26 JUN 2002
CODIFIED AGREEMENT
POST OFFICE COUNTERS LTD
-and-
ICL PATHWAY LIMITED
INFORMATION TECHNOLOGY SERVICES AGREEMENT FOR BRINGING TECHNOLOGY
TO
POST OFFICES
CODIFIED AGREEMENT
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Version control
26 JUN 2002 GRO
Version Reason for Change , Frozen/issue date
Reference
1.0 Original baseline 28 July 1999
l.la Applying CCN313a to introduce Clause 512
1.1b Formatting changes only to aid version control (new
header and footer)
1.2a Applying CCN245Sc to introduce Clause 102.5.4; CCN525
to Clauses 503, 504.3, 509.1; CC533 to postcode before
recitals; CCN560 to Clause 606.2.1.1
1.2b Revising amendment to Clause 696.2.1.1
1.2¢ Revising clauses to change the function of Al7 to record
the baselining process (redlined against version 1.2b
only)
1.2d Drafting revisions at clauses 102.5.1, 810.10 and 810.12
1.2 Baseline copy of 1.2d 8 February 2000
13a {ncorporating CCN582 to 603.3.1
1.3 Baseline copy of 1.3a (finalising schedule version table 14 April 2000
and correcting clause 810.10.2)
14a Applying CCN 619 with addition to Clause 202, modify
Clause 206 and modify Clause 903.1.1
1.4 Baseline copy of 1.4a 25 July 2000
2.0a Applying CCN687 ro 509.1
2.0b Addition of missing references to CCNs 699 & 720
2.0 Baseline copy of 2.0b 12 january 2001
3.0a jArnee CCN768 to Clause 603.1
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3.0b Updating Index of Schedules, correction in 603.3.1 and
adding CCNs 714, 734, 747, 751, 752, 755, 754¢, 762,
767 and 776 to 810.10.5
3.0¢ Amending the error in the Index to show Schedule A06
at v2.0 instead of v3.0
3.0 Baseline copy of 3.0c 19 September
2001
4.0 To introduce Network Banking Service 25 June 2002
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TABLE OF CONTENTS
Clauses
Page Numbers
LIST OF SCHEDULES 9
RECITALS 13
PART 1: INTRODUCTION 14
CLAUSE 101. CONTRACT STRUCTURE 14
CLAUSE 102. INTERPRETATION 14
CLAUSE 103. SEVERABILITY 16
CLAUSE 104. LAW AND JURISDICTION 17
CLAUSE 105. ENTIRE AGREEMENT 17
CLAUSE 106. GENERAL PRINCIPLES 17
PART 2: PERFORMANCE OF POCL SERVICES AND SUPPLY OF PRODUCTS 20
CLAUSE 201. PERFORMANCE OF CORE SYSTEM SERVICES 20
CLAUSE 202. PERFORMANCE OF OPTIONAL POCL SERVICES 21
CLAUSE 203. PERFORMANCE OF POCL CLIENT SERVICES 21
CLAUSE 204. PERFORMANCE OF ADDITIONAL POCL SERVICES 22
CLAUSE 205. SUPPLY OF CORE SYSTEM PRODUCTS 22
CLAUSE 206. SUPPLY OF OPTIONAL PRODUCTS 22
CLAUSE 207. SUPPLY OF ADDITIONAL PRODUCTS 22
CLAUSE 208. SUPPLY OF POCL CONSUMABLES 22
CLAUSE 209. CONTRACTOR CONSUMABLES 23
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CLAUSE 210. FURTHER RELEASES
CLAUSE 211. FURTHER USE OF THE CORE SYSTEM
CLAUSE 212. PERFORMANCE OF NETWORK BANKING SERVICE
PART 3: CONSIDERATION
CLAUSE 301, CHARGES
CLAUSE 302. PACKAGING
CLAUSE 303. PAYMENT
CLAUSE 304. VALUE ADDED TAX
26
PART 4: DEVELOPMENT, IMPLEMENTATION AND PERFORMANCE OF OPERATIONAL
SERVICES
CLAUSE 401. TRANSFER OF ASSETS AND AGREEMENTS
CLAUSE 402. OPERATIONAL TRIAL
CLAUSE 403. DEVELOPMENT SERVICES
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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 eropuers AND POCL CONSUMABLES
CLAUSE 409. PRODUCTS AND SERVICES
CLAUSE 410. CONTINGENCY SERVICES
CLAUSE 411. ACCEPTANCE OF CORE SYSTEM
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CLAUSE 412. INVENTORY
CLAUSE 413. NETWORK BANKING SERVICE
CLAUSE 414. SADD
CLAUSE 415. PIN PAD IMPLEMENTATION SERVICE
PART 5: OWNERSHIP, LICENCES AND RISK
CLAUSE 501. OWNERSHIP OF HARDWARE
CLAUSE $02. OWNERSHIP OF SOFTWARE
CLAUSE 503. OWNERSHIP OF DOCUMENTATION
CLAUSE 504. OWNERSHIP OF POCL DATA AND INTELLECTUAL PROPERTY RIGHTS IN
THE POCL SERVICE ARCHITECTURE
CLAUSE 505. OWNERSHIP OF POCL CONSUMABLES
CLAUSE 506. LICENCES TO USE INTELLECTUAL PROPERTY RIGHTS
CLAUSE 507. RISK IN PRODUCTS
CLAUSE S08, DAMAGE TO PLANT, TACKLE AND TOOLS
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CLAUSE 509. LICENCES FOR THE CONTRACTOR TO USE INTELLECTUAL PROPERTY
RIGHTS
CLAUSE 510. DATABASES
CLAUSE S11. RIPOSTE 32 SOFTWARE
CLAUSE 512. TRANSFER OF HAPS DISASTER RECOVERY HARDWARE
CLAUSE 513. WEBRIPOSTE SOFTWARE
PART 6: CONTRACT AND SERVICE MANAGEMENT
CLAUSE 601. MONITORING
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CLAUSE 602.
CLAUSE 603.
CLAUSE 604.
CLAUSE 605
CLAUSE 606.
CLAUSE 607
CLAUSE 608.
CLAUSE 609.
CLAUSE 610.
CLAUSE 611.
CLAUSE 612.
CLAUSE 613.
CLAUSE 614.
CLAUSE 615.
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
WAIVER
ACCESS TO POCL PREMISES
SECURITY REQUIREMENTS
CONTRACTOR'S KEY PERSONNEL
PART 7: WARRANTIES AND STANDARDS
CLAUSE 701
CLAUSE 702
CLAUSE 703.
CLAUSE 704.
CLAUSE 705
CLAUSE 706
Clauses
AUTHORITY AND APPROVAL
PERFORMANCE OF POCL SERVICES
PERFORMANCE OF PRODUCTS
INTELLECTUAL PROPERTY RIGHTS
TECHNICAL STANDARDS
STATEMENTS AND REPRESENTATIONS
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CLAUSE 707.
DISCLAIMER OF IMPLIED TERMS
PART 8: REMEDIES
CLAUSE 801.
CLAUSE 802.
CLAUSE 803.
CLAUSE 804.
CLAUSE 805.
CLAUSE 806.
CLAUSE 807.
CLAUSE 808.
CLAUSE 809.
CLAUSE 810.
AUDIT
SERVICE CREDITS AND DELAY
ADDITIONAL RESOURCES
RECOVERY OF SUMS DUE
INTELLECTUAL PROPERTY RIGHTS INDEMNITY
REMEDIES CUMULATIVE
DISPUTE RESOLUTION PROCEDURE
INJURY TC PERSONS; LOSS OF PROPERTY
LIABILITY
LIMITATION OF LIABILITY
PART 9: TERM AND TERMINATION
CLAUSE 901.
CLAUSE 902.
CLAUSE 903.
CLAUSE 904.
CLAUSE 905
TERM
TERMINATION OF CODIFIED AGREEMENT.
