS shall provide the
facility te generate a unique key as part of the log on
to a specific username. This shall be phoned to the
Horizon System Helpdesk who shall provide the
corresponding key which when input to OPS shall allow
access to the administration facilities. The User shall
then be able to reset their User password. [S473]
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2.4.2. Concurrency
2.4.2.1. OPS shall
provided via
oncurrent access to POCL Services
Fa
if
&
La
2.4.2.2. Performance, and corresponding Service. Levels, of OPS
shall not be significantly degraded by other Outlet
activity, e.g. front office, back office and
communications activities shall not unduly impact each
other. [R953]
2.5. PERIPHERALS
2.5.1. POCL Infrastructure ~ OPS: Peripheral and input
devices Equipment General Requirements
2.5.1.1. Peripheral and input devices supplied as part of the
elements of the POCL Service Infrastructure on which OPS
is provided shall be reliable, robust and easy to use.
[R536]
2.5.1.2. Peripheral and input devices supplied as part of the
elements of the POCL Service Infrastructure on which OPS
is provided shall be capable of detecting contention,
premature removal/swapping of Smart Tokens. [R536}
2.5.2. Schlumberger Smart Keys
2.5.2.1. The OPS shall support the vreading from and the
writing to Schlumberger Smart Keys. [5556]
2.5.2.2. In any Outlet requiring the reading and writing from
Schlumberger Smart Keys it shall be acceptable to use an
external peripheral device, and to share this device
between Counter Positions + re practical. [R556]
2.5.3. Peripherals Flexibility
nN
-5.3.1. OPS and the elements of the POCL Service
Infrastructure on which OPS is provided shall have the
flexibility for additional peripheral equipment to be
added in the future, including input devices and
printers. [R557]
2.5.3.2, The Counter Position PC shall have the capability of
having at least four {4} additional RS-232 connected
peripherals added to a Counter Position configuration as
initially installed. [$557]
2.5.3.3. POCL may, as an Additional POCL Service, require OPS
and the elements of the POCL Service Infrastructure on
which OPS is provided to be linked to teller cash
dispensers. Such Additional POCL Service shall be
subject to agreement with the Contractor. [R557]
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2.5.4. Future Flexibility for Sharing of Specialist
2.5.4.
2.6.
2.6.1.
2.6.2.
Peripherals
1. OPS, and the elements of the POCL Service
Infrastructure on which OPS is provided, shall be able
to be connected via RS 232 ports, and shall support such
connection, to specialist peripherals in such a way that
the specialist peripherals may be accessed by one or
more PCs. In such a case it shall be possible to
restrict access to a subset of the PCs in each Outlet.
[R826 / S826}
SECURITY
2.6.1. Security of data and audit trail for OPS
1. Full logs of Transactions and sign cant Events
within OPS shall be maintained and an audit trail of
interactions with, and actions within, OPS shall be
maintained. The audit trail shall be made available
automatically for analysis by both audit access
facilities and value added services which are linked to
TMS. [R472]
2. Bll data captured at an Outlet either as part of a
Counter Position Transaction or as an administration
function shall form part of a unique T action which
shall be given a unique reference number by Riposte and
details stored in the journal. The format of this
journal entry shall vary according to the Transaction
type but will typically contain: [$472]
* Post Office ID;
* Counter Position ID;
« Unique Transaction ID;
e Date;
® Time;
e User ID;
* Application;
® Transaction Details. [8472
3. Each Counter Position PC shall contain a journal and
all journal entries shall be automatically replicated to
all other members of the work group. This shall include
all the PCs in the Outlet and one of the correspondence
servers, at which TMS is provided. This corresponder
server shall in turn replicate all its Transactions
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two other correspondence servers located at different
sites. [S472]
2.6.1.4. Once data are stored in the urnal they shall never
be altered, New Transactions shall always be appended
to the journal. Retrieval of data using a particular
key field shall retrieve all entries containing that
field. [8472]
2.6.1.5. The security of data held within OPS shall not be
compromised by any Incident nor when OPS is re-
established following any Incident, [R472]
2.6.1.6. The Contractor shall provide synchronisation
facilities which shall automatically check the status of
the journal for a node when it is re-established
following failure. Should the journal be out of step
(e.g. through failure of the Counter Position PC) the
Contractor shall automatically synchronise the journal
and any data files to the same state as all other
journals in that work group. Synchronisation may occur
from another Counter Position PC {in a multi-Counter
Position Outlet) or from one of the correspondence
servers (in a single Counter Position Outlet). [S472]
2.6.1.7. The operating system supporting the OPS shall provide
assurance of access control and data integrity
functions. [{4.1.4.1.1.3]
2.6.2. OPS Secure Suspension
2.6.2.1. The OPS and the elements of the POCL Service
Infrastructure on which OPS is provided shall provide
secure time-out facilities for each Counter Position PC
and back office PC. [R921]
2.6.2.2. The Contractor shall provide a User activated
suspension which shall enable the User to clear the
screen and leave the PC for a short period. The User
session shall be reactivated by the User entering their
password, Any Applications which were tive shall be
left active. The display presented when the suspension
facility is activated shall be different to any normal
desktop or Application screen. [S921]
2.6.2.3. Should the User who initiated the suspension be
unable to re-activate the faci y, the following
actions may be taken: [5921]
e After a period of time, during which there is no
active session, the session shall be antomatically
logged-out. A journal message will be created
indicating this;
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2
5
2
* The Outlet Manager may assume responsibility for
any uncompleted session, the Stock Unit or share
thereof, by entering his own User name / password;
® Once the PC has logged-out any authorised User may
then use that PC;
e All the above Events shall be written to the
Sournal. [$921]
-6.2.4. The facility shall allow the User to resume work with
the minimum delay consistent with achieving security in
accordance with the provisions hereof. [R921]
2,6.3. fnactivity Time-out
2.6.3.1. The OPS and the elements of the PCCL Service
infrastructure on wh OPS is provided shall provide
secure inactivity time-out facilities if the PC
inactive for a short period for each Counter Position PC
and back o ce PC.
-6.3.2. Should the User be unable to re-activate the
facility, the following actions may be taken: [$921]
* After a period of time during which there is no
active session the session shall be automatically
logged-out. A journal message shail be created
indicating this;
* The Outlet Manager may assume respon ty for
any uncompleted session, the Stock Unit or share
thereof, by entering his own User name / password;
® Once the PC has logged-out any authorised User may
then use that PC.
All the above Events shall be written to the journal.
.6.3.3. The facility shall allow the User to resume work with
the minimum delay consistent with achieving security in
accordance with the svisions hereof. [extrapolaticn]
2.6.4, Encryption Key Management
.6.4.1. The OPS shall support a reliable and secure means for
the storage and transfer of data. This shall include
the use of techniques used selectively and in agreement
between POCL and the Contractor as specified in the
“Security Functional Specification”, referenced in
Schedule BO3. (8952)
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2.6.4.2. A key management system shall be in place so the
encrypted data can be deciphered without risk of that
cryptographic key being exposed. [R952]
2.7. DOCUMENTATION
2.7.1. OPS ~ technical documentation
2.7.1.1. The Contractor shall provide technical documentation
concerning OPS and the elements of the POCL Service
Infrastructure used to provide OPS as spec ed in
Schedule B3. This documentation shall be suitable to
allow POCL to procure Applications which utilise OPS or
that part of the POCL Service Infrastructure which is
used to provide OPS. These procurements shall not
necessarily be from the Contractor. [R469]
2,7.2. POCL Infrastructure ~ OPS: Style Guide
2.7.2.1. The Contractor shall draw up the Horizon OPS Style
Guide and agree this with POCL. Any POCL Service to be
offered via the OPS shall be provided in accordance with
e Horizon OPS Style Guide. [R475]
2.7.2.2. The Horizon OPS Style Guide shall set out, inter
alia, ral guidelines for the Human Computer
Interface 7
® An efficient and intuitive method of Transaction
selection exploiting touch-screen and function-key
driven techniques;
e A menu hierarchy based on “most used” Transactions;
® Transaction selection which can be invoked by
peripheral Events;
* A seamless link between Transaction selection and
Application;
¢* A common and consistent User Interface for
Transaction selection and Applications;
* Screen layouts;
e POCL Service Infrastructure navigation routes;
Help facilities. [8475]
The Human Computer terface shall be intuitive and
sy to use, to minimise errors and ays. The Human
Computer Interface shall provide a consistent look and
feel across all Applications and be easy to adapt to
facilitate the introduction of new Applications. [R475]
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3. TRANSACTION MANAGEMENT SERVICE
3.1. Purpose
3.1.1. This Section details the functions and capabilities
provided by the Transaction Management Service (TMS)
that shall be supplied by the Contractor.
{extrapolation}
3.1.2. The Contractor sh
applicable Ser
fextrapolation]
l provide TMS in accordance with the
sé Levels set out in Schedule G10.
3.2. Overview
3.2.1. The TMS shali provide the interworking between the
Outlets and the Contractor’s central processing sites
TMS shail be provided using both the utlet and the
correspondence server Equipment, esenting interfaces
to POCL Client systems or POCL systems. Such terfaces
shall be implemented using TMS Agents, which are
specified in paragraph 3.4.1. [4.1.4.2.1]
3.2.2. The role of TMS shall be to proevide a secure and
resilient messa g and journalling service which shall
support the transfer of data between OPS and POCL Client
services, and the POCL Services. [4.1.4.2.1]
3.3. General Attributes
3.3.1. Scalability
3.3.1.1. The Contractor shall provide TMS such that it shall
be scaleable to meet POCL's future business needs. [R541
/ $841)
3.3.1.2. This capability shall include the ability to support
any Client Transactions re-engineered by POCL, new
capabilities developed by POCL and considerable volumes
of Transactions needing authorisation from a Client
system or a central point in POCL. [R541]
3.3.1.3. There shall be no constraints on tt scaling of TMS
ox of the underlying POCL Service Infrastructure to meet
the workload volumes projected for POCL. The modular
nature of TMS and the POCL Service Infrastructure shall
enable any workload growth to be accommodated, subject
to the relevant provisions in Schedule GOS. [$541]
3.3.1.4. The Contractor shall monitor traffic patterns and
actual system resource usage. The optimum deployment of
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the elements of the POCL Service Infrastructure shall be
used to provide TMS. [S541}
3.3.1.5. The Contractor shail support POCL’s str
introduce new classes of business Transactions an
enab.e access te central host systems for authorisation
or data access/update, The Contractor shall implement
such links using TMS to provide the specific Client data
exchanges. [$541]
3.3.2, Discreteness of TMS
.3.2.1. TMS shall be logically discrete from other POCL
Services such that other POCL Services can be separately
procured that make use of TMS and such that in extremis
a replacement service for TMS could separately
procured. [R480]
3.3.2.2.Not used
3.3.2.3. By the end of the Operationel Trial Period, the
Contrac shall specify the boundary performance
characteristics of TMS (which shall for these purposes
include APS,EPOSS,OPS,SMS, OBCS and LFS).
3.3.2.4. For the avoidance of doubt, POCL shall be entitled to
test the ability of the Contractor to provide such
boundary performance information as part of acceptance
testing. The Contractor shall enable POCL to perform
such testing by a date agreed between the parties, but
2 no event later than 9 months after commencement of
Roll Out. [R869]
3.3.3. Data Integrity
3.3.3.1. An Application or TMS Agent shall be able to be
at some level, that data have been positively
acknowledged as re ved by TMS, or a peer Application
connected TMS. [4.1.4.2.3.4.4]
3.3.3.2. Data transfers shall be capable of being despatched
as: [4.1.4.2.3.4.4]
* immediate;
*® background / trickle fed;
e time deferred. [ 2.3.4.4]
3.3.4. Exclusivity
3.3.4.1. No computer system shail be connected
of the POCL Service Infrastructure on
provided without the approval of POCL. [R47$]
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3.3.4.2. The Contractor shall maintain a register of computer
systems with which such connections are allowed. [R473]
3.3.4.3. TMS shall provide links into other computer systems
es required to support the introduction of new or re-
engineered Transactions required by POCL. [4.1.4.2.2.3]
3.3.4.4. TMS shall authenticate the identity cf any computer
system with which a link is to be established. [R479]
3.3.4.5. TMS shall produce reports detailing any attempt to
establish a link which is rejected. The Contractor shall
provide @ reports to POCL on request. [R479]
3.4. General Service description
3.4.2. Interface support
3.4.1.1. TMS shall interface with each instance of OPS within
each Outlet. [extrapolation]
3.4.1.2. The Contractor shall support the interfaces between
{i) POCL systems and (ii) the POCL Services, as such
interfaces are defined in the POCL Inter
documentation maintained by POCL. These shall includ
* Transaction Informetion Processing {TIP} syst
interfaces to/from TMS and Outlets;
* Interfaces between Outlets, TMS and Clients;
® TIP / TMS interface for authorisation data;
{R831 / old 6.4.1.3)
* Interface het en the POCL Reference Data Sys
and the POCL Service Infrastructure and POCL
Services; {extrapolated}
® Interface between POCL SAPADS and TMS.
3.4.1.3. The development and imp tation of the interfaces
i in paragraph 3.4.1.2 shall principally take
the form of TMS Agents which act upon Transactions
originated within the Outlets or which receive
Transactions or data from POCL or Client systems.
{derived from $831]
3.4.1.4. TMS Agents described in paragraph 3.4.1.3 shall
comprise:
t
{a) For EPOSS:
® TIP TMS Agent;
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{b) For APS:
° Farnborough Data Polling Centre TMS Agent;
e TMS Agent({s} to/from POCL APS Clients (to be
agreed);
(c} For OBCS:
e TMS Agent to transfer data between OBCS host
and counter application;
(d} For POCL Service Infrastructure and POCL Services:
e Reference Data System TMS Agent;
(e) Further TMS Agents to support Ad ional PochL
Services or additional Client services may be agreed from
me to time between POCL and the Contractor; [new text
ived from S831}
(f) For LFS:
e TMS agent to transfer data between LFS host
and the counter application.
3.4.1.5. Transactions and data shall be transmitted via TMS
Agents from the following sources:
a) Transactions from Outlets
Transactions from Outlets shall be generated as a part
of the relevant POCL Application Service or EPOSS. [new
text derived from $831]
b) Transaction Information
to/from TMS and Outlets.
system interfaces
Interfaces shall be provided to support the transmission
from Outlets of:
e TMS Transactions {(POCL Client summary returns);
e Automated Product data {Authorisations
Outlet within POCL client);
« Outlet Transactions.;
and the receipt at Outlets of:
* error notices;
e texts and/or files for distribution to Outlets
f{instructions, procedures }
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c)
The Contractor shall support this requirement by a TIP
specific TMS Agent. This shall undertake the periodic
processing of the TMS journals on the Correspondence
Servers to provide the outputs to TIP. Data shall be
passed daily at a time or times to be agreed.
For the av ance of doubt, the parties acknowledge that
an electronic cash account shall not be transmitted to
TIP. (new text extrapolated from $831]
Reference Data system interface to TMS and Outlets.
Interfaces shall be provided to support the transmission
to Outlets of:
* Reference Data about Outlets;
® Reference Data for TMS, APS, EPOSS and OBCS (not
including OBCS Stop Lists data).
The Reference Data TMS Agent shall normally receive a
dai file of data from the Reference Data system at a
time to be agreed. Exceptionally, it shall receive
messages from e Reference Data system, the messages
being emergency-type Reference Data updates, at a time
or times to be agreed.
Interfaces between Outlets (via PMS) and POCL Clients
Interfaces shall be provided to support the transmission
from Outlets of:
« Transaction data;
® Authorisations Requests;
® Authorisation Confirmations / Exceptions;
and the receipt at Cutlets of:
e Authorisations;
« Client-specific Reference Data.
The Contractor shall support this by POCL Client-
specific TMS Agents. These shall undertake the periodic
processing of the TMS journals on the Correspondence
Servers to provide the outputs to POCL Clients. For
each POCL Client a single file of Transaction Data shall
be passed during an agreed daily time window. The POCL
Client TMS Agents shall send authorisation requests and
confirmations / exceptiens in a manner to be agreed by
the parties.
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The POCL Client TMS Agents shall also receive from each
POCL Client messages containing either authorisations or
Client specific Reference Data in a manner to be agreed
by the parties. {new text derived from $831]
3.4.1.6. The Contractor shall provide the capability for
reconciliation between POCL and its Clients by ensuri
TIP receives a copy via TMS of relevant authorisa
data as specified on an individual Client basis by POCL.
(R831 / old 6.4.1.4)
3.4.1.7. The capability for PpOCL to effect liation
between itself and its Clients shall be d by the
TMS outputs to TIP for Automated Product Data and Outlet
Transactions, with reconciliation totals. [new text
derived from $831)
3.4.1.8. The POCL Interface between TIP and the POCL
Infrastructure Service shall be defined in two
documents:
(a) “TIP Application Interface Specification” and
(b) “PIP Technical Interfa
is)
e Specification”,
These and other POCL Interfaces documents shall be
produced by POCL by a date consistent with the Project
Plan. This documentation shall cover:
e data content in logical groupings;
*® physical layouts;
* controls (including security);
@ technical interface specifications (initially
options and constraints);
* configuration management;
¢ contingency arrangements. [R831 / old 6.4.1.5]
3.4.1.9. Versions of existing POCL Interface documenta n
describing the existing interfaces shall be made
available to the Contractor. [R831 / 6.4.1.6]
3.4.1.10, The POCL Interfaces documentation shall not initially
cover further potential interfaces in respect of:
e EFTPOS;
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* reconciliation and exception reporting;
* operational management information;
*® performance monitoring;
® inspection of Transaction and Event logs for audit
and security purposes;
e transitional arrangements in relation to ‘cash
account processing’.
[R831 / R891 / old 6.4.1.7
The specifications for interfaces that are not part of
the Core System Services, subject to Clause 201.6, are
te be agreed between POCL and the Contractor under
change control.
3.4,1.11,. The detailed format of all interfaces shall be agreed
by POCL.[R831 / cold 6.4.1.8]
3.4.1.12. Interface with Inventory Management
The POCL Infrastructure Service shall be designed such
that it can interface into any POCL inventory management
systems, and shall have sufficient capacity not to
preclude such interfacing. [R822
3.4.2. Data delivery
1. TMS shall provide for the di bution and collection
of both file and record level data to and from the OPS.
1. 3.5.1)
3.4.2.2. Large data transfers shall be capable
delivered in the same order as sent, [4.1
3.4.3. File Operations
3.4.3.1. TMS shall support the transfer of files between two
or more computer systems at which TMS is attached to the
POCL Service Infra ture. [4 3.5.2)
2. TMS shall provide a file distribution function which
shall be responsible for transfer, monitoring and retry
of files. (4.2.4.2.3.5.2
3.4.3.3, TMS shall support the following functions, without
limitation:
« Triggering of transfers;
¢ Reporting of transfer f£
transfers;
lures and retry of these
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¢ Identifying the population of systems connected
to TMS. [4.1.4.2.3.5.2]
3.4.4. File Processing
3.4.4.1. Data file processing shall be provided by the TMS
Agents, optionally supported by Host systems. TS
Agents shall be customised for each specific host system
link and shall provide the required conventional file
processing facilities, including without limitation:
[4.1.4.2.3,.5.3]
dation of data files;
* Concatenation and merging of files;
® Generation of many data files from one data file;
¢ Reformatting of the contents of a data file;
* Generation of control totals;
e Reconciliation of control totals;
* Production of reports, financial and other
summaries. [4.1.4.2.3.5.3]
3.4.5. Data Transfer Initiation
Data transfers shall be initiated by: [4.1.4.2.3.5.4
*® Operator action
TMS shall automatically collect and deliver
datafiles which are passed to it.