$3
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SS
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58
$8
58
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RIGHTS ON EXPIRY OR TERMINATION OF CODIFIED AGREEMENT 68
TRANSFER SERVICES
TERMINATION OF NBS
PART i0: MISCELLANEOUS
CLAUSE 1001. CORRUPT GIFTS AND PAYMENTS OF COMMISSION
CLAUSE 1002. DISCRIMINATION
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CLAUSE 1003. EXPORT OF PRODUCTS 74
CLAUSE 1004, GUARANTEE 74
CLAUSE 1005. INSURANCE 74
List of Schedules
Schedules
No. Title Latest
version
1. POCL Service Environment 4.0
Al. Interpretations : 4.9
A2. Policies and Standards 4.0
A3. Audit 12
A4. Contract Management 4.0
AS. Change Control 1.4
A6. Approach to Remedies 4.0
A7. Contract Termination . 4.0
AB. Sub-contractors 4.0
Ad. Asset Transfer 1.0
Al0. Ordering, Invoicing and Payment 4.0
All. Acceptance Procedures 1.0
Al2. Charging Structure . 4.0
Al3. Guarantee 4.0
Al4. Contractor's Key Personnel 14
A1S. Requirements _ 4.0
Al6. Solutions 4.0
Al7. CCNs 4.0
Bl. Software 4.0
B2. Hardware 4.0
B3. Documentation 4.0
B4. POCL Consumables 13
BS. POCL Acceptance Criteria 1.0
Bé. [Not Used]
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B7. [Not Used]
BS. Validation Procedures
BO. Timetable
B10. Remedy Aggregation
Bll Escher Sub-licensing
cl Optional POCL Services
Automated Payments Service
El Service Definition
E2 Acceptance Criteria
E3 POCL Responsibilities
E4 Implementation
ES Service Management
E6 Service Transfer
E7 [Not Used]
E8 Service Levels and Remedies
E9 Contingency Services
EPOSS
Fl Service Definition
F2 Acceptance Criteria
F3 POCL Responsibilities
F4 Implementation
FS Service Management
F6 Service Transfer
F7 [Not Used]
F8 Service Levels and Remedies
FQ Contingency Services
POCL Infrastructure Services .
Gl POCL Infrastructure Services
G2 {Not Used]
G3 {Not Used]
G4 Acceptance Criteria
Gs POCL Responsibilities
G6 Implementation
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G7
G8
Go
G10
Gil
G12
OBCS
HI
H2
H3
H4
HS
H6
H7
H8
H9
LFS
Kl
K2
K3
K4
KS
Ko
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kg
Service Management
Service Transfer
(Not Used]
Service Levels and Remedies
Contingency Services
PIN Pad Implementation
Order Book Control Service I
Acceptance Criteria
POCL Responsibilities
Implementation
Service Management
Service Transfer
[Not used]
Service Levels and Remedies
Contingency Services
Logistics Feeder Service
Not used
POCL Responsibilities
Implementation
Service Management
Service Transfer
(Not used]
Service Levels and Remedies
Contingency Services
Operational Trial
Li
L2
L3
L4
LS
Operational Trial Objectives
Operational Trial Plans
Operational Trial Acceptances
Operational Trial Responsibilities
Operational! Trial Remedies
Network Banking Service
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N2
N3
N4
NS
N6
N7
NS
NO
Clauses
Network Banking Service Definition
NBS Acceptance
POCL NBS Responsibilities and NBS
Obligations
NBS Implementation
NBS Service Management
NBS Termination
{Not Used]
NBS Service Levels and Remedies
NBS Contingency Services
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CODIFIED AGREEMENT
THIS CODIFIED AGREEMENT is made the 28th day of July, 1999
BETWEEN:
qa) Post Office Counters Ltd whose registered office is situated at Gavrelle House, 2-14
Bunhill Row, London ECLY 8HQ; and
(2) ICL Pathway Limited whose registered office is at 26 Finsbury Square, London EC2A
1SL ("the Contractor").
RECITALS
WHEREAS:
(a) 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 Social Services for Northern [reland (“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;
(b) 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");
Gi) an agreement between POCL and the Contractor for, inter alia, the
provision by the Contractor of the POCL Service Infrastructure and for
certain services to be provided thereon (the “POCL Agreement”); and
Gii) 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 DSS and POCL (the “Authorities Agreement”);
(ec) Bach of the Related Agreements has been amended from time to time in accordance
with the change control procedures contained therein;
(d) On 24th May, 1999, DSS and the Contractor entered into an agreement under
which, inter alia, the DSS Agreement was terminated on that date;
(2) 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.
laa) Under the Letter Agreement POCL and the Contractor agreed, inter alia, to replace
the POCL Agreement and the Authorities Agreement (each as amended under
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CODIFIED ACREEMENT
(g)
(h)
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.
Commencing early 2001 POCL defined its requirements for a Network Banking
Service which wiil utilise the network of Post Office ourlets for the delivery of a
teller banking service. The Contractor produced a systems requirement specification
setting out its proposals in response to those requirements, and on the
parties signed CCN 850 which introduces the Network Banking Service and the PIN
Pad Implementation Service which the Contractor will provide as POCL Services
under the terms of this Codified Agreement.
NOW THEREFORE IT [§ 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
Unless expressly provided otherwise in the provisions of this Codified Agreement,
the provisions of this Codified Agreement shall only be amended in accordance with
the Change Control Procedure.
Failure ky POCL to perform its Obligations
The Contractor shall not be liable ro 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 and shall
not apply to the NBS, which shall be governed by the provisions of Schedule NO3.
Clause 102. Interpretation
102.1
Clauses
As used in this Codified Agreement:
102.1.1 the terms and expressions set out in Schedule Al shall have the meanings
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102.2
102.3
102.5.1
102.5.2
102.5.3
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, ordér, 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
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;
(c} the Service Definition Schedules and Schedules G6 and G12;
(d) Schedule A15;
(e) Schedule A16;
() all other Schedules except Schedule A17;
(g) CCDs and Schedule A17; and
(h) CRDs.
In the event of any conflict or inconsistency in relation to Service Levels, the
provisions of the Service Level Schedules shall prevail over those of the Service
Definition Schedules and Schedules Ai5, Al6 and Gé (but not the Clauses or
Schedules Al to Al4) 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
Clauses
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requirement in Schedule A1S, or the Service Definition Schedules or Schedule G6.
merely because the solution states thar the requirement will be met in a particular
form, manner, quantity, time or place.
102.5.4 “Working Documents” do not affect or introduce any contractual obligations
between any of the parties.
102.6 The Recitals are not legally binding, but are intended as a guide to the
interpretation and construction of this Codified Agreement.
102.7. Where this Codified Agreement imposes upon either party an obligation which was
also imposed on that party under the Authorities Agreement or POCL Agreement
then co the extent that such obligation has been performed under the Authorities
Agreement or POCL Agreement it shall be deemed to have been performed under
the corresponding provision of this Codified Agreement (but continuing obligations
shal! 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
Agreement to NR2 or NR2+ shall be construed so as to refer to such of CSR or
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
relevant Release Contents Description. Likewise, references in such CCDs, CRDs
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 {tis 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 other than
the Network Banking Service and the PIN Pad implementation Service.
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.
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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 10S. Entire Agreement
105.1 This Codified Agreement constitutes the entire understanding between the parties
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 4
enter into this Codified Agreement. Accordingly no party shall have any right of
action (except in the case of fraud) againsc any other party arising out of any such
representation, warranty, promise or assurance.
105.2 This Codified Agreement supersedes the Letter Agreement, the schedules to the
Letter Agreement, the Heads of Agreement referred to in the Letrer 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
between 24 May, 1999 and the date of this Codified Agreement).
105.3. The parties acknowledge that the consent agreement (the “Consent Agreement”)
dated 16th September, 1997 among DSS, POCL, ICL plc, 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 shali be references to this Codified Agreement or (as the case
may be) the equivalent provisions of this Codified Agreement.
Clause 106. General Principles
106.1 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.
106.2. The Contractor shall offer all reasonable assistance to POCL in preventing
fraudulent use of the POCL Services and POCL Service Infrastructure by POCL’s
employees and Agents.
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106.3
106.4
106.5
106.6
106.7
106.8
106.9
Clauses
The POCL Services and the POCL Service Infrastructure shal! 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
POCL's 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: 7
106.6.1 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,
106.6.2 contractual relationships with Agents;
106.6.3 contractual relationships with its clients;
106.6.4 policy control of its network;
106.6.5 its reconciliation, settlement and key infrastructure support processes;
106.6.6 its relationship with its suppliers; and
106.6.7 its product and service design.
The Contractor shail not restrict POCL from using the POCL Services and the POCL
Service Infrastructure for its existing and future clients, Agents, customers, products
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 Telecom munications
Networks) may not be used other than by POCL without the prior written consent of
POCL to provide any services to:
(a) POCL’s current clients in respect of current products and services;
(b) POCL’s current clients in respect of new products and services;
{e) new clients in respect of current products and services;
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106.10
106.11
Clauses
(4) new clients in respect of new products and services; or
(e) POCL’s 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 processing;
° 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 vehicie
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).
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
potentia! 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.