* Time
TMS Agents shall have access to interfaces that
support real and delayed time initiation of
activities.
e External message
Computer systems at which TMS is provided shal] be
able to initiate a data file collection or
delivery. [4.1.4.2.3.5.4
3.4.6. End to End Recovery
3.4.6.1. End-to-end recovery facilities shall be performed by
the Contractor in accordance with the “Service
Architecture Design Document”. (4.1.4.2.3.5.5]
3.4.7. Audit
3.4.7.1. The Contractor shall maintain a full audit trail of
all TMS activity. [4.1.4.2.3.6
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3.5. Documentation
3.5.1. Technical documentation
3.5.1.1. The Contractor shall provide technical documentation,
as specified in Schedule B03, concerning TMS and the
elements of the POCL Service Infrastructure used to
provide TMS. This documentation shall be suitable to
allow POCL to procure POCL Application Services which
utilises TMS. These procurements shall not necessarily
be from the Contractor. [R470}
3.5.1.2. All changes to such documentation shall be subject to
the written agreement of POCL, [R470]
The documentation shall include: [$470]
* The TMS Architecture Document.
A document which includes a description of the
overall systems architecture of TMS and the
functionality of its various software sub-systems
This shall include a description of the TMS Agents
w shall desc e how C nt systems ut
TMS. [S470]
e The TMS API Document
A document which shall describe the full set of
APIs provided by TMS. Some of these are used by
the Client Agents in support of Client systems.
* The TMS Hardware Specification.
A document which provides a technical specification
of the equipment provided in data centres in
support of TMS.
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4. GENERAL POCL INFRASTRUCTURE REQUIREMENTS
4.1. INTRODUCTION
4.1.1. This section contains characteristics common to more
than one element of the POCL Infrastructure Services.
{extrapolation]
4.2. LINKS FROM OPS TO TMS
4.2.1. General
4.2.1.1, Each instance of OPS within Outlets shall interface
with TMS to allow the transfer, in both directions, of
authorised data files and messages. [R467]
4.2.1.2. The transfer of data between OPS and TMS shall be
secure, complete, accurate and robust. [R467]
4.2.1.3. Within OPS it shall be possible for OFS to identify
whether data from OPS have been received by TMS or not.
[R467]
4.2.2, Data Replication
4.2.2.1. The Contractor shall use data replication and
synchronisation techniques to ensure that data transfer
between Counter Positions at which OPS is provided and
between instances of OPS at each Counter Position and
the TMS are secure, complete, accurate and robust.
[S467]
4.2.2.2. Once a Transaction has been settled at a Counter
Position, TMS shall commit the full Transaction detaiis
to that Counter Position PC’s message store. The
Transaction details shall simultaneously be
automatically replicated to all other PCs in the Outlet
so that the data are securely captured. In addition,
the Contractor shall automatically replicate Transaction
details to a remote server at which TMS is provided.
{S467}
4.2.2.3. The OPS PCs and TMS servers are known as “nodes”.
[S467]
4. All data and message transfers from a single node
shall be generated in a strict numbered sequence with a
unique node identification. Any attempt to intreduce a
fraudulent message shall be automatically detected and
rejected by OPS. [S467]
. An additional pseudo random sequence number produced
from a cryptographic algorithm can also be included to
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provide a very high level of message integrity as agreed
between the parties from time to time, such agreement
net to be unreasonably withheld. Details of the use of
the cryptographic aigorithm are contained in the
“Security Functional Spec cation”. [S467]
4.2.2.6. Data and message transfers shall be resilient to
either network or node failure. When the failure
condition is resolved the nodes shall automatically
synchronise and complete any data or message trans
that are required to ensure these nodes are in a
consistent state. [S467]
4.2.3, Data Integrity
4.2.3.1. The Contractor shall use techniques to ensure data
integrity within the OPS and as part of data/message
transfer between OPS and TMS, including:
*® Cyclic redundancy checks shall be calculated for
all journal records, including Reference Data;
e Digital signatures shall be used for all data where
assurance of content and source are required;
e Data encryption used selectively on certain data
fields. [4.1.4.2.3.4.2 / S467]
4.2.3.2. All messages and data shall have a cyclic redundancy
check applied when they « initially committed to the
journal and this shall be time the message
or data is accessed. This shall protect against
accidental corruption and casual tampering. Any failure
of a cyclic redundancy check shall cause the message to
be rejected and retrieved from alternate nodes. [5467]
4.2.3.3. In the event that nodes fail, recovery shall take
place in accordance with the CCD ent ed “Post
Site Failure Contingency Procedures” and sections
4.1.5.2 and 4.1.6 of the SADD.
4.2.3.4. Where POCL requires the origin of data to be
authenticated, the Contractor shall apply a digital
signature to the data prior to transmission and shall
then check it upon receipt. Digital signature
techniques and the data to which they are applied shall
be described in the “Security Functional Specification”
referenced in Schedule BO3. [S467]
4.2.3.8. ntractor shall automatically detect any attempt
to alter data and shall log such attempts for subsequent
investigation by the Contractor, Details of all such
attempts shall be passed to POCL. (S46€7]
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4.2.4, Recovery
4.2.4.1. The Contractor shall perform general recovery
processes as specified in “The Post Office Site Failure
Contingency Procedures”. The Contractor shall perform
TMS recovery proc es as specified in the “System
Architecture Definition Document” referenced in Schedule
BOS. (4.2.4.1.1.2]
The PC in all single Counter Position Outlets shall
be fitted with a single exchangeable hard disk to
facilitate rapid exchange of systems and Transaction
data in the event of a system failure other than a hard
disk failure. [4.1.4.1.1.2]
4.2.8, Messaging
4.2.8.1. Using TMS and OPS the Contractor shail provide a
broadcast facility which shall enable messages of around
2,000 bytes to be se to all or a subset of Outlets
from a central location. ssage shall be input
into an application running on the central servers used
to provide TMS and shail be replicated to Outlets as
required. [R471]
4.2.5.2. TMS and OPS shall have the capability to be developed
to allow, subject to change control, Users working in
the Outlets te gain access to information held
electronically on the POCL Service Infrastructure such
as is from @ to time published in ‘Counter News’ and
POCL operations manuals. (R471)
4.3. Agreement to offer POCL services using the POCL
Infrastructure
4.3.1. Third party services which utilise the POCL
Infrastructure Services shall only be provided subject
to the agreement of POCL. [R464]
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5. SYSTEM MANAGEMENT SERVICE
5.1. Purpose
5.1.1. This Section details the Systems Management Service
which the Contractor shall provide. [extrapolation]
5.1.2, The Contractor shall provide the System Management
Service in accordance the applicable Service Levels
set out in Schedule G10. [extrapolation]
5.2. Overview
Management function shall be deployed based on
service delivery capability, able to interact
of the Outlets. (4.2.2.1]
5.2.2. The Contractor shall carry out system management of all
POCL Services in a consistent and coherent manner. The
activities within each POCL Service shall be co-
ordinated such that, for example, changes and faults can
be tracked across POCL Service boundaries. [R537]
. Changes to the POCL Services shall be made speedily and
accurately. [
System Management facilities shall inciude, without
limitation: [S537]
° Software repository - the storage and maintenance
of records identifying what software versions are
stored on what machines;
* Software distribution - the scheduling of software
upgrades to a defined set of machines;
° Event management - the notification of significant
Events to a central source ;
. Asset management - the storage and maintenance
information on the existence and type of machi
and associated peripherals;
e Configuration Management - the non-static
configuration parameters that drive the
Applications and operating system. [$537]
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5.3. General Service description
5.3.2. Synchronisation Of Time
5.3.1.1. All system data, including date and time, shall be
consistent. The Systems ement Service shall
interrogate all servers to check for a consistent
date/time. This shall cater for the handling of clock
changes at the beginning and end of British Summer Time
for example. [8538)
5.3.1.2. The Contractor shall provide a facility to allow
Transactions to be processed using local time and / or
GMT, thus all the relevant areas of the POCL Service
Infrastructure shall be able to derive both local time
and GMT. [R538}
5.3.2. Reference Data handling
The Contractor shall maintain and process Reference
Data necessary to the operation of the POCL Service
Infrastructure and the POCL Services. [R539]
5.3.2.2. The Contractor shall veceive, store and utilise
Reference Data from sources outside of the Contractor
domain, as defined in the “Reference Data Application
Interface Specification” and “TIP Technical Interface
Specification”. [R539]
5.3.2.3. The Contractor shall support and maintain both system
and application related Reference Data for an Outlet.
System related Reference Data comprises information that
relates to the ate of the Outlet and its associated
software base (e.g. Event management details, software
version numbers). Application related Reference Data
comprises information that relates to particular
Transactions. {e.g. price of a stamp, check digit
algorithm for an AP Client). [S539]
5.3.2.4, The Contractor shall provide functions required to
store and maintain Reference Data and to manage its
distribution and activation. The Contractor shall
provide a single asset and configuration database which
shall provide a ntral logical view of which elements
of the POCL Service Infrastructure are associated with
which versions of various files, including Reference
Data, The Contractor shall use rigorous change
management processes to control the rate and nature of
changes to the Software inventory, provided by the
Contractor, and these shall involve a co-ordinated
approach with the originator of any external data
including POCL and external Clients. [$539]
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§,3.3. Release control
5.3.3.1. The following shall be approved by POCL before
any Release, this approval not being unreasonably
withheld: [R476]
a)the contents of any Release;
b)the upgrade path for any Release;
a
}the timing of the distribution of any Release;
a
pthe timing of the activation of any Release. [R476]
8.3.3.2. The Contractor shall provide proof of sufficient and
satisfactory pre-testing of each Release before any
Release is distributed, including the following aspects:
(R476)
ajat individual component (unit test) avel;
b)of all components of the Release, both changed and
unchanged, working together (system test);
clof all components in combination with different
Hardware and Software combinations which may be
encountered when the Release is in live, non-training,
use hereunder. [R476]
5.3.3.3. The Contractor shall provide proof of sufficient and
satisfactory preparation for the implementation of a
Release. This shall include testing the implementation,
xeversion, regression from the Release, and the support
ef any testing by POCL, [R476]
3.4. The . ation of any Release shall not cause any
significant disruption to Users, shall not disrupt the
normal working environment of Users and shail not
require significant involvement from Users. [R476]
on of any Release shall not cause any
lf of POCL. [R476]
§.3.3.5, The implement
corruption to data held by or on b
5.3.3.6. The Contractor shall maintain a detailed record of
all Releases and where they are deployed. [R476]
5.3.4. Asset register
The Contractor shall provide and maintain a detailed
list of all physical components installed at Premises
{an asset register) and make it available to POCL on
request. [R477]
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§.3.4.2. The asset register shall identify ail of the
Equipment which is installed at each Outlet and shail be
available to POCL. [R477]
5.3.4.3. The asset register shall contain operational
information that shall support the management and
control of both Roll Out and POCL Operational Services.
Including, inter alia: [S477]
* site address and contact information;
* site implementation status details;
* system configuration details;
« Equipment types and serial numbers;
* Software versions;
* Applications versions. [S477]
rt of the
. the asset register shall be an integral ¢
MIS. [S477]
wi
-3.4.5, The Asset Register shall be availa for enqgui Ss
by Help Desk staff as necessary in responding to queries
and calls from the Outlets. Tt shall be updated
promptly when any new Equipment is installed in an
Outlet or when new or updated Software is distributed
and installed. [4.2.2.1.3]
5.3.4.6. The Asset Register shall employ SQL technology and
shall be extensible to cope with any new
Hardware/Software objects/attributes deployed in
response to future POCL needs. 12.2.1
5.3.5. Software Distribution
1. Software distribution facilities shall be provided by
the Contractor which shall enable Software files and
installation scripts to be distributed across the ISDN
and frame relay network, part of the POCL Service
Infrastructure, to a specific Outlet, all Outlets or a
group of Outlets selected according to one or more
particular attributes, [4.2.2.1.4]
wn
.3.5.2. The distribution process shall separate the transfer
£ Software and its subsequent installation, which shall
be controlled from the installation script associated
with the Software package. This shall enable the
installation process to take effect at a particular date
ox time. [4.2.2.1.4]
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5.3.5.3. The Contractor shall enable the distribution to a
specific PC within an Outlet, but this will not be the
normal mode of operation. [4.2.2.1.4]
5.3.6. Configuration Management for Outlets
.6.1. The configuration details to be installed in each
Outlet shall be maintained on a central server. The
Contractor shall access these details during Roll Out to
down-load the precise configuration (specific Software
and Reference Data) applicable to each particular Outlet
and install the file set on all or a subset of PCs
within the Outlet, [4,2.2.1.5]
5.3.6.2. Configuration details shail also be available after
completion of Roll Cut to support Equipment replacement
at an Outlet in situations where configuration details
cannot be loaded from a local PC {typically at single
Counter Position Outlets). [4.2.2.1.5
5.3.7. Network Management
5.3.7.1. Network Service Infrastructure management shall be
E
oO
7
Infrastru
run from a central service providing facilities for
reporting and diagnosing network events, consolidation
and interrogation of statistics and controlling the
configuration and parameter settings on network devices.
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6. HORIZON SYSTEM HELPDESK SERVICE
6.1. General
6.1.1. The Contractor shall provide the Horizon System Helpdesk
service which shall be the first point of contact for
Customers of the POCL Services. Customers include both
POCL staff and staff of POCL Clients having a direct
interface with the POCL Services. [R914]
6.1.2. The Horizon System Helpdesk shall:
ajact as a central point for information on the working
state of the POCL Services;
b) keep customers notified of any scheduled interruptions;
c)assist in any negotiations with POCL where
interruptions to the POCL Services provided are
eduled;
POCL informed of when the POCL Service will be
» [R914]
Contractor shall also provide the facility to
e@ive redirected calls from POCL help desks and
helplines. [R914]
6.2, Appropriate Levels of Support Service
v@ Contractor shall provide appropriete levels of
support services:
a)to all Users who have access to the POCL Servi
Infrastructure;
b}to cover the operation of interfaces with the POCL
ce Environment;
c¢}to provide support for all other help desks linked to
the Horizon System Helpdesk facility provided by the
Contractor. [R323}
6.3. Levels of Service
6.3.1. First Level Service
6.3.1.1. The first level Service shall provide an immediate
problem solving service for ail simple and
raightforward problems, which can be resolved within
five (5) minutes, and all general enquiries. [R914]
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6.3.1.2. The first level member of staff who takes the call
owns the problem from initial logging through to
resolution to the customer's satisfaction. The
Contractor shall cater for first level members being off
duty. [(R914}
6.3.2. Second Level Service
6.3.2.1. The second level Service shall provide a diagnos
and fixing service for al problems which cannot
fixed within five (5) utes by the first level
Service, but which can be resolved within thirty (30)
minutes. [R914]
§.3.2.2. Calls shall be referred electronically from the first
level Service to the second level Service. Second level
staff shali have access to a prioritised list of
outstanding problems, and all the details on the problem
entered by first level staff. [R914}
6.3.3. Third Level Service
1. If the Horizon System Helpdesk is unable to resolve a
problem at the first or second level the Contractor
shall categorise and prioritise the problem so that it
can be actioned and completed within a standard
timescale. [R914]
6.4. Problem Management
6.4.1, The Contractor shall provide a problem management system
to record the problem details such as (but not
exclusively):
éjunique problem serial reference, generated
automatically by the problem management system;
b)customer contact, address, location and telephone
number;
c)date and time problem occurred;
d)date and time roblem was reported to the Horizon
System Helpdesk;
e)Horizon System Helpdesk contact
f}description of the problem, including frequency of
occurrence;
g)serial references of similar faults and previous
occurrences;
h})Hardware Equipment involved; serial number etc.;
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6.4.2.
es
Infrastructure
. The Contractor
i)Software product and release version;
j)assessed impact on customers business;
k}) priority for solution;
l}problem category;
m)estimated elapsed time to solve problem;
nj)any change of referral point;
o)date and time of referral. [R914]
The Contractor shall update the problem management
system with the following information, as appropriate:
a)date and time of update;
b) Horizon System Helpdesk contact updating record;
c}textual description of the work done, or the fact that
the problem had to be referred elsewhere, and who has
taken it on;
m was Cleared;
jdate and time the solution was accepted by the
stomer;
fjyactual elapsed time to solve problem. [R914]
hall also keep a
relating to the failure of uploadi
data. [R914]
rd of all problems
g and downloading
The Contractor’s first level Service staff shall assign
a priority to the problem. [R914]
Throughout the life of the problem the Contractor staff
shall monitor the progress of the problem and inform the
customer at regular intervals, to be agreed with POCL by
a date consistent with the Project Plan. This shall also
apply to second and third level Services. [R914]
. The Contractor shall manage the resolution of any
problem using decumented procedures agreed with POCL by
a date consistent with the Project Plan. These
procedures shall be comprehensive in that they cover all
aspects of problem resolution from initial logging
through to closure
included. [R914]
Escalation procedures shall be
A problem can only be clear
confirmed satisfaction with the
ed when a customer has
resolution. {R914]
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6.5, Systems and Services Supported
6.5.1. The Contractor shall maintain User, asset, problem and
change management databases. [R914}
6.6, Resilience
6.6.1. The Contractor shall be responsib for ensuring that a
conting: y plan in place to cater with any Horizon
System Helpdesk Incident, ¢.g. loss of staff, loss of
telephone system, loss of problem/configuration
management system. The contingency plan is to be agreed
with POCL by a date consistent with the Project Plan and
shall state how quickly the POCL Service will be
ored in the event of an Incident. [R914]
6.7. Training
6.7.1. The Contractor shall provide training as defined in the
Training and User Awareness Baseline Bocument (reference
BP/TRN/OOl)to ensure POCL staff work effectively with
the Horizon System Helpdesk. The Contractor shall
develop and implement training plans for its own staff,
(R914)
6.8. Personnel
6.8.1. The Contractor shall ensure that all staff, including
-up staff, employed on the Horizon System Helpdesk
Service have suitable and appropriate and
training. The Contractor shall ensure that dent
skilled resources are available to cater
sickness and natural wastage
organisation. [R914]
for holidays,
thin the Contractor’s
6.9, Service Menitoring
6.9.1. The Contractor shall produce POCL Service information,
in electronic form and/or paper, and shall deliver this
information to POCL within two (2) POCL Cere Days of the
end of the period to which they relate. The following
is an example of the information required:
ajnumber of calls outgoing/received/number of calls not
answered;
b)percentage of calls answered within target times;
c)number of problems/queries logged;
d)number and percentage of problems/queries solved within
target times;
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ejnumber of problems / queries assigned to first level
that were not cleared within ten (10) minute
f}number of problems/queries with secondary complications
(e.g. repeat calls);
g}number of problems/queries escalated;
hj}percentage of time full Horizon System Helpdesk Service
was available;
i)Contractor performance against Service Levels for
response;
j)POCL Service availability at each Outlet. [R914]
6.9.2. POCL may wish te analyse the information by:
a}category of operational problem/query;
b) level and solving group at which the problem/query was
solved;
c)customer group and location;
d)mean time to closure. [R914]
6.9.3. The Contractor shall retain Horizon System Helpdesk
records for a minimum of eighteen (18) months. [R914]
a
o
mn
4. Each quarter a hall be conducted by POCL to
determine User satisfaction with the Horizon System
Helpdesk POCL and the Contractor shall agree
the appro be taken and the format/content of the
questionnaire by a date consistent with the Project
Plan. [R914]
6.9.5. The Contractor shall, on request, provide on-line access
to the problem management system. POCL shall inform the
Contractor of who is authorised to access the system.