The POCL Services (other than the NBS and the PIN Pad Implementation Service)
and the POCL Service Infrastructure shall be capable of introduction in all post
offices. The NBS shail be capable of introduction ar all automated Counter
Positions, mobile configurations (as described in row 8 of Annex 5 to Schedule
A12), Admin Positions and trolley based solutions in Outlets in each case wherever
there is a network connection, subject to the overall limits applicable to each as set
out in Schedule A12. The PIN Pad Implementation Service shall be capable of
implementation at all automated Counter Positions, mobile configurations (as
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106.12
described in row 8 of Annex 5 to Schedule A12), Admin Positions and trolley based
solutions in Outlets, subject to the overall limits applicable to each as set out in
Schedule A12.
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]
201.2° 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 Alé by performing the Core System Services referred to in Clause
201.3. However, for the avoidance of doubt, and subject to Clauses 102.5 and
201.6, the parties acknowledge that POCL's acceptance of the Contractor's solutions
in Schedule Al6 and their agreement to the service descriptions contained in the
relevant Schedules of this Codified Agreement, shal! not relieve the Contractor of its
obligation to meet such of those requirements specified in Schedule A15 as relate to
the Core System, CSR+ and, subject to Clause 301.10, other Releases as referred to
in Clause 210
201.3 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.
201.4 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 our from CSR+
all software relating exclusively to the aborted benefic encashment service or to PAS
or CMS (as defined under the DSS Agreement).
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201.5 To support the performance of the POCL Services, the Contractor shall 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
201.6 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
(c) 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
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 Cl.
Such Optional POCL Services shall be performed in accordance with all applicable provisions
hereof. .
Notwithstanding any other provision in this Codified Agreement, or in any CCD or CRD, to
the contrary, the Contractor shall not be obliged to carry out Services as Operational -
Business Change, or otherwise supply equipment, in excess of the limits relating to Counter
positions, Horizon configurations, single position gateway configurations and multi-position
gateway configurations set out in rows numbered 3 to 6 in Annex 5 to Schedule Al2 to this
Codified Agreement. 7 .
Clause 203. Performance of POCL Client Services
The Contractor shall provide POCL with such services as may be agreed by the Contractor
and POCL in relation to Royal Mail, DVLA, DNS, Girobank plc and the Co-operative Bank ple
(and other POCL clients as may be agreed). Such services shall be performed in accordance
with ail applicable provisions of this Codified Agreement.
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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 shall
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 shall supply the
following Core System Products in accordance with all 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) - acomplete 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.
Clause 206. Supply of Optional Products
POCL shall have che option, exercisable on prior written notice to the Contractor, of
obtaining, as Optional Products, all or any items specified in paragraph 12 of Schedule Al2
to this Codified Agreement which are of the same type as the equivalent elements of the
POCL Service Infrastructure provided’ by che Contractor for use on the POCL Premises.
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 shali be supplied in
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accordance with all applicable provisions hereof.
Clause 209. Contractor Consumables
The Contractor shall provide all 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 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. [t is hoped that the parties can together
develop a business strategy in these areas which they can deliver through appropriate
arrangements under a Public Private Partnership in order to leverage the use of the Core
System and develop to the full POCL’s potential for the delivery of electronic business
services.
Clause 212 Performance of Network Banking Service
The Contractor shall perform the Network Banking Service pursuant to Clause 413 and in
accordance with all applicable provisions hereof.
Clause 213 Performance of PIN Pad Implementation Service
The Contractor shall perform the PIN Pad Implementation Service pursuant to Clause 415 -
and in accordance with all applicable provisions hereof.
PART 3 : CONSIDERATION
Clause 301. Charges
301.1 Core system Charges
The Charges. for thé 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. °
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301.2
301.3
301.4
301.5
301.6
301.7
301.8
301.9
301.10
Clauses
Charges for Optional POCL Services
The Charges for any Optional POCL Services shall be calculated in accordance with
paragraph 8 of Schedule Al2 to this Codified Agreement.
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. .
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. ,
Core System Products
The costs of supply of the Core System Products. are included within the charges
referred to in Clause 301.1 above.
Optional Products
The Charges for the supply of any Optional Products shall be calculated in
accordance with paragraph 12 of Schedule A1l2 to this Codified Agreement.
Additional Products
The Charges for the supply of any Additional Products shal! 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.
POCL Consumables
The Charges for the supply of any POCL Consumables shall be as specified in
Schedule B4,
Contractor Consumables
All Contractor Consumables shall 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:-
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301.10.1.1 on the basis of appropriate time and material charges (as set out in
paragraph 14 of Schedule A12) which shail 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.
301.11 Charges for Network Banking Service
The Charges for the provision of the Network Banking Service shall be calculated in
accordance with part C of Schedule A12 to this Codified Agreement
301.12 Charges for PIN Pad implementation Service
The Charges for the provision of the PIN Pad Implementation Service shall be
calculated in accordance with part D of Schedule A12 to this Codified Agreement.
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
Clauses
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 co 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
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).
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Clause 304, Value Added Tax
It is hereby agreed that the Charges are exclusive of Value Added Tax, which POCL shal! 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 sel] 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 fitness 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 POCL's 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 ISDN Lines
401.3.1 With effect from the Transfer Date POCL shall assign to the Contractor the
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401.4
Clauses
401.3.2
401.3.3
benefit of all agreements entered into between POCL and British Telecom
Ple to the extent relating to the provision of [SDN 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 POCL’s 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 fall 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
401.4.1
401.4.2
401.4.3
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 rhe 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
Agreeménts inchiding relevant technical information and
terms and conditions of such Relevant ISDN Agreements.
Upon completion of the Transfer the Contractor shall pay to POCL ina
manner to be agreed between the parties the sum specified. in Clause
401.2.1.
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401.5
Clauses
Transfer of Undertakings (Protection of Employment) Regulations 1981
4015.1
401.5.2
In the event that, by virtue of the applicarion for whatever reason of the
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:
(i) shall not have offered employment to such employee or otherwise
have encouraged him to seek or to claim employment with the
Contractor; and
Gi shall have notified POCL in writing of the Contractor's intention te
terminate the employment of such employee at least fourteen (14)
days before terminating such employment; and
Gi) 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 empioyee 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 Contractor from and
against any and all liabilities and obligations which the Contractor may
incur in connection therewith (including any liabilities and obligations,
accruing prior to such transfer of employment, in relation to persona!
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 demand 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 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.
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Clause 402. Operational Trial
402.1
This Clause 402 and Schedules L1 to L5 shall not apply in respect of the Network
Banking Service or the PIN Pad Implementation Service. The Contractor shall,
during the Operational Trial Period, make available che Operational Trial System
for the Operational Trial as set out in Schedules L1 to L5 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 Tria] except in accordance with
Schedules All and LS. .
Clause 403. Development Services
The Contractor shall perform the following Development Services:
403.1
403.2
403.3
403.4
403.5
403.6
403.7
Clauses
development of the Automated Payment Service as described in Schedule El;
development of EPOSS. as described in Schedule Fl;
development of the POCL Infrastructure Services as described in Schedule G1;
development of the OBCS as described in Schedule Hi;
development of the Logistics Feeder Service as described in Schedule K1;
development of Optional POCL Services as described in Schedule C1 ;
development of the Service Architecture Design Document; and
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403.8 development of the Contingency Services as described in Schedules E9, F9,G11,
Ho and K9
Clause 404. Implementation of POCL Service Infrastructure and Operational
Services
404.1 The Contractor shail 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 witli
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 Fl;
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 H1;
405.5 the Logistics Feeder Service in accordance with the provisions of Schedule K1;
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405.6 the POCL Contingency Services in accordance with the provisions of Schedules E9,
F9, G11, H9 and K9;
405.7 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 . The Contractor confirms that other chan in respect of the introduction of the
Network Banking Service and the PIN Pad implementation Service 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 u
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 Heaith 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 f
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.
406.2 In relation to any work at the POCL Premises which is 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 POCL’s 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.
406.3 POCL 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 installation and operations costs.
Clause 407. Marking of Products
The Contractor shall ensure that each Product in the POCL Service {nfrastructure 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.
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
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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 POCL’s prior written consent in accordance with Schedule AS.
Clause 410. Contingency Services
410.1 The Contractor shall perform the Contingency Services in accordance with the
provisions of Schedules E9, F9, G11, H9, K9 and N9.
410.2 The Contractor shall not be obliged to provide an alternative means of proceeding
with Banking Transactions at any Counter Position which is operating in offline
mode due to a temporary inability of that Counter Position to communicate with a
Data Centre.
Clause 411. Acceptance of Core System
411.1 This Clause 411, Schedule Ali, Schedule 305 and the definitions in Schedule AQ1
: which relate to “Acceptance” (as opposed to “NBS Acceptance”) shall-not apply in
respect of the Network Banking Service, PIN Pads or the PIN Pad Implementation
Service. Provisions relating to CSR Acceptance are set out in Schedule All.
411.2 The Contractor agrees that 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 ail marerial 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 che 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 fauit and in the case of category (b) faults (as
so defined) it shall be effected promptly following discovery of the fault.
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411.4
411.5
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.
CSR+ shall be subject to Release authorisation by the Release Authorisation Board
but not subject to Acceptance.
Clause 412. Inventory
412.1
412.3
412.4
‘weeks after commencement of phase 2 (as described and set out in the CCD entitled
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. :
The Contractor shall, within 2 weeks after NBS Acceptance and again within 2
“Horizon New Service Business Volumes” (PA/PER/O31)), if POCL exercises its option
set out in that CCD to commence that phase, update the CSR Asset Register to
include the hardware and software to be used to provide the host and network
facilities of the NBS elements of the POCL Service Infrastructure.
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
(as updated in accordance with Clause 412.2).
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
412.3,
Clause 413. Network Banking Service -
413.1
Clauses
The Contractor shall:
413.1.1 develop the Network Banking Service as described in Schedule N1;
412.1.2 use reasonable endeavours to develop and implement the Network Banking
Service in accordance with the NB Project Plan; .
413.1.3 subject to authorisation by the Release Authorisation Board and from the
date approved by the RAB perform the Network Banking Service in accordance with
the provisions of Schedule N1 (For the avoidance of doubt the Network Banking
Service is a POCL Service but is not a Core System Service, a POCL Client Service or
an Additional POCL Service);
413.1.4 provide the management services set out in Schedule N5; and
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413.1.5 perform the Network Banking Transfer Services when required by this
Codified Agreement. .
413.2 Elements of the Network Banking Service shall be subject to Acceptance in
accordance with the provisions of Schedule N2;
413.3 Notwithstanding any other provision of this Codified Agreement to the contrary, the
Contractor's obligations regarding the application of electronic signatures to be
applied to data transmitted and received across the link between the Data Centres
and the NBE to ensure the authenticity and integrity of that data shall be limited to
the use of MACs in accordance with paragraph 10.6.4(b) of Schedule NO1.
Clause 414 SADD
The Contractor shall use reasonable endeavours to update the SADD to reflect the
introduction of the NBS by the date 3 months after NBS Acceptance and shall in any event
do so by the date 6 months after NBS Acceptance
Clause 415 PIN Pad Implementation Service
The Contractor shall perform the PIN Pad Implementation Service in accordarice with
Schedule G12 (For the avoidance of doubt the PIN Pad Implementation Service is a POCL
Service but is not a Core System Service, a POCL Client Service or an Additional POCL
Service). >
PART 5 : OWNERSHIP, LICENCES AND RISK
Clause 501. Ownership of Hardware -
501.1 Ownership of the Hardware (subject to any provisions to the contrary in Schedule
Gi2in respect of PIN Pads) shall either vest in POCL upon acceptance thereof or
shall remain in the Contractor (or its licensors), as specified in Schedule B2.
However, POCL shall not acquire title. to-any Inteilectuai Property Rights in the
Hardware.
501.2 Ownership of PIN Pads and Paypoles shall be as specified in Schedule G12.
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
shall vest in POCL upon acceptance thereof.
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Clause 503. Ownership of Documentation
Ownership of the media on which such Documentation is supplied by the Contractor shall
vest in POCL. However, POCL shall not acquire title to the Intellectual Property Rights in the
Documentation created by the Contractor. POCL shall retain title to the Intellectual Property
Rights of any POCL-owned. material incorporated into Documentation. .
Clause 504. Ownership of POCL Data and Intellectual Property Rights in the POCL
Service Architecture
504.1
$04.2
$04.3
504.4
504.5
Clauses
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. Ss
The Contractor shall not delete or remove any copyright notices contained within or
relating to the POCL Data.
The Contractor shal! 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 B8 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. .
in the event that the POCL Data is altered, 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 Clases $04.2 and $04.3, the term “POCL Data” shall include
the data of POCL’s 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 shall vest in the
. Contractor. Any use by the Contractor of the overall design of the POCL Service
Architecture within the Uniced 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). .
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504.6 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.
504.7 The Contractor shall not do anything to prejudice the security of the POCL Services.
Clause SOS. Ownership of POCL Consumables
Ownership of any POCL Consumables supplied hereunder shall vest in POCL upon delivery
thereof in accordance with Clause 408.
Clause 506. Licences to use Intellectual Property Rights
506.1
506.2
"$06.3
506.4
Clauses
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 and to use, copy and modify solely in
connection with the Services the Documentation listed in Schedule B3.
The licence set out in Clause 506.1 in respect of Documentation is granted without
prejudice to Clause 607 and the Noh Disclosure Agreement between Consignia Ple,
POCL, the Contractor and IBM United Kingdom Limited dated 31 July 2001.
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. POCL's licence to Use such Contractor's
Software shall be subject to any additional terms and conditions specified in
Schedule B1 which do not detract from the rights granted to POCL hereunder.
In respect of Third Parry 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-licences; or
$06.4.2 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 Additiona! 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 506.7, and
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506.5
506.6
506.7
506.8
506.9
Clauses
shal] use all reasonable endeavours to ensure that such licence is perpetual
and (subject to Clause 506.12) irrevocable;
POCL's 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 shall not detract from the rights granted to POCL
hereunder.
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 {nternal 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 integral part, licence to use such Internal Code in combination
with che 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 cransferee of the said item of Hardware agrees to comply with the
licence 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 Code 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
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$06.10
506.11
$06.22
506.13
code escrow agreement referred to in Clause 506.8 and the licence shall be subject
to any restrictions contained herein in respect of the cbject 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.
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 tirne by notice in writing terminate any licence granted
under Clause 506.1, Clause 506.3, Clause 506.4, Clause 506.5, Clause 506.9 or
Clause 903.1.2 if POCL is in Defauit of its obligations under the relevant Clause in
relation to such licence and POC 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.
In consideration for the entering into of CCN850 the Contractor shall grant to
POCL, with effect from the date of approval of that CCN a right to use WebRiposte,
Framework and Asset Manager on the terms set out in Schedule B11.
Clause 507, Risk in Products
507.1
507.2
507.3
Clauses
Other than as set out in Schedule G12 in respect of PIN Pads, 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 (other than Pin Pads, the
provisions in respect of which are set out in Schedule G12) supplied under this
Codified Agreement if such loss or damage is occasioned 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 loss 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 and in the case of PIN pads, the
applicable provisions of Schedule G12, the Contractor shall pay the costs of making
good such loss or damage
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507.4 Risk in PIN Pads and Paypoles, liability for ioss of or damage thereto and
responsibility for the costs making good such loss and damage shall be as set out in
Schedule G12.
Clause 508. Damage to Plant, Tackle and Tools
508.1 All plant, tackle and tools at the POCL Premises provided by or on behalf of the :
Contractor shall stand at the risk and be in the sole charge of the Contractor.
508.2 The Contractor shall be required to remove all such plant, tackle and tools which it
brings to the POCL Premises.
$08.3 The Contractor shall ensure that all such plant, tackie and tools shall meet minimum
safety standards required by law.
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,
documentation, logos, designs or other material (referred to in this clause as
“material”) which are reasonably required by the Contractor for the purpose of
performing the POCL Services and 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. POCL hereby grants to the Contractor
a non-exclusive sub-licence to use any software listed in table 2 of Schedule BO1 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
material for operational purposes in accordance with the foregoing licence and sub-
licence and in order to make back up copies of such material. Upon termination of
this Codified Agreement or upon the Contractor ceasing to use such material, the
Contractor shall either return or destroy all copies of such material as directed by
POCL. As part of the foregoing licence and sub licence, the Contractor shall be
entitled to copy such material provided any POCL copyright markings and security
markings are preserved and adhered to, and subject to the third sentence of Clause
619.3, the Contractor shall be entitled to incorporate parts of such material into a
document subject to the source of the material being acknowledged in the receiving
document.
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 all sub-contractors and other persons dealing with such
Products.
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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
$11.1 The Contractor shail 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 shail within seven (7) days after such copy of the source code is
provided to the Contractor's European Development and Support Centre provide to
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.