The Contractor shall provide ad hoc reports, as
requested by POCL, within three (3) POCL Core Days.
[R914]
6.10. Horizon System Helpdesk Availability from Day One
6.10.1, The Contractor shall ensure that all the support
Services shall be available before activation of the
POCL Service Infrastructure in each POCL Premises in
line with the Service Levels. [R520]
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6.11. Horizon System Helpdesk Services Single Point of Access
6.11.1. The Contractor shall provide one telephone number as
a single point of access to all Horizon System Helpdesk
Services. {R521}
6.12. Horizon System Helpdesk Telephone Number
6.12.1. The Horizon System Helpdesk contact point POCL
for
Users shall be a local rate telephone number. {R522}
6.13. Horizon System Helpdesk POCL Service INFRASTRUCTURE
Support
6.13.1. The Horizon System Helpdesk Service shall deal,
without limitation, with calls relating to the POCL
Service Infrastructure. This shall include, but is not
exclusive to:
a)fault diagnosis;
b)maintenance call out;
c)caretaking advic
djconfiguration management. [R524]
6.14. Horizon System Helpdesk Additional Support Services
6.14.1. The Horizon System Helpdesk shall be able to provide
access for U to additional support Services
{including training facilities, training materials,
operational support documentation, and, if POCL
contracts to procure consumables from the Contractor,
consumables} by the commencement of Roll Out and shall
provide such access thereafter when requested to deo so
by POCL. [R525]
6.15. Horizon System Helpdesk Resolution of Reported Incidents
-15,1. All reported Incidents shall be
Service Levels in Schedule G10. [RS
on
esolved in line with
6)
2
6.16. Horizon System Helpdesk availability
A dedicated Horizon System Helpdesk staffed by fully
trained, qualifi and experienced personnel shall be
provided working to Service Levels in Schedule G10.
(R527)
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6.17, Horizon System Helpdesk Re-Routing of Calls
6.17.1. Calls made to the Horizon System Helpdesk that are
not pertinent to it
appropriate point. [R528}
be re-routed to the
6.18. Help Desk Compliance with POCL Help Service Behavioural
Standards
6.18.1, The Horizon System Helpdesk Service shall comply with
agreed help service behavioural standards. [R529]
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SCHEDULE G04- POCL INFRASTRUCTURE ACCEPTANCE CRITERIA
Subject to Clause 201.6, the POCL Infrastructure
Services shall meet the following Acceptance Criteria,
namely that POCL Infrastructure Services shall be as
specified in Schedule GOi and shall interwork with the
Service Environment specified in Schedule 1 and the POCL
Application Services and EPOSS specified in Schedules
E01, FOl, and HO1l ensuring that:
{a) data shall be received, stored and transferred in a
secure manner, timeously and without corruption; and
having been validated as specified in Schedule B08;
and
{b}) data shall be secured against fraudulent attack as
far as the Codified Agreement requires; and
{ec} the POCL Infrastructure Services have the contingency
arrangements specified in Schedules G01 and Gll and
that all contingency arrangements can be implemented
successfully; and
{d} the POCL Infrastructure Services meet the Minimum
Acceptable Thresholds specified in Schedule G10.
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SCHEDULE GOS - POCL INFRASTRUCTURE POCL RESPONSIBILITIES
1. INTRODUCTION
LL. This Schedule specifies the actions
and
responsibilities that POCL shall fulfil in order to
enable the Contractor to meet its obligations
Schedule G01 and related Schedules.
1.2. The table under paragraph 2 below matches
under
the
paragraphs in Schedule GOl to the POCL Responsibilities
that are set out in Schedule Al6 of the Codified
Agreement.
relieve POCL from any such relevant
Responsibilities as are expressed in Schedule
the Codified Agreement.
avoidance of doubt the omission of relevant
L Responsibilities from paragraph 2 below shall not
POCL
Al6 of
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SCHEDULE GOS
CODIFIED AGREEMENT
POCL RESPONSIBILITIES
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SPONSIBILITIES
POCL R
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CODIFIED AGREEMENT SCHEDULE G06 RESTRICTED CONTRACTS
SCHEDULE GO6~- POCL INFRASTRUCTURE ROLL~OUT AND IMPLEMENTATION
1.
lei.
PURPOSE
This Schedule sets out provisions for the Roli-Out and
implementation of the POCL Infrastructure Services, and
the POCL Service Infrastructure necessary for provision
of the Core System Services.
GENERAL
Roll-Out of the POCL Service Infrastructure and the
System Services shall be undertaken in accordance
the Project Plan, and during the CGperational Trial as in
section 10 below. All roll-out and implementation work
shall be subject to the over-riding requirement to:
a}maintain Services and Client continuity;
b)maintain the quality of service delivery to Clients and
Customers;
¢)ensure appropriate support systems ~ including tra
- are in place;
ng
djavoid damage to POCL’s brand, reputation and integrity;
e}treat POCL staff and Agents professionally and with
respect. (R512)
Preparation work shall be carried out with due
consideration to a given Outlet and with minimum
disruption to services in accordance with the document
“Mitigating Disruption in Post Offices during
Preparation Activities” reference IM/STR/O057. The
CONTRACTOR shall Carry ont all installation,
modification, and survey activities with minimum
degradation of post office and retail operations
{in¢luding any existing computer, telecommunications and
other systems at the Outlet), and installation at an
Outlet shall be carried out within the Outlet's hours of
business.
Subject te the paragraph 2.2 above, “minimum
degradation” as used in this Schedule shall mean that:
fa) During installation, modification, and survey
activity:
i. In 2 to 4 Counter Position Outlets no more than
ene Counter Position shall be closed at any one
time;
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ii. In 5 to 10 Counter Position Outlets no more than
2 Counter Positions shall be closed at any one
time;
iii.In 11 or more Counter Position Outlets no more
than three Counter Positions shall be closed at
any one time
(bp) Stock unit and balancing information must be migrated
to the POCL Services in a time scale that allows
daily/weekly office accounting to be completed within
the constraints of (a) above. [R502]
2.4. The Contractor shall conform to POCL’S Roell-Out
strategy, which is as follows: (R972)
a)Installation wi prioritise the following 7 major
conurbations for Roll-out:
® West Midlands;
* Greater Manchester;
« Merseyside;
*® Leeds/Bradford;
e Tyne & Wear;
¢ Glasqow/Edinburgh;
e Urban South Wales.
b})The M25 Roli-Out shall take place during the second
half of the Roli-Out Programme.
2.5. For the purpose of Roll-Out planning the Contractor
shall make no particular distinction between types of
"main" Outlet (e.g. branch offices, sub post offices and
franchised post offices). (R510)
2.6. The Contractor shall give due consideration to the
implementation plan for Parent Outlets and Satellite
Outlets. (R834)
2.7. The plan for Roll-Out of the POCL Service Infrastructure
for each Outlet shall be agreed (such agreement not to
be unreasonably withheld) by the Contractor and POCL.
(R941) ($941)
2.8 [Not used]
2.9. The Contractor shall provide a process to ensure that
Horizon Implementation Managers, as nominated by POCL,
and all Outlet Managers are aware of and agree the times
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and dates of all site visits related to Roll-Out. The
xelevant Horizon Implementation Manager shall be the
final arbiter in case of disagreements between the
Contractor and the Outlet Manager. (R501) (8501)
A process shall be jointly developed by the Contractor
and POCL to record acceptance of each stage (survey,
modification and installation) of implementation at POCL
Premises.
The Contractor shall provide a process to be agreed by
POCL for determining that individual POCL Premises are
ready bo go live i.e. that the POCL Service
Infrastructure functionality at such POCL remises
shall be activated for use. POCL may withhold agreement
to such activation if, for any reason, it determines
that in a particular set of circumstances such
activation is detrimental to its Customers, Clients,
staff, or Agents. If such activation is not sanctioned,
POCL and the Contractor shall resolve outstanding issues
as soon @s possible. (R514)
POCL reserves the right to request amendments to the
roll-out plan, in accordance with the Change Control
Procedure, as necessary to protect its Service Levels.
(R516)
POCL reserves the right to suspend Roll-Out iff the
Contractor fails to deliver Services to the Service
Levels. (R508)
SURVEY OF OUTLETS
The Contractor shall carry cut the survey of Outlets, to
the Service Levels set out in Schedule G10, to ascertain
what modifications are needed to install the POCL
ervice Infrastructure. (R487)
The Contractor shall carry out all survey activities
with minimum degradation of post office and retail
operations ~- including, but not limited to, any existing
computer, telecommunications and other systems at the
Outlet. (R502)
The site survey shail be undertaken at a date and time
which shall be agreed with the Outlet Manager. [R945]
Bach Outlet survey shall be completed in a single
to the Outlet. (R518) (R945)
T Contractor shall provide a minimum of five POCL Core
Days written notice of the site survey date to the
relevant Outlet Manager. [R945]
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3.6. The Contractor shall agree with the Outlet Manager the
number of Counter Positions to be automated. Should
this not be agreed, POCL shall be the final arbiter.
POCL shall, before the commencement of Roll-Out,
identify to the Contractor its authorised representative
for these purposes. [R945]
3.7. The Contractor shall, during the Outlet survey,
determine the modifications to be undertaken at each
Outlet including as necessary, but not limited to:
° installation of electrical wiring back to the Outlets
power dis bution box, including upgrading of power
distribution box and connection, if required, by the
electricity company if caused by the increased
electrical loading
. installation of local area network cables and
connections
. installation of wide area network cables and
connections
. any building work, including joinery require
Counter Positions required to position and connect
the OPS equipment. (S491)
3.8. The surveyor shall conform to the agreed identification
process before starting the site survey. [R945]
3.8, The Contractor all give one POCL Core Day notice to
the Outlet Manager and the Regional Liaison Manager of
a cancelled appointment. [R945]
3.10. The Contractor shall agree on a case by case basis,
(within parameters which shall be agreed by POCL and the
Contr. with the Ou Manager and obtain n off
of the siting of th elements of the Service
Infrastructure used to provide OPS. [R945]
w
il. A quality survey shall be conducted by POCL to measure
xr satisfaction with the site survey. POCL and the
Contractor shall agree the approach to be taken and the
format/content of the quality survey. [R945]
4. OUTLET MODIFICATIONS
4... The Contractor shall carry out internal office
modification work at all POCL Premises in accordance
with Claus 406 of the Codified Agreement, to the
Service Levels set out in Schedule Gi0. (R491)
4.2. The Contractor shall in each case obtain certification
from the appropriate Authorised Official that relevant
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permissions have been granted before modifi to
POCL Premises are carried out. (R500) (S500)
The Contractor, including any sub-contractors, shall
conform to all legislative requirements when carrying
out modification work at Cutlets. (R492)
The Contractor shall carry out all preparation
activities with minimum degradation of post office and
retail operations in accordance with the document
“Mitigating Disruption in Post Offices during
Preparation Activities” reference IM/STR/057 - including
any existing computer, telecommunications and other
systems at the Outlet. The Contractor shall carry out
all modification activities with minimum degradation of
post office and retail operations {including any
existing computer, telecommunications and other systems
at the Cutlet).
The modifications will be completed in one visit to the
Outlet. BT ISDN lines installation may be carried out
separately and with prior notification to Regional
Liaison Manager and/or Outlet Manager (approval not
required for ISDN installation provided that it is
carried out during the normal working hours of the
relevant outlet). It is recegnised that modification
work in larger outlets, i.e. those with more than 6
counter positions may need to span one day. In these, or
other exceptional circumstances, arrangements to
complete such work over more than one day will be
Subject to utual agreement between the Contractor,
Regional Li on Managers and/or Outlet Managers, but
such agreement shall not be unreasonably withheld,
(R517)
4.6. The modif tions shall be undertaken at a date and time
which shall be agreed with the Outlet Manager. [R945]
4.7. The Contractor shall provide a minimum of five POCL Core
Days written notice of the date for modifications to the
Outlet to the Outlet Manager. [R945]
4.8, The Contractor sh give one POCL Core Day notice to
the Outlet Manager and the Regional Liaison Manager of a
cancelled appointment. [R945]
4.9. The Contracter shall make good any damage caused to POCL
Premises by the Contractor's staff or subcontractors,
within 5 POCL Core Days of receiving notification of
such damage. POCL shall provide written notification to
the Contractor of any damage caused by the Contractors
staff or subcontractors within 5S POCL Core Days of the
occurrence of such damage. The notification shail
include details of the date, time and location of the
occurrence and the nature and extent of the damage. In
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fR945]
5.
5.2.
S.1.1.
wo
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=
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wn
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wu
the event that the nature, extent or responsibility for
alleged damage is disputed by the Contractor then the
matter will be referred for resolution to the Service
Management function defined in Schedule GO7 of the
Codified Agreement.
Modifications shall not be carried out during certain
agreed periods. These periods shall be ag in advance
between the Contractor and POCL every quarter. [R945]
Visits te carry out further modifications shall be
scheduled by the Contractor with the Outlet Manager.
[R945]
A quality survey shall be conducted by POCL to measure
User satisfaction with the modifications. POCL and the
Contractor shall agree the approach to be taken and the
format/content of the quality survey. [R945]
INSTALLATION
Installation of the Office Platform
The Contractor shall install the POCL Service
Infrastructure necessary for OPS in Outlets to the
Service Levels set out in Schedule G10. (R497)
The Contractor shall install the Equipment at any site
designated by POCL which may include Cash Centres and
training centres. (R496)
3. The Contractor shall provide the Equipment at Counter
Positions (including modified parc positions and some
non-modified positions) subject to the limit in Annex 5
of Schedule Al2. (R495)
Unless otherwise agreed by POCL, installation at an
Outlet shall be carried out within the Outiet’s hours of
business. (R490)
. Uniess otherwise agreed by POCL the installation and
acceptance of POCL Service Infrastructure used to
provide the OPS shall be undertaken within one day at
each 1 tion in the POCL Premises. (R488)
For each Outlet, the Contractor shall install the
counter Equipment on the same day that it is delivered
unless specif requested otherwise by POCL.
Installation shall include, but not be limited to,
physical placement, connection to the POCL Service
Infrastructure, agreed connection of existing equipment
and testing. (R906) (S906)
POCL
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5.1.7. Within a specification to be agreed with POCL, and
subject to He h and Safety legislation and ergonomic
considerations, the siting of the elements of the POCcL
Service Infrastructure in each Outlet shall be agreed by
the Outlet Manager. (R509) (S509)
5.1.8. The Contractor shall carry out all installation
act. ies with minimum degradation of post office and
reta operations ~- including, but not limited to, any
existing computer, telecommunications and other systems
at the Outlet. (R511)
5.1.9. The Contractor sha provide a minimum of five POCL Core
Days written notice of the installation date to the
Cutlet Manager. [R945]
5.1 The installation shall be undertaken at a date and
time which shall be agreed with the Outlet Manager.
[R945]
5.4,41. Unless octherwise agreed with the POCL Horizon
Implementation Manager and/or Cutlet Manager, the
Contractor shall minimise installation of the Equipment
on POCL Premises during particular business periods,
namely Christmas and New Year pressure periods (i.e.
from mid-November to the first in January), and
other specific dates to be agreed by the Contractor and
POCL om an annual basis (such agreement not to be
unreasonably withheld or delayed). (R507)
5.1.42. The Contractor shall give one POCL Core Day notice to
the Outlet Manager and the Horizon Implementation
Manager of a cancelled appointment. [R945]
5.1.13. A quality survey all be conducted by POCL to
measure User satisfa on with the installation. POCL
and the Contractor shall agree the approach to be taken
and the format/content of the quality survey. [R945]
5.1.44. The Contractor shall inform POCL at the end of each
POCL Core Day, in a rmat to be agreed, of the
following, though not exclusively: [R945]
a)the Outlets that have been successfully installed;
b) configuration details;
numbers of the elements of the Service
Infrastructure insta di,
5.1.45. The Contractor shall at the end of each calendar
month inform POCL of any configuration changes or
swapouts and the relevant serial numbers. [R945]
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5.1.16.The Contractor shall make good any damage caused to POCL
{R945}
5.2.
-§
Premises by the Contractor's staff or subcontractors,
within 5 POCL Core Pays of receiving notification of
such damage. POCL shall provide written notification to
the Contractor of any damage caused by the Contractor's
staff or subcontractors within 5 FOCL Core Days of the
occurrence £ such damage. The notification shall
include details of the date, time and location of the
occurrence and the nature and extent of the damage. In
the event that the nature, extent or responsibility for
alleged damage is disputed by the Contractor then the
matter will be referred for resclution to the Service
Management function defined in Schedule CGC? of the
Codified Agreement.
Removal of Existing Equipment
The Contractor shall, on completion of implementation
and using an agreed process, disconnect and move
existing automated equipment as specified by POCL, and
identified during the relevant site survey, to a single
location in mainland UK agreed with POCL from time to
time. (R489)
existing automated eguipment shall be ted to
that support ECCO and/or ESNS at
the PC configuration
1S May 1996.
IMPLEMENTATION - MIGRATION OF EXISTING PRODUCTS AND
SYSTEMS
The Contractor shall migrate existing POCL Products and
POCL systems from current POCL platforms - APT, ECCOt,
ALPS, manual - to the POCL Service Infrastructure with
no discontinuity of service to Customers and Clients.
The Contractor shall work closely with POCL to plan how
best to achieve effective migration. At Outlets, data
transfer and associated tasks shall be expedited as
efficiently as possible with minimum staff /
subpostmaster involvement,
In-office data migration shall be carried out in
accordance with the Migration Specification. To the
xtent that paragraph 6.1 is in conflict or inconsistent
with the Migration Specification the Migration
Specification prevails.
The Contractor shall utilise existing POCL equipment as
specified in Schedule AOS. (R504)
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ED AGREEM
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9.
o
red
10.
10.
1.
[NOT USED]
SUPPORT SERVICES
The Contractor shall provide a process to identify Users
where additional training or other corrective action is
required within the contractual training window during
National Rollout, Additional training and corrective
action will be delivered in accordance with the
Contractor's Remedial Training document {reference
SU/TRN/006), and referred to in the Training and User
Awareness Baseline document (reference BP/TRN/O0O1).
Instailation of the POCL Service Infrastructure shall
not take place until the OPS and associated support
Services are available. (R499) (S499)
The Horizon System Helpdesk {as described in Schedule
G01) shall provide access for Users to additional
support Services (including, but not Limited to,
training facilities, training materials, operational
support, technical support, documentation, and
consumables} by the commencement of Roll-Out and shall
provide such access thereafter when requested to do so
by POCL. (R525)
IMPLEMENTATION STRATEGY FOR RECONCILIATION DATA
Clients served using the APS shall receive only one
stream of unrecon ed data irrespective of the source
of the polling at Outlets (whether via ne POCL Data
Polling Centre at Farnborough or Contractor facilities).
The Contractor and FOCL shall agree (such agreement not
to be un sonably withheld or delayed) a strategy to
achieve this requirement as from the commencement of
Roll-Out. (R971)
The strategy shall include, but not exclusively, a
timetable separate from and shorter than the 1
Programme, for the Contractor to absorb the
workload from the POCL Data Polling Centre. (R971)
AP CLIENT LIABILITY DURING THE OPERATIONAL TRIAL
Until the completion of the Operational Trial, the
Contractor shall indemnify POCL in the event of POCL
incurring liabil es to their AP Clients as a result of
service level failures in the POCL Services. Once the
Operational Trial has successfully completed, the
abilities defined elsewhere in this Codified Agreement
shall prevail over this paragraph. The parties shall
agree a limit to such an indemnity, such agreement net
to be unreasonably withheld or delayed.
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ii,
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1
OUTLET CHANGE
Subject to the limitations in anmex 5 to Schedule Al2,
the Contractor shall provide the following Optional POCL
Services defined in the Operational Business Change
Catalogue at no charge to POCL:
a) provision and installation of the POCL Service
Infrastructure used for OPS at Counter Positions not
previously so automated as directed by POCL; (R519)
b}) the Contractor shall be responsible for the removal /
fitting of the Equipment when Outlets are either
relocated or refurbished.
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SCHEDULE GO7- POCL INFRASTRUCTURE SERVICE MANAGEMENT
1. OBJECTIVES OF SERVICE MANAGEMENT
lei. The objectives of the management of the POCL
Infrastructure Service are to monitor and manage the
delivery of the POCL Infrastructure Service , and to
report on the same to the Contract Steering Group
defined in Schedule A04.
1.2. The sections below detail (without limitation) the
specific cbjectives of key activities that will be
undertaken. The significance of the detailed tasks may
vary over the life of this Codified Agreement.
2. ORGANISATION
2.1. General
2.1.1. The Contractor and POCL shall establish an
organisational structure to manage the delivery of the
POCL Infrastructure Service in accordance with Schedule
G01 and all other applicable provisions hereof. The key
roles within this organisation are identified in
sections 3 and 4 below.
2.1.2. Any changes to the organisation defined in this Schedule
shall be made in accordance with Clause 101.2
The specific individuals to fulfil the roles identified
in the organisation shall be communicated in writing
between the parties to this Codified Agreement.
3. CONTRACTOR ROLES KEY TO THE DELIVERY OF THE SERVICE
3.1. Introduction
3.1.1. The roles and responsibilities within the Contractor’s
organisation specific to the delivery of the POCL
Infrastructure Service are detailed below. One person
may perform more than one of these roles.
3.2. Operational Service Manager
3.2.1. The Operational Services Manager shall be responsible
for building a strategic relationship at the appropriate
level in POCL with an emphasis on operational
reguirements of this Servic The Operational Services
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Manager shall attend the quarterly Service Review
Meeting.
3.3. Service Manager
w
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Be
. The Service Manager shall be responsible for the overall
delivery of the POCL Infrastructure Service to POCL.
The Service Manager shall specifically be responsible
for:
a)the maintenance of Service Levels in accordance with
Schedule G10;
b)the provision of monthly service reports as described
below;
e)briefing the Contractor's attendees at the Contract
Steering Group Meetings as described in Schedule Ao4;
d)briefing the Operational Services Manager in advance of
the quarterly service review meetings;
e)facilitating joint quality initiatives with POCL.
3.4. The Service Help Desk Manager
3.4.1. The Horizon System Helpdesk manager for this service
shall be responsible for the management of POCL problems
and enquiries.
4. POCL ROLES KEY TO THE DELIVERY OF THE SERVICE
4.1. Introduction
4.1.1. The roles and responsibilities of POCL specific to
Service Management are detailed below. One person may
perform more than one of these roles.
4.2. Business manager
4.2.1. The POCL Business Manager is the individual responsible
for the business which the Service supports. The
Business Manager shall attend the quarterly Service
Review Meeting.
4.3. pOCL Liaison Manager
4.3.1. The POCL Liaison Manager is responsible for the day-to-
aay liaison with the Contractor. The POCL Liaison
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Manager provides the first point of contact with the
Cantractor. This manager shall specifically be
responsible for:
(a) monitoring delivered Service Levels;
(bp) receipt and analysis of the Contractor’s monthly
service reports;
(c) briefing the POCL Business Manager in advance of the
Service Review Meetings;
(a) briefing the POCL attendees at the Contract Steering
Group Meetings as described in Schedule A0o4;
{e) facilitating joint quality initiatives with the
Contractor.
4.4. Key Personnel
4. The specific individuals who fulfil the roles defined
for POCL shall be notified to the Contractor in writing
in advance of their taking up the post.
5. ESCALATION PROCEDURES
5.1. The Contractor and pOCL shall operate escalation
procedures for issues affecting the POCL Infrastructure
Ser e@ in accordance with the provisions of Schedule
A04 of the Codified Agreement.
6. MONITORING
6.1. Service Reporting
6.1.1. The Contractor shall provide POCL with monthly service
management reports, which shall be produced within
five(5) working days of the calendar month end, unless
agreed otherwise. The service management reports shall
allow POCL to monitor the Contractor's Service provision
and achievement of the Service Levels.
6.1.2. Service management reports shall include but are not
restricted to the following attributes:
(a) availability of service;
(b) service breaks/service failures;
(c) planned maintenance breaks;
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(d) service delivery changes; and
fe) Incidents resolved and outstanding;
{£) and data to support Schedule G10.
6.1.3. The Contractor shall provide POCL with access to the raw
data used to generate service management reports when
requested to allow POCL to generate POCL internal
reports.
6.2. Service Review Meetings
6.2.1. The POCL Business Manager and the Contractor’s
Operational Service Manager shall meet every three
months (or as otherwise agreed by the PCCL Business
Manager and the Contractor’s Operational Service
Manager) to review Service Levels, Incidents and
Problems reported in the previous period.
6.2.2. In addition POCL shall advise the Contractor of its
requirements for implementation of the Service at new
Outlets.
6.2.3. Other Contractor staff and POCL staff may attend these
meetings at the request of either the Contractor or POCL
to resolve particular matters on the agenda.
6.2.4. A typical agenda for such a meeting may include, without
limitation:
(a) Service management reports;
(b) highlights of previous period's service statistics,
concentrating on failures to meet required Service
Levels, including major Incidents reported, Service
trends and Service achievements;
{c) explanation of unresolved Incidents and, in
particular, any matters still outstanding;
(a) review of the on-going actions, such as fault
correction, agreed service changes and any POCL
related work;
(e) change management progress report;
(f£) suggestions for improvements to Service;
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(g) advance notification of major changes and new work,
and review of the impact these may have on Service
requirements;
(h) any implementation requirements.
6.2.5. The Contractor shall prepare the necessary reports for
discussion at these meetings.
. PoCL shall keep a record of these meetings and shall
distribute the record to the Contractor and to the POCL
Contract Manager for review at the Contract Steering
Group Meeting (see Schedule A0d4).
oO
nD
a
6.2.7. The Service Review Meeting shall normally take place at
least five (5) days after the delivery date of each
third monthly service management report provided by the
Contractor to POCL.
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SCHEDULE GO8- POCL INFRASTRUCTURE SERVICE TRANSFER
This schedule is not used and is intentionally blank.
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CODIFIED AGREEMENT SCHEDULE G10 RESTRICTED CONTRACTS
SCHEDULE G10 ~- POCL INFRASTRUCTURE SERVICE LEVELS AND REMEDIES
7.
PURPOSE
This Scheduie details Service Levels and liquidated
damages applicable for the POCL Infrastructure
Services.
OVERVIEW OF THE SERVICE LEVEL MECHANISM
Schedule B10 sets out the aggregation of each POCL
Service’s Service Levels
This Schedule defines the levels of Service required
by POCL from the POCL Infrastructure Service, and
details the associated liquidated damages in the
event that the levels of Service fail to meet these
requirements.
This Schedule specifies Service Levels which are
associated with specific liquidated damages and other
Service Levels that do not have associated liquidated
damages.
The reporting of actual levels of Service as compared
with Service Levels, the calculation of liquidated
damages and the payment of liquidated damages, shall
be in accordance with Schedule A06.
All monetary values specified in this Schedule shall
be subject to annual indexation from the 15 May
1996. The basis for this indexation shall be the
Retail Price Index.
Each Service Level, which has associated quidated
damages, has two Service Level thresholds (“Service
Thresholds”):
® Minimum Acceptable Threshold;
* Termination Review Threshold.
For any Service Level where liquidated damages apply
in the event that the actual level of Service falls
below the Minimum Acceptable Threshold, such
liquidated damages shall apply to the extent that the
actual level of Service falls below the Minimum
Acceptable Threshold and above the Termination Review
Threshold. Where the actual level of Service falls
below the Termination Review Threshold, liquidated
damages shall apply to the extent that the actual
level of Service falls below the Minimum Acceptable
Threshold and above the Termination Review Threshold,
and damages at large rather than liquidated damages
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wo
Me
shall apply to the extent that the actual level of
Service falls below the Termination Review Threshold.
Each Service Level which has no associated liquidated
damages has a single Service Threshold.
POCL is primarily concerned with the overall
performance of the Service as it impacts upon their
business, Target Service Levels between the Services
are therefore not set by POCh. However, the
Contractor shall set its own target Service Levels
and advise POCL of both internal target Service
Levels and any subsequent changes. The Contractor
shall monitor and report to POCL the actual measured
performance against their own target Service Levels.
The timing, content and format of this report shall
be agreed be en the Contractor and POCL prior to
Operational Trial Acceptance Date.
PocL SERVICE LEVELS WITH ASSOCIATED LIQUIDATED
DAMAGES
Data file delivery
Data files shall be delivered to TIP by 03:00. [G01 -
para 3.4.1.5 (b)]
In each case the proportion of Transaction records
delivered to TIP in the first and subsequent data
file transmission (i.e. Transaction on day A,
delivery to TIP by 03:00 day B, day C, day D) shall
be measured by the Contractor.
Minimum Acceptable Threshold is that:
« 97% of all Transaction records to be d
day B;
vered by
% of all Transaction records to be delivered by
day C;
* 100% of all Transaction records to be delivered by
day D.
The Termination Review Threshold is that:
88% of all Transaction records to be delivered by day
BD.
Liquidated damages are calculated as follows:
Liquidated damages =
tt
(100 - actual level of Service by day D) / 100) *
total number of Transactions records * 1.0 pence) +
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(((99 ~ actual level of Service by day C) / 100) *
{tetal number of Transactions records - any also
failing at day D) * 1.0 pence) +
(((97 = actual level of Service by day B} / 100) *
(total number of Transactions records - any also
failing at day D and day C) * 1.0 pence).
3.2. Time to Repair
3.2.1, Incidents which prevent an individual Outlet from
using the normal (non-fallback) Services shall he
resolved as follows, except where different numbers
of working hours have been agreed in respect of the
specific Outlet.
3.2.2. The Minimum Acceptable Threshold i
° 100% resolved within six ( 6}
Incidents have resulted in a substant
all automated Counter Positions in
(Priority 'A' HSH Call);
ial
hours (Local
Remedial}, mine ( 9) hours (Intermediate Remedial
and twelve { 12) hours (Remote Remedial)
when
impact on
the Outlet
* 100% fixed within ten € 10) hours {Local
Remedial), fifteen { 15) hours (Intermediate
Remedial) and twenty four ( 24) hours (Remote
Remedial) when Incidents have resulted in a
sub. ntial impact on an automated Counter
Posit
in the Outlet (Priority ‘8' HSH Call
on, but not all automated Counter Positions,
3.2.3. Downtime is defined as starting once the Incident is
reported to the Help Desk. For the purposes of time
Core Day is
to repair only time within the POCL
counted.
Table: Time to Repair Profiles
Class Local I Local intermediate I Intermediate Remote Remote
Call Non- Remedial I Non-Remedial Remedial Non- Remedial
Remedial Remedial
ru q hours I 6 hours @ hours @ hours 8 hours 12 hours
Priority
‘Bt 8 hours 10 hours 10 hours 15 hours 12 hours 24 hours
Priority
Within the above table the following interpretation applies:
a} Non-Remedial is the service performance measure
target time agains which the minimum
acceptable level of service is measured
(paragraph 4.2.2 vefers) and liguidated
damages are not incurred
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b} Remedial is the service performance target time
after which liquidated damages commence
Note:
{paragraph 3.2. 2 refers)
All Outlets with the exception of those .in the
locations listed in the Definition of Remote and
Intermediate Locations document are defined as
‘Local’ for the purpese of Time to Repair measures.
All outlet changes w be subject to Operational
Business Change. A new outlet location will assume
the same service level as the one it replaces unless
it moves postal zone (eg: BT? 1** from BT? 2**) in
which case the service level to be app be
agreed with the POCL Operational Service Manager.
Liquidated damages are calculated as follows:
Where al} Counter Positions in the Outlet experience
downtime > 6 hours (Local):
Downtime cost =
((Seconds of Outlet downtime - (6 * 3690)}) * number
of automated Counter Positions in Outlet * 0.7
pence};
Where all Counter Positions in the Outlet experience
downtime > 9 hours (Intermediate):
Downtime cost =
((Seconds of Outlet downtime - (9 * 3600})) * number
of automated Counter Positions in Outlet * 0.7
pence);
Where all Counter Positions in the Outlet experience
downtime > 12 hours (Remote):
Downtime cost =
( (Seconds of Outlet downtime - (12 * 3600)) * number
of automated Counter Positions in Outlet * 0.7
pence};
Where at least one Counter Position in an Outlet, but
not all, experiences downtime > 10 hours (Local):
Downtime cost =
({Seconds of Outlet downtime - (10 * 3600)) * number
of automated Counter Positions affected in Outlet *
0.7 pence),
SERVICE LEVELS AND &
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Where at least one Counter Position in an Outlet, but
not all, experiences downtime > is hours
(Intermediate):
Downtime cost =
((Seconds of Outlet downtime - (15 * 3600}) * number
of automated Counter Positions affected in Outlet *
0.7 pence),
Where at least one Counter Position in an Outlet, but
not all, experiences downtime > 24 hours (Remote):
Downtime cost =
i{Seconds of Outlet downtime ~ (24 * 3600}} * number
of automated Counter Positions affected in Outlet *
0.7 pence),
Total Excess time cost = the tctal amount of
liquidated damages calculated in Schedule 810, for
POCL Transactions at all Outlets
otal downtime cost = the aggregation of the Downtime
Cost for all Outlets over the Service Level
Measurement Period
Tf total downtime cost > total excess time cost
then the additional liquidated damages are:
total downtime cost - total excess time cost.
POCL SERVICE LEVELS WITH NO ASSOCIATED LIQUIDATED
DAMAGES
Reference Data
Reference Data is delivered to the Contractor at any
time rior to, or on t day preceding, its
implementation date.
The Minimum Acceptable Threshold is that:
e for Reference Data delivered to the Contractor by
20:00 on the day preceding their implementation
date, the percentage of Counter Positions
referencing the correct version of the Reference
Data at the start of the POCL Core Day on the
implementation date of the data is not less than
97%; and
e for Reference Data delivered to the Contractor by
20:90 on the day preceding their implementation
In
%
RASTRUCTURE SERVICE LE!
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Note:
date, the percentage of Outlets referencing the
correct version of the Reference Data at the start
of the POCL Core Day on the day after the
implementation date cf the data is not less than
99%; and
* for Reference Data delivered to the Contractor by
20:00 on the day preceding their implementation
date, the percentage of Outlets referen the
correct version of the Reference Data at
of the POCL Core Day on the day two days after the
implementation date of the data is 100%; and
Reference Data will be timed from Release by POCL
Authorisation Board to Pathway to i Receipt by the
Post Of e@.
There is at present workgroup activity taking place
between POCL and ICL Pathway to further revisit and
upgrade Reference Data SLA’s post- NR2
On cccasions (for example - to implement Reference
Data changes consequent on a Budget Day by start of
business on the following day) the Contractor shall
implement changes to a tighter timescale. [R539]
4.2 Time to Repair
4.2.1 Incidents which prevent an individual Outlet from
using the normal (non-fallback) Services shall be
resolved as fo. ws, except where different numbers
o£ working hours have been agreed in respect of the
specific Outle
4.2.2 The Minimum Acceptable Threshold is:
* 95% xesolved within four (4) hours (Local Non-
Remedial), six (6) hours (Intermediate Non-
Remedial) and eight (8) hours (Remote Non~
Remedial), when Incidents have resulted in a
substantial impact on all automated Counter
Positions in the Outlet (Priority 'A‘ HSH Call};
e 95% fixed within eight {8} hours (Local Non-
Remedial), ten (10) hours {Intermediate
Remedial) and twelve (12) hours {Remote
Remedial) when Incidents have resulted in oa
substantial impact on an automated Counter
Position, but not all automated Counter Positions,
in the Outlet (Priority 'B' HSH Call
4.2.3 Downtime is defined as starting once the Incident is
reported to the Help Desk. For the purposes of time
to repair only time within the POCL Core Day is
counted.
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4.2.4 More than fifty (50)% of maintenance and repair
visits shall be completed within twenty (20) minutes
of arrival ($468)
4.3. Horizon System Helpdesk Service
The Contractor shall provide the Horizon System
Helpdesk Service which shall act as the first point
of conta for Customers of ail POCL Services.
Customers include POCL staff and staff of POCL
ents having a direct interface with the POCL
Infrastructure provided.
4.3.4. Hours of Service
The Contractor shall provide a continuous Help Desk
vice on each POCL Core Day.
4.3.1.2. A full Help Desk Service is required during the POCL
Core Day. A skeleton Help Desk Service shall be
provided between 05:00 and 68:00 and between 20:00
and 24:90, Monday to Saturday, and between 07:00 and
22:00 on Sundays.
4.3.1.3. Arrangements for Bank Hol ys shall only vary from a
normal POCL Working Day where agreed with POCL,
having regard to their applicability throughout the
Unit Kingdom. No POCL Help sk Service shall be
provided on Christmas Day.
4.3.1.4. The Contractor shall ensure that calls made to the
Help Desk outside specified hours are accepted by
Contractor. [R914]
4.3.2. Service Targets
4.3.2.1. The Contractor shall answer at least 80% of all calis
to the Help Desk within ty ty (twenty) seconds and
at least 99.9% of calls w. n forty {40} seconds,
during support hours, including skeleton hours.