Clause 512 Transfer of HAPS Disaster Recovery Hardware
512.1 The title in the hardware installed on POCL premises in Leicester in accordance with
the document HAPS Disaster Recovery, shall be transferred to POCL when the HAPS
system is no longer required (as determined by POCL). This hardware will be
transferred to POCL for £1 (one pound).
Clause $13 WebRiposte Software
$13.1 The Contractor shall ensure that, within seven (7) days after the date of approval of
CCN850, a copy of the WebRiposte source code is deposited with the Contractor.
$13.2 The Contractor shall within seven (7) days after such copy of the source code is
deposited with it provide to POCL a certificate signed by the Contractor’s Managing
Director confirming that this has occurred and 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.
PART 6 : CONTRACT AND SERVICE MANAGEMENT
Clause 601, Monitoring
POCL shall be entitled to monitor the performance by the Contractor of its obligations under
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this Codified Agreement in accordance with the procedures set out in Schedule A4.
Clause 602. Management Interfaces and Management Services
602.1 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.
602.2 In relation to the Automated Payments Service, EPOSS, the POCL Infrastructure
Services, the OBCS, and the LFS, the POCL Services shall be managed in accordance
with the provisions of Schedules E5, F5 G7, HS and KS respectively. The
Contractor shall provide the Management Services specified in Schedules ES, F5,
G7, H5 and KS. The Contingency Services shall be managed in accordance with the
provisions of Schedules £9, F9, G21, H9 and K9, The Transfer Services shall be
managed in accordance with the provisions of Schedule A7.
Clause 603. Communications . . €
603.1 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.
603.2 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. .
603.3 For the purposes of Clause 603.2 above the address of each party shall be:
603.3.1 For POCL:
Post Office Counters Ltd.,
Calthorpe House,
15-20 Phoenix Place,
London, WC1X ODG -
For the attention of:
IS Service Manager
Telephone}
Facsimile 1.
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603.4
603.3.2 For the Contractor:
ICL Pathway Limited
Forest Road,
Feltham,
Middiesex TW13 7EJ.
For the attention of:
Managing Director of ICL Pathway Limited.
Telephone
Facsimile
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
Clauses
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 thereof without the previous written consent of POCL. :
POCL hereby consents to the Contractor having subcontracted its obligations
specified in Schedule A8 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.
[Not 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 , WebRiposte, Framework and
Asset Manager, and requiring the Contractor to use all reasonable endeavours to
procure the grant of a direct licence of WebRiposte, Framework and Asset Manager
and any Third Party Software) to any other body which performs any. of the
functions that previously had been perfermed 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 Confidentia! Information of the
Contractor which relates to the performance of the POCL Services by the Contractor.
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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
” which it is expressed (which may be by cross reference to other provisions of this
Codified Agreement) in any of Schedules Al6, E3, F3, G5, G12, H3, K3, or N3 that ~
POCL will provide. 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, Schedule N4, che NB Project Plan 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 permiz 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 liabiliry 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 timecable shall be
in¢orporated into this Codified Agreement in accordance with the Change
Control Procedure.
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606.1.3 Clauses 606.1.1 and 606.1.2 shall not apply to the NBS which shall be
governed by the provisions of Schedule NO4 and shall not apply to the PIN
Pad Implementation Service which shall be governed by the provisions of
Schedule G12 and Schedule N04. :
606.2 Extension of Time
lauses
606.2.1 Subject to Clause 606.2.2 and 606.3 beiow, if Acceptance of the Core
System or Rollout of the Core System is changed or delayed from the
agreed procedure and/or timetable:
606.2.1.1
606.2.1.2
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. Except that any such delay to Rollout caused by
the Default of POCL shall be disregarded to the extent
that the aggregate duration of all such delays does not
exceed 42 days. The Contractor shall notify POCL in
writing within three (3) working days of becoming aware
of such Default; and
to the extent 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 fali.
606.2.2 In the event of any such change or delay as is referred to in paragraph
606.2.1 above, for the purpose of determ
each party is at fault (if ac all) and the time and cost adjustment applicable
the following procedure will apply:-
606.2.2.1
606.2.2.2
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; .
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;
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,
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606.3
Clauses,
606.2.3
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 asa
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.
Force Majeure
606.3.1
606.3.2
For the purposes of this Codified Agreement the expression "Force Majeure"
shall mean any cause affecting the performance by a party hereto of its
-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, (iii) 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, its 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 POCL Services for which the
Contractor is liable under Clause 809.1 constitute a force majeure event.
Neither party 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 continue to perform, or resume performance of,
such obligations under this Codified Agreement for the duration of such
Force Majeure event. [n the case of the Contractor, 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.
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606.4
606.5
Clauses
606.3.3 If the Contractor shall become aware of circumstances of Force Majeure
which give rise to or which are likely to 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 period which it is estimated that such failure
or delay shall 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
inform the Contractor of the period which it is estimated that such failure
or detay 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 time is _
of the essence of this Codified Agreement and any of its obligations stated in such
notice shail not have been performed by the Contractor by any reasonable date
scated 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 notice 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: .
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Procedure.
Clause 607. Confidentiality
607.1 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 [nformation (other than its own Confidential Information)
obtained from or relating to POCL, or its servants or agents, is the property of POCL.
607.2 Each party agrees to keep confidential, and not to disclose to anyone else,
Confidential Information.
. Notwithstanding the above, any party may disclose Confidential Information
607.2.1 ” if and to the extent required by law;
607.2.2 if and to the extent that the other parties have given prior written
consent to the disclosure;
607.2.3 to its professional advisers;
607,2.4 to the extent requested by H.M. Government;
607.2.5 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);
607.2.6 to the Post Office;
607.2.7 to Fujitsu Services Holdings Ple, Fujitsu Services Limited or
Fujitsu; 607.2.8 to the Contractor’s approved sub contractors as
listed in Schedule A8;
607.2.9 potential arrangers of funding for the investment required in
connection with this Codified Agreement;
607.2.10 if and to the extent reasonably necessary to be disclosed for the
purpose of arranging and maintaining funding generally for [CL
ple or the Contractor;
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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
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607.3
607.4
607.5
607.6
Clauses
607.2.11 which is in the possession of the receiving party without restriction
in relation to disclosure before the date of receipt from the
disclosing party;
607,.2.12 which is received from a third party who lawfully acquired it and
. who is under no obligation restricting its disclosure; or
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 ora
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 law) 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 shall 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 norma! business, to the extent that this
does not relate to a disclosure of Confidentia! Information or an infringement by
POCL or the Contractor of any Intellectual Property Right.
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. Clause 608. Health and Safety Hazards
608.1
608.2
608.3
The Contractor shalt 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
exist or arise at the POCL Premises owned by or leased to POCL and which may
affect the Contractor. The Contractor shail 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 inscruct such persons in connection with any necessary associated safety
measures. .
Clause 609. Protection of Personal Data
609.1
609.2
Not used.
Both parties warrant that if and to the extent they have obligations under the Data
Protection Act 1998 which arise in connection with any personal data (as referred
to in that Act) processed under this Codified Agreement, they will duly observe all
such obligations. °
Clause 610. Publicity
610.1
610.2
610.3
610.4
Clauses
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 shal! 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 co use the brand or logo of any Post Office Group
member without POCL's prior written consent. The Contractor shall have no right
to use the brand or logo of any part of POCL without POCL’s prior written consent.
The Contractor shal! do nothing to injure such logos and brands or the reputation of
POCL and, if it uses such’ brands or logos, it shail 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 rake 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
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to injure such logo and brands or the reputation of the Contractor or its sub-
conrractors 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 co its own logos, brands and reputation.
Clause 611. Contractor's Personnel
611.1
611.2
611.3
611.4
611.5
POCL reserves the right under this Codified Agreement to refuse to admit to any
premises occupied by or on behalf of any member of the Post Office Group (which
expression shall in this Clause 611 include ail 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 che 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 chat 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 personne! when ai 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 conciusive.
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
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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
this Codified Agreement or-at such earlier date as POCL may reasonably determine.
613.2 POCL shall be responsibie 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 that 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 limication 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 bur not limited to, where its 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:
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702.1 the POCL Services sha!l be supplied and rendered by appropriately experienced,
qualified and trained personnel 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
(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; 7
702.5 I the POCL Services shal! 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
Clauses
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 shail 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;
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703.5 all Optional and Additional Products and POCL Consumables shall be compatible
with the POCL Service Infrastructure and the POCL Service Environment.
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 Architecture 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;
704.3 itcan comply with Clauses 903.1.3 and 903.1.4.