4.3.2.2. The percentage of ‘calls not answered’ shall be less
than 1%. This includes calls where the line is busy
as well as calis answered but put on the ‘waiting
queue’, [R914]
oo
.3.2.3, The Contractor's Horizon System Helpdesk Service
shall provide first, second and third level Services
as describ in Schedule GOl. [R914]
4.3.2.4. The Contractor shall resolve at least 95% of calls
assigned to first level within five (5) minutes. The
Contractor will resolve 100% of calls assigned to
first level within ten (10) minutes. [R914]
SERVICE LEVELS AND REMEDIES
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4.3.2.5.
4.4.5.
The Contractor shall resolve at least 95% of call
ssigned to second level within thirty (30) minutes.
The Contractor shall reselve 100% of calls assigned
to second level within forty-five {45} minutes.
[R914]
The Contractor, given two (2) POCL Core Days notice,
shall extend the level of Service to whatever is
required. In emergency circumstances, the Contractor
shall, given five (5) hours notice, provide a first
and second level Service outside normal and extended
working hours. [R914]
TMS Service Levels ~- transaction monitoring
POCL are not concerned with the performance of
individual elements of the POCL Infrastructure
Services per se. The primary concern is with the
overall performance of the Services as they impact
upon POCL’s own systems, Clients, staff, Agents and
Customers. Therefore, targets for the level of
internal performance between Services shall not be
set by POCL. However internal Service performance
Shall be judged by POCL as it affects overall
performance of the Services, [R869]
The Contractor shall specify the internal performance
requirements of any Service that potentially may he
re-tendered, by the Operational Trial Commencement
Date, The Contractor shall maintain and report actual
measured performance for TMS as it interfaces to
other Services. [R863]
For the TMS the Contractor shall specify the
performance requirements and tolerances by the
Operational Trial Commencement Date: [R869]
{a) hours of operation of TMS;
(bp) response time required between TMS and OPS.
{c) the number of outages of TMS, identifying types
of outages monitored;
{d}) the availability of TMS.
The Contractor shall ort against all performance
requirements identified in section 4.4.3 above.
[R869]
Any proposed changes to any interface specification
to TMS shall be subject to approval by POCL in
accordance with Change Control Procedures, with
updates to the technical documentation being provided
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within ten (10) POCL Core Days after the ¢ ge has
been implemented. [R869]
4.5. Implementation - Service Level Agreements:
Installation of Service Infrastructure
4.5.1, Site survey
4.5.1.1. The Contractor shall achieve no less than 65%
satisfaction rating for site qua y surveys. [R845]
4.5.2. Modifications
4.5.2.1. The Contractor shall achieve no less than 85 &
satisfa on rating for modifications in the quality
survey described in Schedule G06. [R945]
4.5.2.2. 98% of repairs required to make good any damage
4.3.3.2.
caused to POCL Premises by the Contractor or its sub-
contractors shall be carried out within their
scheduled timescales. [R945]
Installation
The Contractor shall achieve no less than 65 #
satisfia on rating for installation in the quality
survey described in Schedule G06. [R945]
Excluding Site Surveys, Modifications, Training, Data
Migration and factors outside Contractor's control,
the median time for closure of a counter position for
installation activities shall not exceed 45 minutes
for all counters except those which have the ISDN
connection, for which the median shall not exceed 75
minutes. Both parties will further review the
installation process using reasonable endeavours to
agree improvement processes to enable the time for
the installation at individual counter positions to
be reduced having regard to the security features as
Stated in the Security Functional Specification.
[R502]
98% of repairs required to make good any damage
caused to POCL Premises by the Contractor or its sub-
contractors shall be carried out within their
scheduled timescales. [R945]
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SCHEDULE Gl1- POCL CONTINGENCY SERVICES
1. The POCL Infrastructure Contingency Services shall be as
specified in the contingency plan. to satisfy
Requirement 830 in Schedule A1S.
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SCHEDULE HO1- OBCS SERVICE DEFINITION
1. INTRODUCTION
Lei. This Schedule details the Order Book Control Service
{OBCS) .
1.2. OBCS provides various functions mainly associated with
the use of bar-coded order books in Outlets in Great
Britain by Customers who are in receipt of various,
typically long-term, benefits (e.g. Child Benefit and
Retirement Pension). These functions centre around the
receipt and use of notices which direct the Counter
Clerk to impound an order book with or without payment.
{FS4.1.6.1)
1.3. OBCS receives and processes stop list data received from
computer systems operated by DSS. OBCS makes this
information available to Outlets to:
a}check the order book status on receipt at the Outlet;
[FS4.1.6.1]
b)check the order book status on issue to a Customer;
(FS4.1.6.1]
c)record the redirection of an order book if it has been
sent to the wrong O et; (FS4.1.6.1]
djdetermine whether a payment should not be made or
should be restricted in some form. [FS4.1.6.1]
1.4. OBCS accumulates the results of all OBCS transactions
from each Outlet during the day, collates these
transactions, and despatches them to the DSS systems.
(FS4.1.6.1]
1.5. The Contractor shall provide OBCS in accordance with the
Service Levels set out in Schedule HO8.
2. GENERAL CONSTRAINTS
2.1. OBCS shall be available in nominated Outlets. [R898]
2.2. OBCS shall be available at every Counter Position in any
automated Outlet at which OBCS is required during the
normal opening hours of that Outlet. [(R§98 & S898}
2.3. OBCS shall be implemented using TMS and OPS, and shall
be based upon the current ESNCS in use in ALPS post
offices. [R898 & S898]
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2.4. CBCS shall record neither the receipt nor the issue of
order books that do not have a bar-code. [OBCS BPR
3.1.8)
2.5. OBCS shall not record returns to DSS of order books that
have not’ been collected by the Authorised Person. [OBCS
BPR 3.3.2)
2.6. The implementation of OBCS shall comply with the POCL
Style Guide. [R898 & $898]
3. SERVICE BOUNDARY TRANSACTIONS
3.1. Interface to DSS
Data Made Available from DSS
3.1.1. POCL shall procure that DSS shall make available from
the ESNCS to OBCS the following, and the Contractor
shall collect:
a)Order book stops - amendments to the currently held
list of order books that shall be stopped and impounded
when they are presented at an Outlet; [R956]
b)Order book recalls - ESNCS will provide to OBCS, and
OBCS shall receive, amendments to the currently held
list of order books which are to be recalled. OBCS
shall calculate the recall date in accordance with the
OBCS Business Processing Rules. A recalled order book
shall be impounded upon presentation at an Outlet.
[R956]
c)Purge order book notification ~ a list of order books
which OBCS may purge from its list of stops or recalls.
Tf a corresponding stop o ecall entry is absent, OBCS
shall record an exceptio OBCS shall not subsequently
need to support any stop or recall action on such order
books unless they are subsequently re-notified via
either the stop or recall processes. [R956 & 8956]
d}Restate full list - a full list of all stops and
recalls that are currently in force. This is an ad hoc
transaction which requires a ement of the parties
(such agreement not to be unreasonably withheld or
delayed) before it can be initiated. [R956]
3.1.2. POCL shall procure that DSS shall make available OBCcS
stop list data (as set out in 3.1.1. a), bj}, and c}} to
the Contractor by 03:00. [B03 5.1.4.1]
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Data Made Available to DSS Systems
3.1.3. The Contractor shall acknowledge receipt of order book
stops, recalls, purges, and full restatement files. The
Contractor shall notify any e ptions from order book
stop, recall, purge, or i restatement file
processing. [S956]
3.1.4, OBCS shall notify the DSS ESNCS of the following:
{a} outcome of order book receipts at an Outlet, each
of which shall be one of: [R956]
i. the order book is acceptable (due to the
absence of an order book stop notice or an
order book recall notice);
ii. the order book is immediately impounded (due to
a stop notice or recall rules being applied);
iii.the order book bar-code is found to be
unreadable {and is to be sent by the Outlet to
a DSS office).
{b} outcome of order book redirections, each of whi
shall be one of: [R956]
i. the order book is redirected;
ii. the order bock is immediately impounded (due to
a stop notice or recall rules being applied);
iii.the order book bar-code is found to be
unreadable and is to be sent to a DSS office.
9
outcome of order book issues to Customers, each of
which sh be one of: [R956]
i. the order book is issued successfully {due to
the absence of an order book stop notice or an
order book recall notice);
the order book is immediately impounded (due to
a stop notice or recall rules being applied);
-the order book bar-code is found to b
unreadable and is to be sent to a DSS office.
@
(a) outcome of order book foil encashments, each of
which shall be one of: [R956]
i. the encashment is successful (due to the
absence of an order book stop notice or an
erder bock recall notice) and the number of
foils encashed and their total value are
reported;
Definition
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cashment is made and the order book is
immediately impounded (due to a stop notice);
iii.,one or more foils are encashed, the number of
ils encashed and their total value are
reported, and the order book impounded {due to
the recall rules being applied);
iv. one foil is encashed, its value is reported,
and the order book is impounded due to the
order book bar-code being unreadable.
3.1.5. OBCS shall also transmit to the DSS ESNCS an Outlet
summary transaction daily for each Outlet of: [R956]
fa) the total number of non bar-coded order books
presented at that Outlet; [R956]
(b} the total number of order books impounded without
any encashments due to the bar-code being invalid;
[R356]
{e) the total number of foils encashed. [R901]
3.1.6. The Contractor shall make available Data Files to ESNCS
by a specified time. This time shall be agreed between
the parties and shall not normally be before 03:00 on
the day following the completion of the transaction.
{B03 5.1.5.1 and OBCS HLD 5.1.1)
The propertion of transaction records delivered to ESNCS
in the first and subsequent Data File transmissions
(i.e. transactions on day A, delivery to ESNCS by the
agreed time on day B, aay C, day 5) shall be measured by
the Contractor. [B03 5.1.5.2]
3.2. Stop List Maintenance
3.2.1. The Contractor shall maintain a national stop list
recording details of order books which have been
stopped, and against which no further payments are to be
made, and order books which have been recalled. In the
case of recalled order books, orders may be paid for a
numb ef days following receipt of the rec the last
allowable order date shall e calculated within OBCS
according to the rules specified in “OBCS Business
Process Rules”. [R899 & 5899 and OBCS BPR 2.5}
3.2.2. The maximum size of the national stop list shall be 1.5
million entries. [R899 & $899)
3.2.3. The Contractor shall initiate a communications nk
between the ESNCS and the TMS 7 nights each week and
shall transfer a Data File containing stop list updates.
The stop list updates shall include entries that are to
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be added and reference to those that are to be deleted.
Notices not so deleted shall be removed after an
appropriate period as defined in the OBCS Susiness
Process Rules. [R899 and OBCS BPR 2.6]
3.2.4, Stop list update files shall be applied in the order
defined in the stop list interface document. The maximum
size cf a stop list update shall normaliy be 100,000
entries. In the event that an update of greater si is
needed special arrangements shall be made. The mum
size of a stop list update shall be 0 {zero) entries; in
this case a nuli content file with appropriate header
and footer records shall be sent. [R899 & 5899}
3,3, Processing of Bar-Coded Order Books
General
3.3.1. OBCS shall provide a facility for dealing with bar-coded
er books presented for encashment of benefits at
utomated Outlets requiring OBCS. [R900]
3.3.2. Whenever the bar-code on an order book is scanned OBCS
shall provide both a visual and an audible indication of
the result of the scan based upon the absence or
presence of a stop list entry. There shall be a clear
difference between the audible indication giv fer
‘success or normal’ and ‘failure or exception’. There
shall be a clear distinction between the instructions to
‘impound’ and ‘cash and impound’. [R900 & $900]
Re-direction of Order Book
3.3.3. If the Counter Clerk determines that the order book has
been sent to the wrong Outlet, OBCS shall be capable of
recording the fact that the order book been
redirected. [R900]
Receipt of Order Book at Outlet
3.3.4. When an order book is received at the Outlet from DSS
OBCS shall prompt the Counter Clerk to scan the bar-
cod and OBCS shall check it against the stop list. In
adc on to the order book being valid, and ready for
collection by the Authorised Person, the other possible
outcomes are: [R900 & S900}
a)the order book is on the stop list, either as a stop or
a recall, in which case OBCS shall instruct the Counter
Clerk to impound, hole punch the order book, and return
it to DSS; [R900]
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b)there are three consecutive failures to read the bar-
code, in which case OBCS shall prompt the Counter Clerk
to enter the bar-code information via the keyboard.
Subsequently OBCS shall instruct the Counter Clerk to
hole punch the order book and return it to DSS. OBCS
shall record the order book as unreadable; [R900]
c)the bar-code is invalid, in which case OBCS shall
prompt the Counter Clerk to impound the order book,
hole punch it, and return it to DSS. OBCS shall record
the order book as invalid; [FS4.1.6.2.3.1.1 (2)]
Issue of Order Book to an Authorised Person
3.3.5. When an order book is being issued to the Authorised
Person, OBCS shall prompt the Counter Clerk to scan the
bar-code and OBCS shall ¢ t against the stop list.
In addition to the order book being issued, the other
possible outcomes are those listed in paragraph 3.3.3 a)
to c). [R900 & S900}
Encashment
3.3.6. When a Customer presents an order book for encashment of
one or more foils, OR¢ shall prompt the Counter Clerk
to scan the bar-code and OBCS shall check it against the
local Customer reference number file and, if matched,
the local stop list. If an entry is found in the loc
stop list, then the order book is invalid and payment
cannot proceed. [R900 & S900)
w
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.7, if mo match is found against tt local Customer
reference file, OBCS shall check the er book against
the national stop list. If an entry is found the order
book is invalid and the payment cannot proceed. If an
entry is found on the stop list then t relevant action
is taken. [S900]
a)If the order book is found not to be invalid, OBCS
shall instruct the Counter Clerk to pay normally and
prompt for the number of foils encashed. A default
number of one shall be presented th the Counter Clerk
having the ability to override this. [R900}
b) If the order book has been stopped, OBCS shall instruct
the Counter Clerk to make no payment and impound the
order book, hole punch it, and return it to DSS. The
Counter Clerk shall not be allowed to void or otherwise
cancel such a transaction. [R900]
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e}if the order book has been recalled, O8CS shall
instruct the Counter Clerk to pay up to a sp fied
date and prompt for the number of foils encashed. A
default number of one shall be presented with the
Counter Clerk having the ability to override this with
a valid number, including zero. OBCS shall instruct the
Counter Clerk to retain the order book, hole punch it,
and return it to DSS. [R900]
d)If there are three consecutive failures to read the
bar-code, OBCS shall prompt the Counter Clerk to enter
the bar-code information via the keyboard. If the order
book is on the stop list for impounding then this takes
precedence, otherwise OBCS shall instruct the Counter
Clerk to pay one foil, hole punch the order book, and
return it to DSS. OBCS shall record the order book as
unreadable. The Counter Clerk shall not be allowed to
void or otherwise cancel such a transaction. [RS00]
e)When OBCS identifies a bar-code as not conforming with
the specification contained in “OBCS Business Process
Rules”, OBCS shall instruct the Counter Clerk to
impoung the order book without payment. The transaction
shall be recorded by OBCS. This transaction shall be
recorded in the summary of non-bar-coded order books.
[R9CO and OBCS BPR 2.2]
3.4. Processing of Order Books without Bar-codes
3.4.1. When an order book with no bar-code is presented for
encashment OBCS shall prompt the Counter Clerk to enter
the number of foils to be encashed. A default number of
one shall be presented with the Counter Clerk having the
ability to override this. [R901]
3.5. Transaction Reporting
3.5.1. The Contractor shall provide arrangements for recording
and reporting order book receipt, redirection, return,
and issue in Outlets. These shall be reported as EPOSS
zero value transactions. {R960 & S960}
4. SYSTEM AND SERVICE RESPONSIBILITY
4.i. The Contractor shall provide all networks, Hardware,
Software, procedures and training required to connect
and deliver POCL Services to the nominated DSS
platforms. The Contractor shall provide such
connection(s}) at sites nominated by POCL for DSS and
which may change over time. [R956]
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5. FALLBACK AND RECOVERY
5.1. OBCS Encashment Transactions
Bar-code failure
5.1.1. If the bar-code reader fails to read the bar-code on the
erder book three times in succession, the Counter Clerk
shall test the bar-code reader with a test pattern. If
the bar-code reader is working properly, then the
Counter Clerk shall impound the order book .
Bar-code reader failure
5.1.2, If the Counter Clerk knows that the bar-code reader is
faulty, the Counter Clerk does not swipe the bar-code,
but keys the bar-code number direct. {In multi-Counter
Position Outlets, where practical, t Counter Clerk
shall direct Customers to another Counter Position and
llback procedures need not be invoked.)
Pe failure
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If the PC, monitor, or keyboard fail, in order to check
the order book against the stop list, the Counter Clerk
may telephone the Horizon System Helpdesk, (in multi-
Coun Position Outlets, where practical, the Counter
Cle all direct Customers to ancther Counter Position
and fallback procedures need not be invoked.)
ISDN / Gateway PC failure
5.1.4. If the ISDN / Gateway PC fails, this only affects recent
stop notification and those encashments where the
Beneficiary has not used the Outlet before. No fallback
procedures hall be invoked for recent stop
notifications due to the small numbers involved. The
POCL Service shall identify where the Beneficiary has
not used the Outlet before and, if this is the case, the
Counter Clerk may telephone the Horizon System Helpdesk
in order to check the ord book against the stop list.
OBCS order book receipt
5.1.5. The transaction for checking order books on arrival at
the Outlet shall not normally be undertaken whilst the
Outlet is in fallback mode. Instead, the Outlet shall
wait until normal operations are resumed before checking
order books. However, should a Customer arrive to
collect an order book which has not heen checked, then a
cal shall be made to the Horizon System Helpdesk to
ensure the order book is not on the stop list. Tt is
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estimated that this shall result in an additional 90
seconds to the existing manual procedure.
6. MANAGEMENT INFORMATION
6.1. The Contractor shall provide management information with
reference to service performance in accordance with
Schedule H08.
7. SUPPORT SERVICES
7.1. OBCS Help Desk
7,2.1. The Contractor shall provide an OBCS support facility
through the Horizon System Helpdesk. The OBCS support
shall be available for use by all Users of OBCS, as soon
as OBCS is made available to them. [R898]
7.2, Training And User Manuals
.1. The Contractor shall develop and maintain PPDs required
for the cperation of CBCS.
7.2.2. The detailed training specifications shall be defined in
‘Pathway’ s Training and User Awareness Baseline
Document”.
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SCHEDULE H02- OBCS ACCEPTANCE CRITERIA
1.
Subject to Clause 201.6, the OBCS shall meet the
following Acceptance Criteria, namely that OBCS shall be
as specified in Schedule H01 and interwork with the POCL
Infrastructure Services specified in Schedule G01,
ensuring that:
(a) data shall be received, stored, captured and sent in
a secure manner, timeously and without corruption;
and
{b} OBCS shall be secured against fraudulent attack as
far as the Codified Agreement requires; and
{c) OBCS has the contingency arrangements specified in
Schedules HO1l] and HOS and that all contingency
arrangements can be implemented successfully; and
{d) OBCS meets the maximum Contracted Transaction Times
specified in Schedule H08 and the Minimum Acceptable
Thresholds specified in Schedule H08.
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SCHEDULE HO3 - OBCS POCL RESPONSIBILITIES
i. INTRODUCTION
1... This Schedule specifies the actions and
responsibilities that POCL shall fulfil in order to
enable the Contractor to meet its obligations under
Schedule HO1 and related Schedules.
1.2. The table under paragraph 2 below matches the
paragraphs Schedule KOl to the PocL
Responsibilities that are set out in Schedule Al6é of
the Codified Agreement.
1.3. For the avoidance of doubt the omission of relevant
POCL Responsibilities from paragraph 2 below shall
not relieve POCL from any such relevant POCL
Responsibilities as are expressed in Schedule Al6 of
the Codified Agreement.
2. POCL RESPONSIBILITIES
Paragraph reference Responsibility
2.1, 2.2, 2.3, 2.6, 7.1.1 898
3.1.1 (a), (b), (ec), (a), 3.1.3, 956
3.1.4 (a), (b), (ec), (d), 3.1.5¢a), (b)
4.1
3.1. 301
3.2. 899
3.3. 3.3.4 a), (b), 900
3.3 a), (b) , (c) » (a) , (e)
3.5. 960
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SCHEDULE H04 - OBCS ROLL-OUT AND IMPLEMENTATION
1. The roll out and implementation of OBCS shall be
coincident with the roll out and implementation of the
POCL Service Infrastructure as defined in Schedule G06,
except that Outlets in Northern [Ireland shall he
prevented from using OBCS.
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SCHEDULE HO5 - OBCS SERVICE MANAGEMENT
i. OBJECTIVES OF SERVICE MANAGEMENT
The objectives of the management of the OBCS are to
moniter and manage the delivery of the O8CS, and to
report on the same to the Contract Steering Group
defined in Schedule Ao4.
1.2. The sections below detail (without limitation) the
specific objectives of key activities that will be
undertaken. The significance of the detailed tasks may
vary over the life of this Codified Agreement.
2. ORGANISATION
2.1. General
2.1.1. The Contractor and POCL shall establish an
organisational structure to manage the delivery of the
opcs in accordance with Schedule HOl and all other
applicable provisions hereof. The key roles within this
organisation are identified in sections 3 and 4 below.
2.1.2. Any changes to the organisation defined in this Schedule
shall be made in accordance with Clause 101.2.
2.1.3. The specific individuals to fulfil the roles identified
in the organisation shall be communicated in writing
between the parties to this Codified Agreement.
3. CONTRACTOR ROLES KEY TO THE DELIVERY OF THE SERVICE
3.1. Introduction
3.1.1. The roles and responsibilities within the Contractor's
organisation specific to the delivery of the OBCS are
detailed below. One person may perform more than one of
these roles.
3.2. Operational Service Manager
3.2.1. The Operational Service Manager shall be responsible for
building a strategic relationship at the appropriate
level in POCL with an emphasis on operational
requirements of this Service. The Operational Service
Manager shall attend the quarterly Service Review
Meeting (see paragraph 6.2).
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3.3.
Service Manager
3.3.1. The Service Manager shall be responsible for the overall
delivery of OBCS to POCL. The Service Manager shall
specifically be responsible for:
a)the maintenance of Service Levels in accordance with
Schedule HO8;
b})the provision of monthly Service Management Reports as
described below in paragraph 6.1.2;
c)briefing the Contractor's attendees at the Contract
Steering Group meetings as described in Schedule A04;
da)briefing the Operational Service Manager in advance of
the quarterly Service review meetings;
e)facilitating joint quality initiatives with POCL.
The Service Help Desk Manager
. The Horizon System Helpdesk manager for this Service
shall be responsible for the management of POCL problems
and enquiries.
4. POCL ROLES KEY TO THE DELIVERY OF THE SERVICE
4.1. Introduction
4.1.1. The roles and responsibilities of POCL specific to
Service management are detailed below. One person may
perform more than one of these roles.
4.2. Business manager
4.2.1. The POCL Business Manager is the individual responsible
for the business which the Service supports. The
Business Manager shall attend the quarterly Service
Review Meeting.
4.3 POCL Liaison Manager
4.3.1. The POCL Liaison Manager is responsible for the day-to-
day liaison with the Contractor. The POCL Liaison
Manager provides the first point of contact with the
Contractor. This manager shall specifically be
responsible for:
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(a) monitoring delivered Service Levels;
(b) receipt and analysis of the Contractor’s monthly
Service Management Reports;
{c) briefing the POCL Business Manager in advance of the
Service Review Meetings;
(d) briefing the POCL attendees at the Contract Steering
Group meetings as described in Schedule A04;
(e) facilitating joint quality initiatives with the
Contractor.
4.4 Key Personnel
4.4.1. The specific individuals who fulfil the roles defined
for POCL shall be notified to the Contractor in writing
in advance of their taking up the post.
5. ESCALATION PROCEDURES
5.1 The Contractor and POCL shall operate escalation
procedures for issues affecting the OBCS in accordance
with the provisions of Schedule A04 of the Codified
Agreement.
6. MONITORING
6.1. Service Reporting
6.1.1. The Contractor shall provide POCL with monthly Service
Management Reports, which shall be produced within five
(5) working days of the calendar month end, unless
agreed otherwise. The Service Management Reports shall
allow POCL to monitor the Contractor's Service provision
and achievement of the Service Levels.
6.1.2. Service Management Reports shall include but are not
restricted to the following attributes:
(a) availability of service;
(b) service breaks/service failures;
(c) planned maintenance breaks;
(d) Service delivery changes; and
(e) Incidents resolved and outstanding;
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(£) and data to support Schedule H08.
6.1.3. The Contractor shall provide POCL with access to the raw
data used to generate Service Management Reports when
requested to ¢llow POCL to generate POCL internal
reports.
6.2. Service Review Meetings
6.2.1. The POCL Business Manager and the Contractor's
Operational Service Manager shall meet every three
months (or as otherwise agreed by the POCL Business
Manager and the Contractor's Operational Service
Manager) to review Service Levels, Incidents and
problems reported in the previous period.
6.2.2. In addition POCL shall advise the Contractor of its
requirements for implementation of the Service at new
Outlets.
6.2.3. Other Contracter staff and POCL staff may attend these
meetings at the request of either the Contractor or POCL
to resolve particular matters on the agenda.
6.2.4. A typical agenda for such a meeting may include, without
limitation:
{a) Service Management Reports;
{b) highlights of previous period’s Service statistics,
concentrating on failures to meet required Service
Levels, including major Incidents reported, Service
trends and Service achievements;
(c) explanation of unresolved Incidents and, in
particular, any matters still outstanding;
(d) review of the on-going actions, such as fault
correction, agreed Service changes and any POochL
related work;
{e) change management progress Report;
{£) suggestions for improvements to Service;
{g) advance notification of major changes and new work,
and review of the impact these may have on Service
requirements;
(h) any implementation requirements.
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6.2.5. The Contractor shall prepare the necessary Reports for
discussion at these meetings.
6.2.6. POCL shall keep a record of these meetings and shall
distribute the record te the Contractor and to the POCL
Contract Manager for review at the Contract Steering
Group Meeting (see Schedule Ao4).
6.2.7, The Service Review Meeting shall normally take place at
least five (5) days after the delivery date of each
third monthly Service Management Report provided by the
Contractor to POCL.
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SCHEDULE HO6- OBCS SERVICE TRANSFER
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SCHEDULE HOB- OBCS SERVICE LEVELS AND REMEDIES
Note *:
PURPOSE
This Schedule specifies the Service Levels for OBCS.
AVAILABILITY
The Contractor shall provide the OCBCS at all Outlets
at which OBCS is required during the normal working
hours of those Outlets. [R898 & S898 & CCN47A}
TRANSACTION TIMES
The maximum Contracted Transaction Times (including
manual, OBCS, and EPOSS components) to include an
element to cover expected levels of ansactions done
in fallback are as follows:
Transaction types (ORCS) Maximum Contracted
Transaction Times
(seconds)
OBCS Issues (Local) 39.90 _I
oOBCS Tssues (Foreign) ° 42.50
OBCS Encashment (Local) 26.94 ~
OBCS Encashment (Foreign) 28.10
Such time for order book checking shall be confined
to computer and manual operations associated with
operating the HCI.
The mean time for OBCS Encashments in any Reporting
Period is expected to be 27.01 seconds and may vary
if the actual mix achieved is different to that
expected.
The definitions of local versus non local Transaction
types are as set out in the following table:
OBCS SERVICE LEVELS AND REMED
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3
TRANSACTION I DESCRIPTION FUNCTION
OBES book Record location of book and check [OBCS
receipt for stop notice at the time an order
book is received at an Outlet, by
reading a bar code on the order book
and comparing it te the DSS stop
list.
OBCS book A further check for stop notice at I OBCS
issue time of issue to Customer.
OBCS book Recording redirection of a book I OBCS
redirection I delivered to the wrong Outlet.
Pay benefit I Payment made (or denied for reason I OBCS
following of a stop) at the Outlet at which
OBCS check the book was issued or one at which
local the Customer has previously encashed
Transaction }a payment from that book. Service
also includes the recording of
instances of payment against non-
bar-coded books (e.g. War Pensions).
Pay benefit I Payment made (or denied for reason OBCS
following of a stop} at an Outlet other than I
OBCS check I that at which the bock was issued or
- non-local Iat which the Customer has previously
Transaction I encashed a payment from that book.
The automated OBCS components to be measured on an
actuals basis shall be determined by reference to the
ccD entitled “Counter Transaction Performance
Measurement and Benchmarking”. Target times shall be
agreed between POCL and the Contractor prior to the
Operational Trial Acceptance Date and shall be
recorded in the CCD entitled “OBCS Benchmark Counter
Transaction Times” against the OBCS Transaction Types
the table in paragraph 3.1 above. Target
times for future releases shall be agreed prior to
release authorisation and the ORCS Benchmark Counter
Transaction Times document will be updated.
When issuing an order book, the checking against the
stop list using OBCS shall not add more than five (5)
seconds to the time that would have been taken with
no manual stop list check. {R902]. Such time
increment shall be confined to computer and manual
operations associated with operating the HCI.
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SCHEDULE HO8
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RESTRICTED CONTRAC,S
A. SERVICE LEVELS
Service Level
Threshold
The fully updated version
is available, on the day
following delivery, at the
start of the POCL Core Day
for 99% of automated
Counter Positions
providing or intended to
provide OBCS; and
the
fully updated version
Service Requirement (and Reporting Minimum Acceptable Termination Review
reference to Requirement Period
Schedule)
1. Data Made Available toj Quarterly 97% of all TransactionI98%8 of all Transaction
DSS systems records to be delivered byI records to be delivered by
day B; day D.
99% of all Transaction
records to be delivered by
day C;
100% of all Transaction
records to be delivered by
day D.
2. Stop list maintenance Quarterly The fully updated versionI The fully updated version
is available at the startlis available, on the
of the POCL Core Day for} second day following
97% of automated Counter;delivery, at the start of
Positions providing orithe POCL Core Day for 98%
intended to provide OBCS; I of automated Counter
and Positions providing ox
intended to provide OBCS.
OBCS SERVICE LEVELS AND REMEDIES
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RESTRICTED CONTRAC: 0
Service Level
Threshold
Service Requirement (and Reporting Minimum Acceptable Termination Review
reference to Requirement Period
Schedule)
~ is available, onthe —
second day following
delivery, at the start of
the POCL Core Day for 100%
of automated Counter
Positions providing or
intended to provide OBCS.
3. OBCS Transaction Times Monthly All OBCS Transactions I The overall average
operate within the OBCSITransaction time is more
Transaction times in theI than half a second greater
table under 3.1 of thisIthan the OBCS Transaction
Schedule. times in the table under
3.1 of this Schedule.
OBCS SERVICE LEVELS AND REMEDIES
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5. REMEDIES
5.1. Liquidated Damages
Transaction Times
w
Mm
~
The liquidated damages payable by the Contractor
shall be based on a series of measurements over the
reporting period, accumulated over a range of
Services. This Schedule specifies the contribution
made by OBCS, while the formulae for calculating the
value of the liquidated damages and the effects of
the accumulation of effects over the range of
Services is described in Schedule B10.
§.1.2. The following variables shall be recorded and used in
calculating the remedies:
(a) T(OBCS): the total number of OBCS Transactions in
the Service Level Measurement Period;
(6) C(OBCS): the total accumulated difference
between the actual measured variable system
components and the agreed benchmarked variable
system components in the CCD entitled ‘“OBCS
Benchmark Counter Transaction Times” against the
OBCS Transaction Types shown in the table in
paragraph 3. 1 plus the total accumulated
difference between the agreed benchmarked total
transaction times and he maximum total
transaction times.
5.1.3. In calculating the value for C(OBCS) above, OBCS
encashment Transactions which take place in fallback
mode (and therefore cannot be accurately accounted
for in Service measurements) shall be considered to
have taken a synthesised time.
5.1.4. The following Fallback scenarics have been identified
by the Contractor:
{a} Bar code failure
The Service fails to read the bar code on the
order book. Assumes Counter Clerk shall swipe
the bar code three times and then test the bar
code reader with a test pattern. Should the bar
code reader be working, then the order book
shall be impounded. The Contractor shall
distinguish between Bar code failure and bar
code reader failure.
(b) Bar code reader failure
Assumes Counter Clerk knows bar code reader is
faulty and therefore does not swipe bar code
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before keying bar code number. In multi-Counter
Position Outlets, where practical, Customers
shall be directed to another Counter Positic
and fallback procedures need not be invoked.
The Contractor shall distinguish between Bar
code failure and bar code reader failure.
{c) PC failure
This may be due to either the PC, monitor or
keyboard failing. In order to check the order
book against the stop list, it shall be
necessary for the Counter Clerk to telephone the
POCL Systems Help Desk. In multi-Counter
Position Outlets, where practical, Customers
shall be directed to another Counter Position
and fallback procedures need not be invoked.
(d) ISDN / Gateway PC failure
Such failures shail
only affect Foreign
Encashments and recent stop notifications. The
Service shall identify For in Encashments and,
in order to check the order book against the
stop list, it shall be necessary for the Counter
Clerk to telephone the POCL Systems Help Desk
No fallback procedures shall be invoked for
recent stop notifications due to the small
numbers involved.
5.1.5. The following table identifies the synthesised times
for a range of fallback scenarios. These times shall
be validated as part of the Operational Trial, and
adjusted by agreement between the axties. The
difference between the synthesised times and the
appropriate Contracted Transaction Time shall be
added te C(OBCS). The Contractor shall report to POCL
occurrences of each scenario. The synt sed times
for the fallback scenarios are:
Fallback oBCS oBCcS oBcS OBCS
reason Issues Issues Encashments I Encashments
(Local) (Foreign) (Local) (Foreign)
a
Bar-code
failure
Bar-code
reader
failure
3: PC failure}
N
47 ISDN vi
5.1.6, The liquidated damages for excess time are
calculated, based on the all Outlet figures of T, and
C; as described in Schedule B10.
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5.1.7.
w
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2
In the event that the actual level of Service falls
below the Termination Review Threshold for any two(2)
consecutive months then POCL may terminate the
Codified Agreement in accordance with Clause 902.2 of
the Codified Agreement. For the avoidance of doubt
this right of termination is in addition to the
general r s of termination specified in paragraphs
4.4 and 4.5 of Schedule A06.
OBCS Stop List Data
The liquidated damages due to late provision of stop
list data at the Counter Positions providing x
intended to provide OBCS are calculated as follows:
Liquidated damages =
((((100 - actual level of service by Day D) / 100 *
total number of Transactions * 1.0 pence) +
{((99 - actual level of Service by Day C) / 100 *
(total number of Transactions - any also failing at
Day D} * 1.0 pence) +
((97 ~ actual level of Service by Day B} / 100 *
{total number of Transactions - any also failing at
Day D+ Day C) * 1.0 pence) +
The actual level of service is measured up to the
point in time the stop list data is loaded on to the
OBCS host and hence available to the Counter
Positions providing or intended to provide OBCS.
Data File Delivery
The liquidated damages due to late provision of Data
Files to the ESNCS are calculated as follows:
Liguidated damages =
((({1C0 - actual level of Service by day D} / 100) *
total number of Transactions * 1.0 pence} +
(((99 - actual level of Service by day C) / 100) *
(total number of Transactions - any also failing at
day D) * 1.0 pence) +
(((97 - actual level of Service by day B) / 100} *
(total number of Transactions - any also failing at
day D and day C) * 1.0 pence).
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SCHEDULE HOS$- POCL CONTINGENCY SERVICES
i. The OBCS Contingency Services shall be as specified in
“the contingency plans to satisfy Requirement 630 in
Schedule A15.
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SCHEDULE KO1- LFS SERVICE DEFINITION
21. INTRODUCTION
1.1. This Schedule details the Logistics Feeder Service (LFS)
which the Contractor shall provide.
1.2. The Contractor shall provide the LFS Outlet Service
described in paragraph 3. at all Outlets.
1.3. LFS shall capture data from Outlets for onward
transmission to SAPADS. Such data shall be cash and
Stock Declarations, Outward Remittances including
confirmation of SAPADS Pouch collection and confirmation
of SAPADS Pouch receipt at the Outlet.
1.4. LFS shall transmit Planned Orders and Advice Notices,
created by SAPADS, to Outlets.
1.5. LFS shall be provided in accordance with the Service
Levels in Schedule K68.
2. GENERAL CONSTRAINTS
2.1. The Contractor shall provide LFS solely through the
medium of the POCL Service Infrastructure. LFS
functionality at Outlets shall be based upon EPOSS
facilities which shall be used to generate Cash On Hand
Statements, Cash On Hand Declarations, Stamps on Hand
Declarations, Stock on Hand Declarations and Remittance
Out Records. [BRD 1.12 sub para 6]
2.2. LFS data, for onward transmission to Outlets, shall only
be accepted from SAPADS.
2.3. All Transactions and Events undertaken in LFS shall be
recorded in an audit trail by use of, and maintained by,
the POCL Infrastructure Services.
2.4, LFS shall capture and declare Inventory Item and cash
levels present within an Outlet at item or sub-item as
determined by Reference Data.
N
ot
The frequency of data capture shall be constrained to
that recorded by EPOSS to support POCL’s business rules.
[BRD 3.3.4 sub para 1 & 2, 3.3.3.5 sub para 3)
2.6. Access to the LFS in an Outlet shall be limited to
authorised Users. The access restriction shall be
achieved by use of the standard POCL Infrastructure
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3.
3
i.
wl.
Service facilities, associating access permission to a
username to levels defined in the Access Control
Policy. [BRD 3.2.1]
Use of Reference Data
LFS shall allow variations to the following limits and
characteristics to be made by parameter defined by
Reference Data [BRD 3.1.5]:
{a) Inventory Items traded at each Outlet (this provides
the basis of controlling Stock movements for that
Outlet); (BRD 3.1.5 sub para 4)
(b) units in which Inventory Items and cash are recorded
and reported upon. (BRD 3.1.4 sub para 1)
OUTLET SERVICE
(Derived from Workshops)
Daily Outlet Cash Level Reporting
. Once a day LFS shall capture from EPOSS details, by
denomination, of cash held at the Outlet.
. The details which LFS captures shall be derived from the
EPOSS screens which create:
a)Stock Unit Cash On Hand Statements from the daily
“State Cash On Hand” facility; and
b)Stock Unit Cash on Hand Declarations from the weekly
“Declare Cash On Hand” facility, where the weekly
declaration has been made on rolled-over Stock Units.