Clause 70S. Technical Standards
The Contractor warrants and represents that:
705.1 the POCL Services shall comply with, and be provided in accordance with, the
policies and standards specified in Schedule A2 and all components and equipment
used in che 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 che 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, crue and
accurate at the time of making such statements and representations and that, from the date
of execution hereof, ir 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
801.2
801.3
801.4
801.5
801.6
801.7
Clauses
The Contractor shall keep or cause to be kept the Records.
The Contractor shall grant or procure the grant to PCCL, 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.
Without prejudice to the foregoing, in the event of an investigarion 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.
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. .
All information obtained by POCL pursuant to this Clause and Schedule A3 shall be
treated as Confidential Information.
The parties shall comply with the provisions of Schedule A3.
‘In place of the general rule stated in Clause 102.2, in so far as the provisions of
paragraph 7.3 of Schedule NO] are in conflict or inconsistent with this Clause 801
or Schedule A3, paragraph 7.3 of Schedule NO shall take precedence. In
particular, all access to che audit trail of Transactions held by the Contractor in
respect of Transaction data created on or after the date of commencement of NB
Pilot (Soft Launch) shall be conducted as Audit Record Queries or as Old Format
Queries as defined in paragraph 7.3 of Schedule NO1 and shail be subject to the
limits set out in paragraph 7.3 of Schedule NO1.
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Clause 802. Service Credits and Delay
802.1 It is acknowledged that liquidated damages shall be payable by the Contractor to
. POCL under Schedule LS 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, KS or N&, the Contractor shall, without prejudice to any
other rights and remedies cf 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, K8 and N& as appropriate, or (ii) pay POCL
liquidated damages calculated in accordance with Scheduies B10, E8, F8, G10, H8,
K8 and N8 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 802.3 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
loss 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 POCL's 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
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Clause 805. Intellectual Property Rights Indemnity
805.1
805.6
‘Clauses
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.
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 appiy. 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 shall 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 shal] 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 805.1 may apply or any claim or
demand made or action brought against the Contractor to which Clause 805.2 may
apply.
Ifa 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:
$05.6.1 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 shall apply mutatis mutandis
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805.7
805.8
805.9
805.10
Clauses
to such modified or substituted items or services and such modified or
substituted items shail 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.
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.
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 shall have no further liability thereafter under this Clause 805 in respect
of the said claim, demand or action.
If a 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 shail apply.
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 shail
not cause the Contractor to infringe any third party's [ntellectual Property Rights in
such item. POCL shall, to the extent reasonably possible, assign to the Contractor
any indemnity in its favour in relation to the Intellectual Property Rights in such
third party items. .
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805.11 The foregoing states the entire liability 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, al] 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
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 shall 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 Subject always to POCL’s 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 extent 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 cr purported performance of this Codified Agreement.
808.2 In the event of any claim or demand being made or action brought to which Clause
808.1 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 shal! 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 shall 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
809.1.1 Subject to Clauses 809.2 and 809.3, the Contractor shall be liable for all losses and
shall indemnify POCL against all costs, expenses, losses and damages incurred
(including any lega! costs) as a result of:
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CODIFIED AGREEMENT
(a)
(b)
(c)
(d)
any unauthorised third party access to the POCL Service Architecture;
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);
in relation to any of the Existing Services, any other form of fraud;
in relation to the NBS, any other form of fraud perpetrated by:
(i) employees, agents or sub-contractors of the Contractor (such agents
or subcontractors being together referred to as, “Current NBS
Participants”);
(ii) former employees, agents or sub-contractors of the Contractor, who
have been employees, agents or sub-contractors (as the case may be)
at any time on or after 14th April, 2001 (such agents or
subcontractors being together referred to as, “Former NBS
Participants”) and who satisfy the Information Condition;
(iii) employees, agents or sub-contractors of the Contractor's Current NBS
Participants who satisfy the Information Condition;
(iv) former employees, agents or sub-contractors of such of the
Contractor's Current NBS Participants who have been employees,
agents or sub-contractors (as the case may be) at any time on or after
14th April, 2001 and who satisfy the Information Condition; or
(v) former employees, agents or sub-contractors of such of the
Contractor's Former NBS Participants who were employees, agents or
sub-contractors (as the case may be) of such Former NBS Participants
while those Former NBS Participants were Current NBS Participants
and who satisfy the Information Condition.
809.1.2 In this Clause 809, the “Information Condition” means that the person concerned
either:
Clauses
(a)
(b)
is or has been.entitled to have access in the course of fulfilling their duties
or obligations as employee, agent or sub-contractor (as the case may be) to
information concerning the design or performance of security measures
used by or in the NB System; or
is not or was not entitled co have access to information concerning the
design or performance of security measures used by or in the NB System,
but:
(i) used such information obtained as a result of their relationship with
the Contractor in perpetrating the fraud in question; and
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809.2
$09.3
Clauses
(i) the Contractor fails to show that it had taken all reasonable steps and
precautions to prevent that information being obtained.
Clause §09.1.1 shall noc apply:
(a)
(c)
{f and tothe extent that the Contractor proves that any of the matters referred
to therein have been caused by POCL’s non-performance of any of its
obligations or responsibilities under this Codified Agreement upon the
performance of which the Contractor's obligations depend. The foregoing is in
place of the genera! rule stated in Clause 101.3.
To any unauthorised access or hacking referred to therein into an element or
elements (used solely for the NBS) of either the POCL Service Architecture or
the NB System (excluding elements of the POCL Service Architecture or the
NB System located at Outlets).
If the matters referred to therein have been perpetrated through or by the use
of the NBE or elements of the POCL Service Infrastructure at NBE premises
other than by:
(i) employees, agents or sub-contractors .of the Contractor (such agents
or subcontractors being together referred to as, “Current NBS
Participants”);
(ii) former employees, agents or sub-contractors of the Contractor, who
have been employees, agents or sub-contractors (as the case may be)
at any time on or after 14th April, 2001 (such agents or
subcontractors being together referred to as, “Former NBS
Participants”) and who satisfy the Information Condition;
(iii) employees, agents or sub-contractors of the Contractor's Current NBS
Participants who satisfy thé Information Condition;
(iv) former employees, agents or sub-contractors of such of the
Contractor’s Current NBS Participants who have been employees,
agents or sub-contractors (as the case may be) at any time on or after
i4th April, 2001 and who satisfy the Information Condition; or
(v) former employees, agents or sub-contractors of such of the
Contractor’s Former NBS Participants who were employees, agents or
sub-contractors (as the case may be) of such Former NBS Participants
while those Former NBS Participants were Current NBS Participants
and who satisfy the Information Condition.
The Contractor shal! not, under Clause 809.1.1, be liabie for or indemnify POCL in
respect of any costs, expenses, losses or damages incurred by POCL (including any
legal costs) referred to therein which relate solely to the NBS.
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809.4 Notwithstanding anything else to the contrary in this Codified Agreement
(including, without limitation, Clause 809.1.1): f
(a) POCL shall nor have any right of action against the Contractor in respect of
any costs, expenses, losses or damages arising as a result of the loss, theft or
compromise of a MAC Key or the subsequent use of such MAC Key except to
the extent that such loss, theft or compromise or such costs, expenses, lasses,
or damages arise as a result of the fraud or Default of the Contractor or of its
employees, agents.or subcontractors.
(b) The Conzractor shail not be liable for any costs, expenses, losses or damages
suffered or incurred by POCL in relation to: g
(i) Banking Transactions falsely or incorrectly authorised unless and to the
extent caused by a failure of the NB System or of the NBS which is (in
either case) a Default.
- (ii) Fraudulent use of an NB Token by any person, unless and to the
extent that such use is carried out by or involves collusion with the
Contractor's employees, or otherwise arises from a Default or fraud of
the Contractor,
809.5 in any case where POCL incurs any costs, expenses, losses or damages as referred to
in Clause 809.1.1, Clause 809.1.) shail 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.
810.2° 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
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810.3
810.4
810:5
810.6
Clauses
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) and shall not
exceed eighty million pounds (£80,000,000) in any one calendar year.”
810.2.4 Subject to Clause 810.2.5, the financial limits specified in Clause 810.2°
shall (notwithstanding the reference to Defaults) apply to the aggregate of
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 as well as claims arising from
defaults all claims for liquidated damages and Service Credits pursuant
Clause 802, all claims to be indemnified pursuant to Clauses 805, 808 or
809 and all other claims or costs which are compensatable in money or
money's worth.
810.2.5 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
claim 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 ro
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 doubr, 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
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810.7
810.8
810.9
810.10
Clauses
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 Roil Our 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 by 20"
December 1999 all agreements to agree which are outstanding at 28 July 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.
The parties agree that:-
810.10.1 to the extent that amendments were required to the provisions of
the Clauses and Schedules of this Codified Agreement in order to
reflect che matters agreed in the CCNs listed in Schedule A17
those amendments have been made. Subject to sub Clauses
810.10.2, $10.20.3 and 810.10.5 below, the said CCNs have
accordingly been superseded by this Codified Agreement to that
extent bur this shall be without prejudice to the application of the
said CCNs to matters other than the Clauses and Schedules of this
Codified Agreement (including their application to, or the
introduction of, CCDs and CRDs and/or to any charges or credits
specified in the said CCN which shall be due or which’shall
become due to be paid or allowed);
810.10.2 the following provisions of the Second Supplemental Agreement
between the parties dated 24 September 1999 (CCNS60) have
been reflected by amendment to this Codified Agreement:
810.10.2.1 Clause 5 and Schedule 3 thereof;
810.10.2.2 Clause 10 thereof;
810.10.2.3 the amendments contained in Schedule 5 thereof as
incorporated by Clause 11 thereof;
810.10.3 save co the extent referred to in Clause 810.10.2 above as having
been reflected in this Codified Agreement the provisions of the
Second Supplemental Agreement (CCN560) and of the Side
Agreement dated 24 September 1999 (CCN561) have not been
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‘Clauses
810.10.4
810.10.5
810.10.6
reflected by amendment to this Codified Agreement and
accordingly shall remain in effect insofar as applicable;
those CCNs and Change Requests formally submicted on or prior
to 1 July, 1999 and not listed in Schedule A17 are not relevant to
this Codified Agreement and shall forthwith cease to have effect;
the provisions of CCN649a, CCN650a, CCN662, CCN664a,
CCN699, CCN720, CCN714, CCN734, CCN747, CCN751, CCN752,
CCN755, CCN754c, CCN762, CCN767 CCN776 , 754c and 829
(including any provisions set out in any attachments to those
CCNs) have not been reflected by amendment to the Codified
Agreement and accordingly shall remain in effect insofar as
applicable save that the provisions in CCNs 754c and 829 relating
to the payment of Charges by POCL have been incorporated into
Schedule A12 of this Codified Agreement and such provisions
contained in CCNS 754c and 829 are superseded with the effect
that no payments of Charges shall be due under CCNs 754c and
- 829 to the Contractor from POCL;
the following provisions shall apply in respect of the Network
Banking CCNs:
810.10.6.1 all performance by each party of its obligations
pursuant to the Network Banking CCNs since 16 July
2001 shall be deemed to be performance of the
corresponding obligations undertaken by each party
under this Codified Agreement as amended by
CCN850;
810.10.6.2 all such performance of the Network Banking CCNs
shall be subject to all applicable provisions of this
Codified Agreement as amended or introduced by
CCN850, each such amended or new provision coming
into force and being effective from the relevant date
specified in CCN850;
810.10.6.3 POCL’s obligations to pay the Contractor's Charges for
work carried out under the Network Banking CCNs
shall be as set out in parts C and D of Schedule Al2 (as
amended);
810.10.6.4 any liability of either party connected with its
performance of obligations under the Network Banking
CCNs shall arise under this Codified Agreement as
amended by CCN850 and shall be subject to any
applicable limits or exclusions of liability contained in
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810.11
810.12
810.13
Clauses
this Codified Agreement and not those contained in
the Network Banking CCNs;
810.10.6.5 subject to sub-Clause 810.10.6.4, sub-Clauses
810,10.6.1 and 810.10.6.2 shall be without prejudice
to any accrued rights or outstanding liabilities of eicher
party in respect of breaches of any of the Network
Banking CCNs by the other party;
810.10.6.6 for the purpose of statutory limitation, any cause of
action of either party arising from a breach of the
Network Banking CCNs shall be deemed to arise when
thac breach of the Network Banking CCN took place
and not on the date of approval’of CCN850;
810.10.6.7 any right, approval or consent granted by either party
to the other under or in connection with work carried
out under the Network Banking CCNs shall be deemed
to have been granted (to the same extent that it was
given under the relevant Network Banking CCN) under
this Codified Agreement as amended by CCN8S0;
810.10.6.8 the Network Banking CCNs are terminated by CCN850
and are superseded by the provisions of this Codified
Agreement as amended by CCN8S0.
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.
{Not used]
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:-
810.13.1 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 shal] accordingly not be entitled to any time or cost
adjustment pursuant to Clause 606.2.1.1; and
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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
‘Clauses
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:
902.1.1
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 shail make any conveyance or
assignment for the benefit of his creditors, or shail 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 insoivent within the meaning of the Bankruptcy
(Scotiand) 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 the-benefit 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 Contracter 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
doubr shall not include any subsidiary company of the Contractor or of the
Guarantor) of the Contractor or the Guarantor, or circumstances arise
which entitle the Court or a creditor to appoint a receiver, manager or
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902.2
902.3
902.4
Clauses
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 [nsolvency 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
Subject to Clause 905.3, 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 the 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 Ciause 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 thé 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 additiona! 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.
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902.6
902.7
902.8
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 shal! 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) and the NBS Termination Charge (calculated in
accordance with Schedule N6). :
902.6.4 [Not used].
902.6.5 [Not used].
Termination shal] 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, 80S, 809.4
810, (other than 810.7 and 810.10) 902, 903 and 904, the provisions of Schedules
Al, A3, A7, N6 and Al2 and paragraphs 2.3.4 and 4 of Schedule B11 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
Clauses
In the event of termination or expiry of this Codified Agreement, POCL shall,
without prejudice to POCL’s other rights and remedies but subject to payment of ail
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 and the NBS
Transfer Payment, the Project Assets, which shall comprise:-
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Clauses
903.1.1
903.1.2
903.1.3
903.1.4
903.1.5
any or all of the hardware that is comprised within the POCL Service
Infrastructure and/or that: x
(a) is being used; or
(b) had previously been used in Outlets and is no longer being used
(other than any such hardware that is no longer being used because
it was replaced by spare, upgraded or alternative equipment)
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);
a non-exclusive licence to use for the continuation of services equivalent to
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 to 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 POCL’s 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 or the Network Banking Service.
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 e sum equal to the
Transfer Payment and the NBS Transfer Payment.
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903.2
Clauses
In the event that this Codified Agreement is terminated as provided for herein:
903.2.1
903.2.2
903.2.3
903.2.4
{Not used]
the Contractor shall return to POCL all Post Office Group Property in its
possession;
the Contractor shal! render all practicable assistance to POCL, if requested,
to the extent necessary to effect an orderly assumption by POCL ora
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;
POCL shali 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 later 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 POCL ora
replacement contractor;
(b) subject always to POCL’s 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
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CODIFIED AGREEMENT
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) relaces to employer's obligations accruing
after the said transfer of employment which are clearly identified
within the relevant employment details;
(ce) in the event of any claim or demand being made or action brought
cto 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 to 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
904.1 In the event of termination of this Codified Agreement, the Contractor shall perform
the Transfer Services as set out in Schedule A7 and the Network Banking Transfer
Services as set out in Schedule N6.
Clause 905. Termination of NBS and PIN Pad Implementation Service
905.1 Prior to NBS Acceptance, POCL may at its discretion (without being obliged to give
any reasons) terminate the NB/PIN Pad Services by giving the Contractor not less
than two (2) weeks’ notice.
905.2 Prior to NBS Acceptance, POCL may at any time by notice in writing terminate the
NB/PIN Pad Services with effect from the date of service of such notice or such later
date as may be specified therein, -if the Contractor commits an NBS Default and:
905.2.1 the NBS Default is capable of remedy and the Contractor shall have failed
to remedy the NBS Default within thirty (30) days of written notice to the
Contractor specifying the NBS 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; or
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905.3
905.4
905.5
905.6
905.7
905.8
905.2.2 the NBS 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
NBS Default not capable of remedy).
Prior to NBS Acceptance, POCL may not terminate this Codified Agreement for
Defaults which are exclusively NBS Defaults, but this Clause shall not act to restrict
or curtail POCL’s rights under this Codified Agreement in respect of Defaults of the
Contractor which are not exclusively NBS Defaults.
In the event of notice being given under Clause 905.1, POCL shall on termination of
the NB/PIN Pad Services hereof pay to the Contractor the NBS Termination Charge
(calculated in accordance with Schedule N6). .