. When the Outlet completes the end of day process, that
is close of business plus thirty (30) minutes or 19:00
whichever is earlier, LFS shall total the Stock Unit
Cash On Hand Statements created in the Outlet.
. The total shail include the latest Cash on Hand
Statements for each Stock Unit, which contribute to the
total holding of each Stock Unit, during that business
day and any Cash on Hand Statements for dormant Stock
Units which have not been previously included in a total
for the Outlet.
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3.1.5. The total shall be a combination of Cash On Hand
Statements and Cash On Hand Declarations which ever is
the latest for each Stock Unit for that day.
3.1.6. If a Stock Unit has been used during the day but has not
completed a Cash on Hand Statement by the time stated in
paragraph 3.1.3., then LFS shall record a nil entry for
the Outlet.
3.2. Weekly Outlet Cash Level Reporting
3.2.1. Once a week LFS shall capture from EPOSS details, by
denomination, of cash held at the Outlet.
3.2.2. The details which LFS captures shall be derived from the
EPOSS screens which support the weekly “Declare Cash On
Hand” facility.
3.2.3. Each Wednesday, LFS shall total the Stock Unit Cash On
Hand Declarations created in the Outlet.
3.2.4. The total shall include the latest weekly Cash on Hand
Declaration for each Stock Unit during that week and the
latest Cash on Hand Declarations for dormant Stock Units
which have not been previously included in a total for
the Outlet.
3.2.5. If a Stock Unit has been used during the week but has
not completed a Cash on Hand Declaration by the time
specified in Schedule K08, then LFS shall record a nil
entry for the Outlet.
3.3. Weekly Outlet Stock Level Reporting
Stamp Reporting
3.3.1. Once a week LFS shall capture from EPOSS details, by
denomination, of stamps held at the Outlet.
3.3.2. The details which LFS captures shall be derived from the
EPOSS screens which support the weekly “Declare Stamps
On Hand’ facility.
3.3.3. When the Outlet completes the Office Rollover to the
next Cash Account Period, LFS shall total the Stock Unit
Stamps On Hand Declarations created in the Outlet
3.3.4. The total shall include the latest weekly Stamps on Hand
Declaration for each Steck Unit during that week and any
Stamps on Hand Declarations for dormant Stock Units
LFS Service Defin:
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which have not been previously included in a total for
the Outlet.
Stock Reporting
w
w
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. On a weekly basis LFS shall capture from EPOSS the level
of stock held at the Outlet for each Inventory [tem
(with the exception of Stamps) which can be traded at
the Outlet. [Ext - JB] Zero holdings for Inventory Items
are not recorded in EPOSS and are therefore not captured
by LFS, [BRD 3.3.3.5 sub para 9}
3.3.6, The details which LFS captures shall be derived from the
opening balances for each Inventory Item. The opening
balance shall be calculated in line with the Office
Rollover process.
3.3.7. For dormant Stock Units in an Outlet, the previously
declared stock levels shall be included in accordance
with the Office Rollover process.
3.4. Outlet Stock Replenishment
Receiving, Viewing and Printing Planned Orders
3.4.1. LFS shall enable an authorised User to select a menu
option to view SAPADS Planned Orders. [BRD 3.2.2 sub para
1]
3.4.2. Details of each SAPADS Planned Order held by LFS for an
authorised User’s Outlet shall be displayed in summary
form. LFS shall enable the authorised User to select a
SAPADS Planned Order and view that SAPADS Planned Order
in more detail. [BRD 3.3.3.2 sub para 3}
3.4.3. Once a SAPADS Planned Order has been read by the
authorised User it shall be marked as read but shall
still be available for subsequent viewing until such
time as it is deleted in accordance with paragraph
3.4.5.[BRD 3.3.3.2 sub para 7]
3.4.4. The LFS shall provide an authorised User with the option
to print any SAPADS Planned Orders, held by LFS for the
authorised User’s Outlet, using the Outlet printer. [BRD
3.3.3.2 sub para 7]
3.4.5. A SAPADS Planned Order shall be automatically deleted
from all operational databases ten (10) days following
receipt by the Contractor. [BRD 3.3.3.2 sub para 8]
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Receipt of Pouch at an Outlet
3.4.6. LFS shall support the ability to verify that a carrier
has delivered one or more SAPADS Pouches and that these
SAPADS Pouches have been received by an Outlet. [BRD
3.2.3) .
3.4.7. LFS shall enable an authorised User to record receipt of
SAPADS Pouches at an Outlet. The identity of SAPADS
Pouches shall be recorded by means of scanning the bar
codes on the SAPADS Pouches with the bar code reader.
[BRD 3.1.2 sub para 1 & 2, 3.2.3 sub para 1}
3.4.8. LFS shall enable an authorised User to confirm that the
SAPADS Pouch receipt procedure has been completed.
3.4.9. Following completion of the SAPADS Pouch receipt
procedure LFS shall produce two (2) identical tally roll
receipts which shall include the following details:
a)SAPADS Pouch identifiers, i.e. barcode details;
b}date and time barcode scanned;
c)authorised User;
d)Outlet FAD code
e)space for signature. [BRD 3.3.3.3 sub para 2]
3.4.10. LPS shall record the date and time of the completion
of this procedure and shall pass the details to SAPADS.
[BRD 3.3.3.3 sub para 6]
3.5. Advice Notices
3.5.1. LFS shall enable an authorised User to select a menu
option to view a SAPADS Advice Note. [BRD 3.2.7, 3.3.3.8
sub para 4]
3.5.2. Details of each SAPADS Advice Notice held by LFS for an
authorised User's Outlet shall be displayed in summary
form. LFS shall enable the authorised User to select a
SAPADS Planned Order and view that SAPADS Planned Order
in more detail. (BRD 3.3.3.8 sub para 5]
3.5.3. Once a SAPADS Advice Notice has been read by the
authorised User it shall be marked as read but shall
still be available for subsequent viewing until such
time as it is deleted in accordance with paragraph
3.5.5. [BRD 3.3.3.8 sub para 6]
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3.
3.
we
5.
6.
6.
a
. The LFS shall provide the authorised User with the
option to print any SAPADS Advice Notices, held by LFS
for the authorised User’s Outlet, using the back office
printer. [BRD 3.3.3.8 sub para 6]
. A SAPADS Advice Notice shall be automatically deleted
from all operational databases ten (10) days following
of its delivery to the Outlet. [BRD 3.3.3.8 sub para 7}
Returning Cash and/or Stock from Outlets
. LFS shall allow an authorised User to enter details of
cash and Inventory Items which is to be returned from an
Outlet to the Distribution Centre. [BRD 3.1.3 sub para 2]
An authorised User shall use EPOSS facilities to create
a Remittance Out Record in respect of cash and/or
Inventory Items which are to be returned [BRD 3.3.3.6
sub para 1)
Create Remittance Out
. An authorised User shall create Remittances Out by
entering the details of the value or volume of cash
and/or Inventory Items, by denomination, which are to be
included in a pouch and returned from a single Stock
Unit. [BRD 3.3.3.6.1 sub para 1]
. An authorised User shall have the option of cancelling
the Remittance Out Record at any time up to completion
of the activity. [BRD 3.3.3.6.1 sub para 1]
Data Capture
. LFS shall capture the barcode details to identify the
SAPADS Pouch used to return the cash/Inventory Items and
associate with the SAPADS Pouch the Remittance Out
Record which details the cash/Inventory Items contained
within in each SAPADS Pouch. (BRD 3.1.3 sub para 2, 3.2.5
sub para 1 & 3]
. LFS shall produce a tally roll print following the
completion of each “Remittance Out” detailing the
cash/Inventory Items being returned in the SAPADS
Pouch. [BRD 3.3.3.6.3 sub para 1]
Pouch Collection
. LFS shall allow an authorised User to invoke the
“Handover Pouch” option and shall scan the barcodes on
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the SAPADS Pouches which are to be collected. [BRD 3.2.5
sub para 2 & 3, 3.3.3.6.4 sub para 1]
3.6.7. LFS shall enable an authorised User to confirm that the
SAPADS Pouch collection procedure has been completed.
3.6.8. Following completion of this procedure LFS shall produce
two (2) identical tally roll receipts which shall
include the following details:
a)SAPADS Pouch identifiers, i.e. barcode details;
b)date and time barcode scanned;
c) authorised User;
d)Outlet FAD code
e)space for signature. [BRD 3.3.3.6.4 sub para 1]
3.6.9. LFS shall retain information about the cash/Inventory
Items in the SAPADS Pouch, the barcode details and other
details recorded in accordance with paragraph 3.6.8
until the details are passed to SAPADS or the remittance
out process is reversed. [BRD 3.2.5 sub para 2}
Automatic Stock Adjustment
3.6.10. On completion of the “Create Remittance Out” process,
the cash/Stock levels recorded for the relevant Stock
Unit shall be automatically decreased.[BRD 3.2.6,
4, LFS INTERFACE WITH SAPADS
4.1. General
4.1.1. LFS shall utilise the facilities of the POCL
Infrastructure Service TMS to distribute data to and
from SAPADS as required for the correct operation of
LFS.
4.1.2. The Contractor and POCL shall jointly develop and agree
(such agreement not be unreasonably withheld or delayed)
the LFS Application Interface Specification and the LFS
Technical Interface Specification which shall include,
without limitation, a description of:
. the physical manifestation of the Service boundary;
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. the data that is transferred over the Service
boundary (in both directions);
. the service characteristics of the data transfers
(e.g. resilience and fallback).
RS
a
w
. The LFS Application Interface Specification and the LFS
Technical Interface Specification shall be complete and
approved before any Acceptance testing for the LFS
commences.
4.2. Stock and Cash Declarations
Daily Cash Declarations to SAPADS
4.2.1. LFS shall transmit data extracted from all daily Cash On
Hand Statements in accordance with paragraph 3.1. to the
Contractor’s datacentre. [BRD 3.3.3.5 sub para 11]
4.2.2. LFS shall create files containing all data extracted
from Cash On Hand Statements completed by the cut off
time specified in Schedule KO8 and shall dispatch this
file to SAPADS. [BRD 3.3.3.5 sub para 11]
Weekly Stock/Cash Declaration
4.2.3. LFS shall transmit the data extracted from all Cash On
Hand Declarations, Stamps On Hand Declarations and
Inventory Item opening balances in accordance with
paragraphs 3.2. and 3.3. to the Contractor's
datacentre. [BRD 3.3.3.5 sub para 13]
4.2.4. LFS shall create files containing data extracted from
all Cash On Hand Declarations, Stamps On Hand
Declarations and Inventory Item opening balances
completed by the cut off time specified in Schedule K08
and shall dispatch this file to SAPADS.[BRD 3.3.3.5 sub
para 13]
4.3. SAPADS Planned Orders
Receipt of SAPADS Planned Orders from SAPADS
4.3.1. LFS shall receive SAPADS Planned Orders created by
SAPADS at the SAPADS/LFS Service boundary.
4.3.2, LFS shall validate SAPADS Planned Order files in
accordance with the rules defined in the LFS Application
Interface Specification. [BRD 3.3.3.2 sub para 1]
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Delivery of SAPADS Planned Orders to Outlets
4.3.3. LFS shall deliver SAPADS Planned Orders to the correct
destination Outlet, as identified by the FAD code, in
accordance with the timescales set out in Schedule ko8.
[BRD 3.2.2 sub para 1, 3.3.3.2 sub para 1]
4.4. SBAPADS Advice Notices
Receipt of SAPADS Advice Notices from SAPADS
4.4.1. LFS shall receive SAPADS Advice Notices created by
SAPADS at the SAPADS/LFS Service boundary. [BRD 3.3.3.8
sub para 1]
4.4.2. LFS shall validate SAPADS Advice Notice files in
accordance with the rules defined in the LFS Application
Interface Specification.
Delivery of SAPADS Advice Notices to Outlets
4.4.3. LFS shall utilise the destination indicator provided by
SAPADS as part of each record for the routing of SAPADS
Advice Notices to the destination Outlet or Outlets.
The destination indicator shall contain either the FAD
code of the destination indicator or be set to “ALL”
where the SAPADS Advice Notice is to be distributed to
all Outlets. [BRD 3.3.3.8 sub para 1 & 2]
LFS shall deliver SAPADS Advice Notices in accordance
with the timescales set out in Schedule K08.
4.4.4,
4.5. Pouch Receipt Confirmation
4.5.1. The LFS shal] transmit all the ‘received SAPADS Pouch”
records created in accordance with paragraph 3.4.7. to
the Contractor’s datacentre. [EXT -JB]
4.6. Outward Remittances
4.6.1. LFS shall transmit all Remittance Out Records and Pouch
details created at Outiets to the Contractor's
datacentre. (BRD 3.3.3.6 sub para 1, 3.3.3.6.4 sub para
3]
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5. FALLBACK PROCEDURES
Collect and Receive Pouch
5... In a multi Counter Position Outlet, in the event of a
failure at an individual Counter Position being used by
the authorised User, the authorised User shall access
LFS at an alternative Counter Position to record the
receipt of the pouch. [Ext-JB]
In a single Counter Position Outlet in the event of
Hardware or Software failure which prevents the barcode
reader operating or where a barcode is damaged such that
it cannot be read by the barcode reader, LFS shall
provide a facility to allow the authorised User to
manually key in the barcode details. [BRD 3.3.3.3 sub
para 4]
ul
N
5.3. In a single Counter Position Outlet, in the event of a
failure which prevents the counter printer from
operating, LFS shall display information to recorded on
manually produced receipts in accordance with the agreed
procedures. (BRD 3.3.3.3 sub para 4}
S.4, In the event of a complete OPS failure at all Counter
Positions in an Outlet, the Contractor shall provide
procedures to enable the receipt of the pouch to be
recorded manually. [BRD 3.3.3.3 sub para 5]
5.5. LFS shall include fallback arrangements which permit
manual recording of stock movement (at the level of
SAPADS Pouches) in the event of any failure which
prevents the use of LFS or the POCL Infrastructure
Services.
5.6. Such fallback arrangements shall ensure the auditable
recovery of data following such a failure.
6. SUPPORT SERVICES
6.1. Training And User Manuals
6.1.1. The Contractor shall develop and maintain user
documentation in PPDs as required for the operation of
LFS.
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6.2. Help Desk
6.2.1. The Contractor shall provide help desk support for LFS
as part of the Horizon System Helpdesk service.
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SCHEDULE KO2 - ACCEPTANCE CRITERIA
Not used - this schedule is intentionally blank.
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SCHEDULE KO3- LFS ~ POCL RESPONSIBILITIES
1 PURPOSE
1.1. Tv Schedule identifies the actions and activities
Ww. h POCL must undertake to permit the Contractor to
d ver LFS.
1.2. POCL’s responsibilities shall be completed by a date
consistent with the Project Plan.
2. RESPONSIBILITIES
No. Responsibility Service Definition
paragraph number.
2.1 POCL to identify in the 2.4
Contract Controlled Document
entitled [CCD name}
(a}those items that are
designated I 37
(pj)how they a to be specified
within POCL Reference Data;
c¢) whether the item level sales
information is captured as part
of the point of sale counter
transaction or as a separate bulk
entry.
To be achieved by [dd/mm/yy]
is)
nN
iS)
I
POCL to specify within Reference
Data the additional Item
structures required to support
the bulk entry of sales details
for certain Inventory Items.
Initially by [dd/mm/yy] and then
ongoing throughout the term of
the Codified Agreement.
2.3. POCL to agree the User Roles and 2.1
IAccess Permissions appropriate
»for all LFS functions and to
record this in the Contract
Controlled Document entitled [ccD
I name].
To be achieved by {dd/mm/yy!].
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No
Responsibility
Service Definition
paragraph number.
POCL to identify in the Contract
Controlled Document entitled [CcD
name] the format of the “Pouch
Handover” receipts.
To be achieved by {dd/mm/yy].
3.4.9
POCL to agree with the
Contractor, and record such
agreement in the Contract
Controlled Document entitled
name], the time(s) when the
Contractor shall transmit the
Receive Pouch records to SAPADS.
To be achieved by [dd/mm/yy].
POCL to ensure that the Counter
Operations Manual describes the
use of the Consignment Note as
part of the new procedure for
Inward Remittance.
Ongoing throughout the term of
the Codified Agreement.
POCL to specify within Reference
Data the bar-code formats
required for “received” pouches
and “collected” pouches,
Initially by [dd/mm/yy] and then
ongoing throughout the term of
the Codified Agreement.
POCL to agree with the
Contractor, and record such
agreement in the Contract
Controlled Document entitled [CcD
name], the business rules for the
re-use of bar-codes.
To be achieved by [dd/mm/yy].
POCL to ensure that the Counter
Operations Manual describes the
new Pouch Handover process and
the new Rem-Out to Pouch process.
Ongoing throughout the term of
the Codified Agreement.
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RESTRICTED CONTRACTS
No Responsibility
Service Definition
paragraph number.
POCL to ensure that all third
parties responsible for the
delivery/collection of Cash and
Stock to/from Outlets are
notified of and agree with
Pouch Handover process.
the
Ongoing throughout the term of
} the Codified Agreement.
i
,POCL and the Contractor to agree
an optimum joint Operational
I Schedule which shall specify the
target processing times for file
exchanges between the Contractor
and the SAPADS systems. Such
ement shall be recorded in
the Contract Controlled Document
entitled [CCD name].
To be achieved by [dd/mm/yy] .
nN)
ro
N
POCL to produce the Contract
Controlled Document entitled
“SAPADS Technical Interface
Specification”. The document
shall be based on the “Pathway to
Client Generic Technical
Interface Specification”.
To be achieved by [dd/mm/yy] .
POCL to produce the Contract
Controlled Document entitled
“SAPADS Application Interface
Specification”.
To be achieved by [dd/mm/yy].
2.14, the Contract
entitled [CCD
POCL to specify, in
Controlled Document
name] the number of days that any
data sent to SAPADS shall be
retained by the Contractor before
it is deleted.
To be achieved by [dd/mm/yy].
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Service Definition
paragraph number.
No . Responsibi
2.15, I POCL to co-operate with the 4.1.1
Contractor in the development of
the Service Management Procedures
required to operate the SAP-
AbS/Contractor interface.
To be achieved by [dd/mm/yy].
2.16, I POCL to notify the Contractor of 1.2
the roll-out of Automated
Distribution Centres and those
Outlets that are to receive or
dispatch data to SAPADS. For each
Outlet this shall specify when
they are to start dispatching
Declarations and when they are to
start receiving/dispatching pouch
records.
Such formation to be regularly
supplied at least [N] weeks
before deta transfers to/from
SAPADS are required.
2.17. I POCL to advise the Contractor how 1.2
the LFS service introduction
process is to be carried out.
Such notification shall be in the
Contract Controlled Document
entitled [CCD name}.
To be achieved by [(dd/mm/yy]
2.18. I POCL to co-cperate with the 2.1
Contractor in the production of
the Contract Controlled Document
“LFS Business and System Process
Model and Rules”.
To be achieved by [dd/mmn/yy].
2.19. I POCL to agree with the Contractor 5
the processes that shall be used
to cater for all SAPADS or LFS
business contingenci
to be agreed during the ICL
Pathway system design phase and
recorded in the Contract
Controlled Document entitled {CCD
name.
To be achieved by [dd/mn/yy]
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CODIFIED AGREEMENT SCHEDULE K04 RESTRICTED CONTRACTS
SCHEDULE K04- LFS ROLL-OUT AND IMPLEMENTATION
i. The roll-out and implementation of the LFS shall be part
of the roll-out and implementation of CSR+ which is to
be agreed.
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SCHEDULE K05 - LFS SERVICE MANAGEMENT
1.
1.
3.1.
w
w
4.
1.
aL.
oi.
1.
PURPOSE
The purpose of this schedule is to describe the Service
Management activities which the Contractor and POCL
shall undertake to deliver the LFS.
OBJECTIVES OF SERVICE MANAGEMENT
The objectives of the management of the LFS are to
monitor and manage the delivery of the LFS, and to
report on the same to the Contract Steering Group
defined in Schedule A0o4.
The sections below detail (without limitation) the
specific objectives of key activities that will be
undertaken. The significance of the detailed tasks may
vary over the life of this Codified Agreement.
ORGANISATION
General
The Contractor and POCL shall establish an
organisational structure to manage the delivery of the
LFS in accordance with Schedule K01 and all other
applicable provisions hereof. The key roles within this
organisation are identified in sections 4 and 5 below.
. Any changes to the organisation defined in this Schedule
shall be made in accordance with Clause 101.2.
. The specific individuals to fulfil the roles identified
in the organisation shall be communicated in writing
between the parties to this Codified Agreement.
CONTRACTOR ROLES KEY TO THE DELIVERY OF THE SERVICE
Introduction
. The roles and responsibilities within the Contractor’s
organisation specific to the delivery of the LFS are
detailed below. One person may perform more than one of
these roles.
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4.2. Operational Service Manager
4.2.1. The Operational Service Manager shall be responsible for
building a strategic relationship at the appropriate
level ir POCL with an emphasis on operational
requirements of this Service. The Operational Service
Manager shall attend the quarterly Service Review
Meeting.
4.3. Service Manager
4.3.1. The Service Manager shall be responsible for the overall
delivery of the LFS to FOCL. The Service Manager shall
specifically be responsible for:
a)the maintenance of Service Levels in accordance with
Schedule KO8;
b)the provision of monthly service reports as described
below;
c)briefing the Contractor's attendees at the Contract
Steering Group meetings as described in Schedule A0o4;
d)briefing the Operational Service Manager in advance of
the quarterly service review meetings;
e)facilitating joint quality initiatives with POCL.
4.4, The Service Help Desk Manager
4.4.1, The Horizon System Helpdesk manager for this service
shall be responsible for the management of the LFS
Helpdesk calls relating to the software or
infrastructure of the LFS as identified in the Horizon
Service Help Desk Call Matrix . The Contractor's
Helpdesk manager for LFS shall not be responsible for
managing calls relating to POCL procedures and the use
of LFS within the Outlet. In the event of such calls
being made to the Heipdesk the caller shall be advised
to contact the appropriate POCL Helpdesk.
5. POCL ROLES KEY TO THE DELIVERY OF THE SERVICE
5.1. Introduction
5.1.1. The roles and responsibilities of POCL specific to
Service Management are detailed below. One person may
perform more than one of these roles.
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CODIFIED AGREEMENT SCHEDULE KOS RESTRICTED CONTRACTS
5.
2.
Business Manager
5.2.1. The POCL Business Manager ig the individual responsible
for the business which the Service supports. The
Business Manager shall attend the quarterly Service
Review Meeting.
5.3. POCL Liaison Manager
5.3.1. The POCL Liaison Manager is responsible for the day-to-
day liaison with the Contractor. The POCL Liaison
Manager provides the first point of contact with the
Contractor. This manager shall specifically be
responsible for:
a)monitoring delivered Service Levels;
b)receipt and analysis of the Contractor’s monthly
service reports;
c)briefing the POCL Business Manager in advance of the
Service Review Meetings;
d)briefing the POCL attendees at the Contract Steering
Group Meetings as described in Schedule A04;
e) facilitating joint quality initiatives with the
Contractor.
5.4. The POCL Helpdesk Manager
5.4.1. POCL will be responsible for providing their own
Helpdesk service for LFS users.
5.5. Key Personnel
§.5.1. The specific individuals who fulfil the roles defined
for POCL shall be notified to the Contractor in writing
in advance of their taking up the post.
6. ESCALATION PROCEDURES
6.1. The Contractor and POCL shall operate escalation
procedures for issues affecting the LFS in accordance
with the provisions of Schedule A04d of the Codified
Agreement .
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CODIFIED AGREEMENT SCHEDULE KOS RESTRICTED CONTRACTS
7. MONITORING
7.1. Service Reporting
7.1.1. The Contractor shall provide POCL with monthly service
Management reports, which shall be produced within five
(5) working days of the calendar month end, unless
agreed otherwise. The service management reports shall
allow POCL to monitor the Contractor's Service provision
and achievement of the Service Levels.
7.1.2. Service management reports shall include but are not
restricted to the following attributes;
a)availability of service;
b) service breaks/service failures;
c}planned maintenance breaks;
d)service delivery changes;
e)Incidents resolved and outstanding;
f)data to support reporting against the Service Levels in
Schedule Ko8.
7.1.3. The Contractor shall provide POCL with access to the raw
data explicitly contained in the service management
reports, when requested, to allow POCL to generate POCL
internal reports.
7.2. Service Review Meetings
7.2.1. The POCL Business Manager and the Contractor’s
Operational Service Manager shall meet every three (3)
months (or as otherwise agreed by the POCL Business
Manager and the Contractor‘s Operational Service
Manager) to review Service Levels, Incidents and
Problems reported in the previous period.
7.2.2. In addition POCL shall advise the Contractor of its
requirements for implementation of the Service at new
Outlets.
7.2.3. Other Contractor staff and POCL staff may attend these
meetings at the request of either the Contractor or POCL
to resolve particular matters on the agenda.
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CODIFIED AGREEMENT SCHEDULE K05 RESTRICTED CONTRACTS
7.2.4. A typical agenda for such a meeting may include, without
.5.
16.
Ty
limitation:
a)Service management reports;
b)highlights of previous period’s service statistics,
concentrating on failures to meet required Service
Levels, including major Incidents reported, Service
trends and Service achievements;
c)explanation of unresolved Incidents and, in particular,
any matters still outstanding;
d)review of the on-going actions, such as fault
correction, agreed service changes and any POCL related
work;
e)change management progress report;
f) suggestions for improvements to Service;
g)advance notification of major changes and new work, and
review of the impact these may have on Service
requirements;
h)any implementation requirements.
The Contractor shall prepare the necessary reports for
discussion at these meetings.
POCL shall keep a record of these meetings and shail
distribute the record to the Contractor and to the POCL
Contract Manager for review at the Contract Steering
Group Meeting (see Schedule Ao4).
The Service Review Meeting shall normally take place at
least five (5) days after the delivery date of each
third monthly service management report provided by the
Contractor to POCL.
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CODIFIED AGREEMENT SCHEDULE K06 RESTRICTED CONTRACTS
SCHEDULE KOQ6- LFS SERVICE TRANSFER
This schedule is not used and is intentionally blank.
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CODIFIED AGREEMENT SCHEDULE K08 RESTRICTED CONTRACTS
SCHEDULE KO8 ~- LFS SERVICE LEVELS
i. PURPOSE
1.1. This Schedule specifies the Service Levels for LFS.
1.2. The Contractor shall provide the LFS at all Outlets for
all the hours that they are open for businesa.
2. SERVICES MEASURES
2.1. The LFS measures are categorised as follows:
a)transfer of data from Outlet to SAPADS;
b)transfer of data from SAPADS to Outlet,
3. OUTLET TO SAPADS DATA TRANSFER
3.1. Introduction
3.1.1, This section of this schedule identifies the required
performance for data delivery from Outlets to SAPADS
across the agreed interface.
3.2. Service levels
Service Targets
Service Reporting Data Minimum Termination
Requirement I Period available Acceptable Review
at the (MA) (TR)
Outlet by
Confirmation I Monthly 19:00 on 98% to 98% to
of Pouch day A SAPADS by SAPADS by
received at 22:00 on 63:00 hours
Outlet. day A on day B
100% by
03:00 hours
on day B
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CODIFIED AGREEMENT
SCHEDULE K08
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RESTRICTED CONTRACTS
Details of Monthly 19:00 on 98% to 98% to
SAPADS Pouch day A SAPADS by I SAPADS by
Collected 22:00 on 03:60 hours
£rom Outlet day A on day B
100% by
03:00 hours
on day B
Daily Cash Monthiy 19:00 hours ; 98% to 85% to
On Hand on day A SAPADS by SAPADS by
details 23:59 hours I 23.59 hours
on day A on day A
Weekly Monthly 19:00 hours I 98% to 98% to
Stamps/Stock on SAPADS by SAPADS by
en Hand Wednesday 22:00 on 23.59 hours
Details (day A), day ¢ on day C
Thursday
Weekly {day B) or {100% to
Inventory Friday (day I SAPADS by
Items ec) 23:59
details hours on
day ¢c
3.3. Remedies
Review and Rectification
. In the event that any of the Minimum Acceptable Service
targets in paragraph 3.2. are not met the Contractor
shall provide POCL with an analysis of the reason for
the failure, The Contractor and POCL shall agree a
rectification and improvement plan to address the
failure.
Termination Rights
- In the event that the actual level of Service falls
below the Termination Review Threshold for any two (2)
consecutive months then POCL may terminate the Codified
Agreement in accordance with Clause 902.2 of the
Codified Agreement. For the avoidance of doubt this
right of termination is in addition to the general
rights of termination specified in paragraphs 4.4 and
4.5 of Schedule AO6.
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CODIFIED AGREEMENT SCHEDULE KO08 RESTRICTED CONTRACTS
4. SAPADS TO OUTLETS DATA TRANSFER
4.1. Introduction
This section of this schedule identifies the required
performance for data delivery from SAPADS to Outlets
across the agreed interface.
4.2. Service levels
Service Target
Service Reporting Data Minimum Termination
Requirement I Period available Acceptable Review
at the I (MA) (TR)
SAPADS/LFS
boundary by
IDelivery of I Monthly 16:00 on/96% at the]9é% at the
I SAPADS day A Outlet (gs) Outlet (s)
Planned by 14:00 onI by 14:00
orders to day A day B
Outlets
100% at the
Outlet (s)
by 14:00 on
day B
Delivery of I Monthly 93:00 on I 98.5% at I} 96% at the
SAPADS day A the Outlet (s)
Advice Outlet (s) by 12:00 on
Notes to by 08:06 onI the POCL
Outlets day ¢ Core Day
within day
c
4.3. Remedies
4.3.1. In the event that any of the Minimum Acceptable Service
targets in paragraph 4.2. are not met, the Contractor
shall provide POCL with an analysis of the reason for
the failure. The Contractor and POCL shall agree a
rectification and improvement plan to address the
failure.
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ice Levels Page 3 of 4 Version 1.0
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CODIFIED AGREEMENT SCHEDULE K08 RESTRICTED CONTRACTS
Termination Rights
- In the event that the actual level of Service falls
below the Termination Review Threshold for any two (2)
consecutive, then POCL may terminate the Codified
Agreement in accordance with Clause 902.2 of the
Codified Agreement. For the avoidance of doubt this
right of termination is in addition to the general
rights of termination specified in paragraphs 4.4 and
4.5 of Schedule A06.
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CODIFIED AGREEMENT SCHEDULE K09 RESTRICTED CONTRACTS
SCHEDULE KO9 - POCL CONTINGENCY SERVICES
1. The LFS Contingency Services shall be as specified in
the contingency plans to satisfy Requirement 830 in
Schedule A15.
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SCHEDULE L1- OPERATIONAL TRIAL OBJECTIVES
1.
1a
i
2.3
2.5
2.7
Purpose
This Schedule details the objectives of the Operational Trial and its constituent phases
which are the technical test, the model office test and the live trial.
Objectives of the Operational Trial
The objectives of the Operational Trial shall be: to assess the functionality and
performance of the Core System and the POCL Service Infrastructure (in accordance
with the process and criteria described in Schedule L3) prior to, and to confirm their
readiness for, Roll-Out; and to confirm that the Core System and the POCL Service
Infrastructure conform with the provisions of the Codified Agreement which relate to
them.
The Operational Trial System shall consist of all elements of the POCL Service
Infrastructure necessary for the performance of the Operational Trial in accordance
with the provisions hereof.
‘The Contractor shall deliver the Operational Trial System for testing to enable the
functionality and performance of the Core System and the POCL Service
Infrastructure to be assessed at each phase of the Operational Trial as set out in
Schedule L2.
Technical Test
The objective of the technical test shall be to confirm that the underlying elements of
the Core System and the POCL Service Infrastructure function correctly and to
confirm their readiness for the model office test.
Model Office Test
The objective of the model office test shall be to test the Core System and the POCL
Service Infrastructure in an environment which simulates (as far as possible without
using live operational data) the live operation of the end to end Core System and the
POCL Service Infrastructure, and tc confirm their readiness for the live trial.
Live Trial
The objective of the live trial shail be to test the Core System and the POCL Service
Infrastructure with operational data, Users and Customers, to confirm that the Core
System and the POCL Service Infrastructure function in the live environment, and to
confirm their readiness for Roll-Out,
The number of Outlets involved in the live trial shall be such number between 315
and 325 as the parties may agree.
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3. Delivery and implementation during Operational Trial
3.1 The Operational Trial shall comprise CSR, any maintenance releases associated with
CSR and all previous releases.
3.2 There shall be a single live trial which shall enable all aspects of the Core System
Release to be tested as an integrated whole, in accordance with the timetable in
Schedule L2.
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SCHEDULE L2- OPERATIONAL TRIAL PLANS
1.
al
2.
21
3.
3.1
3.4.1.
(R925)
Purpose
This Schedule describes the phases of the Operational Trial.
Plans
The Contractor shall produce a testing strategy for agreement by POCL. (R958)
Phases in the Operational Trial
Introduction
The Operational Trial shall consist of the following three distinct phases:
* a technical test
* ame
«a liv
3.1.2,
3.1.3.
3.3
3.3.1
3.3.2,
odel office test
e trial.
Phases in the Operational Trial may overlap but shall finish in sequence. (R925)
The Contractor shall produce all of the deliverable documents defined in
Operational Trial - Technical & Model Office Test Requirements of the Service
Supplier (referred to in paragraph 2.1 of Schedule 14). (R925)
. The Contractor shall produce test scripts to reflect all test conditions supplied
by POCEs test team. POCL reserves the right to define and produce other test
scripts as required. (R925)
Technical Test
. The Contractor shall undertake the technical test which shall be monitored by
POCL in accordance with Operational Trial - Technical & Model Office Test
Requirements of the Service Supplier (referred to in paragraph 2.1 of Schedule
L4). The Contractor shall submit the Acceptance Specification for the technical
test for review and approval by POCL in accordance with the timescales in the
Project Plan. (R925; extrapolation)
Model Office Test
The Contractor shall support testing within the model office test in accordance
with Operational Trial - Technical & Model Office Test Requirements of the
Service Supplier (referred to in paragraph 2.1 of Schedule 14). (R925; $925)
The Contractor shall install the necessary elements of the POCL Service
Infrastructure to enable testing at the model office site. The Contractor shall
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install Equipment equivalent to forty-eight (48) Counter Positions at the model
office sice. (R925)
3.4 Live Trial
3.4.1. The live trial shall initially take place in the number of Outlets referred to in
paragraph 2.7 of Schedule Li.
3.4.2, The live trial shall not start until the model office test has been successfully
completed. (R925)
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SCHEDULE L3- OPERATIONAL TRIAL ACCEPTANCE
1. Subject to Clause 201.6 the Core System shall meet the following Acceptance
Criteria, namely that:
(a) the Requirements for the Core System specified in Schedule A15 of the
Codified Agreement shall be satisfied fully:
i, in accordance with the Policies and Standards specified in Schedule AOZ
of the Codified Agreement; and
ii. by means of the Solutions for the Core System specified in Schedule A16
of the Codified Agreement; and
iii. utilising the Software for the Core System specified in Schedule Bi of
the Codified Agreement; and
iv. utilising the Hardware specified in Schedule B2 of the Codified
Agreement; and
ve delivering the Documentation for the Core System specified in Schedule
B3 of the Codified Agreement; and
{b) such Requirements are capable of being implemented as specified in Schedule
G6 of the Codified Agreement; and
(c) the Acceptance Criteria in Schedules B5, £2, F2, G4 and H2 of the Codified
A991 520.178
Agreement are met.
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SCHEDULE L4- POCL’S OPERATIONAL TRIAL RESPONSIBILITIES
11.
21.
2.2.
Purpose
This Schedule describes POCL’s Responsibilities for the Operationa! Trial.
POCL's RESPONSIBILITIES
POCL shall produce and baseline the Operational Trial - Technical & Model Office
Test Requirements of the Service Provider document for agreement with the
Contractor, ($925)
POCL shall review and approve (such approval not to be unreasonably withheld) the
testing strategy produced by the Contractor pursuant to paragraph 2.1 of Schedule
12. ($958)
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SCHEDULE L5- OPERATIONAL TRIAL REMEDIES
LL.
MM
2.2.
2.3.
4.1,
4.2.
PURPOSE
This Schedule sets out the remedies which shall be applicable to the Operational
Trial.
GENERAL PRINCIPLES
The remedies shall become payable on failure of the Contractor to start, or complete,
the Operational Trial in accordance with the Project Plan, or as otherwise agreed in
writing by POCL.
The remedies shail be available to POCL in accordance with the provisions of
Schedule AQ6 of the Codified Agreement.
The Operational Trial remedies shall apply in accordance with Clause 802.1 of the
Codified Agreement.
{NOT USED]
DELAY IN CSR ACCEPTANCE OR THE CS COMPLETION DATE
In the event that CSR Acceptance or the CS Completion Date is delayed because of
the Contractor's Default, the Contractor shall be Hable to pay to POCL the sums stated
below, for each of the first thirteen (13) complete weeks by which the actual
Acceptance Date is later than 30th September, 1999 or, as the case may be, the CS
Completion Date is later than 31st March, 2001 (as such date is adjusted to reflect
any delay in CSR Acceptance):
week 1: £45,000
week 2: £90,000
week 3: £135,000
week 4: £180,000
The latter figure of £180,000 shall be increased by £45,000 to £225,000 for week 5,
and by a further £45,000 for every additional complete week of delay, subject to the
above-stated maximum of thirteen (13) weeks,
In the event that CSR Acceptance is delayed because of the Contractor's Default, for
more than thirteen (13) weeks, POCL shall be entitled to terminate the Codified
Agreement in accordance with Clause 902.1.4 of the Codified Agreement.
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5. PAYMENT OF REMEDIES
5.1, Payment of any remedies due in relation to the Operational Trial and/or the CS
Completion Date shall be made in accordance with the relevant provisions of
Schedule AO6 of the Codified Agreement.
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