From NBS Acceptance, the NB/PIN Pad Services shall become an inseparable part of
this Codified Agreement and shall be terminable with the Existing Services on the
terms of this Codified Agreement.
In the event of termination of the NB/PIN Pad Services before NBS Acceptance,
POCL shall, without prejudice to POCL’s other rights and remedies but subject to
payment of all sums due and payable to the Contractor up to the date of NB/PIN
Pad Services 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 NBS Transfer Payment, those NB/PIN Pad Service specific Project Assets which
can be separated without impact upon performance of the Existing Services,
In the event of termination of the NB/PIN Pad Services, the Contractor shall
perform the Network Banking Transfer Services as set out in Schedule N6. Inthe _
event that POCL exercises the option referred to in Clause 905.6, POCL shall pay to
the Contractor the NBS Transfer Payment (calculated in accordance with paragraph
4.3 of Schedule N06).
All the assets to be acquired pursuant to the exercise by POCL of its option under
Clause 905.6 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.
PART 10 : MISCELLANEOUS
Clause 1001. Corrupt Gifts and Payments of Commission
1001.1
Clauses
The Contractor shail neither:
1001.1.1 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
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CODIFIED AGREEMENT
1001.2
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
1001.1.2 enter into chis 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.
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 behaif 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
1001.3
Clause
1002.1
Clauses
provided always that POCL may recover from the Contractor the amount or value of
any such gift, consideration or commission.
The decision of POCL shall be final and conclusive in any dispute, difference or
question arising in respect of:
1001.3.1 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);
1001.3.2 * 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.
1002. Discrimination
The Contractor shall 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.
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1002.2 The Contractor shall take all reasonable steps to ensure the observance of the
provisions of Clause 1002.1 by ail servants, employees, agents and consultants of the
Contractor and al] 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
1004.1 The Contractor shail procure that within thirty (30) days after the date of approval
of CCN8S0;
1004.1.1~ Fujitsu Services Holdings ple shall execute and deliver to POCL a letter
in the form set out in Part C of Schedule A13; and
1004.1.2 Fujitsu Limited shall execute and deliver to POCL a letter in the form set
out in Part D of Schedule Al3.
1004.2 Breach of Clause 1004.1 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 (30) days after, alteration or cancellation of such
insurance. 7
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CODIFIED AGREEMENT
IN WITNESS WHEREOF this Codified Agreement has been executed on behalf of the parties
as follows:-
Signed by
for and on behalf of
POST OFFICE COUNTERS LTD
in the presence of:-
S.J. Sweetman
(signed)
Paul Lam-Po-Tang
Visiting Lawyer
Slaughter and May
35 Basinghall Street :
London EC2V 5DB .
Signed by
for and on behalf of
ICL PATHWAY LIMITED
in the presence of:-
R. Christou
(signed)
Myles Blewett
Masons
30 Aylesbury Street
London ECiR OER
©A021720079 2.000
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26 JUN 2002
ED AGREEMENT SCHEDULE 1 RESTRICTED CONTRACTS
coD
SCHEDULE 1- POCL SERVICE ENVIRONMENT
Version Reason for Change Frozen
Reference Gate
1.0 Original baseline 238 July i9s9
lla Applying CCN377 to 5.4
Li Frozen baseline copy of l1.ia 18/10/1999
2.0 Drait incorporating chances for NBS 7/12/01
ae
2
oIo
Revised draft incorporating comments
om Network Banking Meeting 10/12/01
2.0 Baseline copy of 2.0b 23/1/02
4.0a New Schedule to introduce Network I 20/6/02
Banking Service
4.0 To introduce Network Banking Service 21/06/02
i. INTRODUCTION
1.2. This Schedule provides an overview of the POCL. Service
Environment, including cLis computer,
telecommunication and business operating systems and
services relevant to the Codified Agreement
2. OVERVIEW OF POST OFFICE LTD
2.1. Legislative Framework
2.1.1. Post Office Ltd is a wholiy owned subsidiary of
Consignia ple. The business environment of Post Office
Ltd is governed by the Post Office Act 1969(as amended),
the tish Telecommunications Act i981 and the Postal
serv s Act 2000.
2.2. Main Areas Of Business
2.2.1. POCL provides services to a diverse range of Customers
on behalf of a wide range of Clients. Services provided
by POCL include: °
. benefit payme:
. postal anc communications services;
. retail services.
2.2.2. POCL conducts
its business through a national network of
Outlets comprisin i 1
operated offices (owned and
n
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SCHEDULE 1
2.2.3. In December 2001 POCL had over ,000
ax 50,060 agents and as tants based in post offices,
2.2.4. POCL cai network is supvorted by a networ
bution centres. I addition
and stock to the Outlets and receivi
tribution centres also per
POCL Clients, for example
deposits.
2.2.5. POCL continues to develop both replacement and new
products and services, in response to the changing -
requirements of Customers, Clients and Agents
3. NOT USED.
4. BILL PAYMENT
4.1. Bill payment services ch POCL provides on behalf of .
POCL Clients and which shall be supported by the POCL
Services and the POCL Service I astructure, interface
to a range of Client Systems, POCL St and Agents.
5. COMPUTER SYSTEMS AND SERVICES
wn
iat POCL Service Environment includes the following
systems and services:
. Host Polling System;
. Document Processing Centres;
ormazion Processing (TIP) - to support
“i ts for transactio. information or
Management and reconc tion 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.
5.2. Not used.
aiso form part of the POCL
when development s been completed:
- to support the Network Banking Service.
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SCHEDULE 1 RESTRICTED CONTRACTS
5.4. Interface specifications at the boundar the
CONTRACTOR and POCL domains are set out lication
Interface Specifications and Technical Interface
Specifications
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CODIFIED AGREEMENT SCHEDULE AQ
SCHEDULE A0l- INTERPRETATION
28 July 1999
Lia CCN312a adds “HAPS”; CCN41 la adds “SPM”;
CCN432a amends “Acceptance Incident”
1 Baseline copy of lta 18 October 1999
2a CCN245c¢ add “Working Document”; CCN323a to
“APS Generic Rules”; CCN525 to amend “POCL
Data”
12 Baseline copy of 1.2a 30 November 1999
lida CCNS98a to amend “PPDs”; CCN617 to remove
“Contract Steering Group”, “CCB”, “Change Control
Board”, “New Business Board” and add “JCCB”,
“Joint Change Control Board”, “New Requirements
Board”. “Joint National Roll-Out Board”, “Joint
CSR+ Project Board"; CCN659 to add “Post Office
Newwork”, “PON”
14 Baseline copy of 14a 1 21 July 2000
2.0a Applying CCN690 to repiace definitions of ‘CCD’ &
‘CRD’, CCN69%6a to defintion of CSR+;CCN635a
add 2 new definitions & amend definition of CS
Completion Date
2.0b Adjusting ‘outlet’ word in CCN655a;Adding in I
omitted CCN 71 7a
2.0 Baseline copy of 2.0b I12 January 2001
40a New Schedule to introduce Network Banking Service I 20/06/02
40 To introduce Network Banking Service [21.06.02
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 tor Acceptance of POCL Services or Releases as agreed in writing by POCL and
the Coruractor. 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 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.
CODIFIED AGREEMENT SCHEDULE A01 RESTRICTED CONTRACTS
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 doth of these. .
Accounting Week:
A period (of consecutive days) which is defined in POCL Reference Data provided to Pathway
and which begins and ends at midnight. For information only, such period wiil usually
commence at midnight on Thursday and last for a period of seven days.
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,
Additional Time:
The meaning ascribed to it in paragraph 5.9.2 of Schedule NO1;
Admin Positions:
The meaning ascribed to it in paragraph 2.3 of Schedule NOI.
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 on a non-franchise contract, and franchisees of post offices or sud-
post offices.
AIS:
Application Interface Specification.
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. .
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Application Interface Specification:
A CCD describing an interface, including, but not limited to, the definition with which data
transferred across that interface must comply.
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 Client
Service Type is documented in an AP Client Specification.
APT:
The Automated Payment Terminal.
Archive Server:
The platform on which the Contractor gathers and archives data for subsequent retrieval and/or
analysis. .
Asset Manager:
The Software referred to as such and identified in Schedule BOL.
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 POCL Service Infrastructure.
Audit Record Query:
The meaning ascribed to it in paragraph 7.3.1 of Schedule NO!
Authorisation:
An authorisation message transmitted on-line from the NBE or the Authorisation Agent in
response to a Request, stating whether that Request has been approved or Declined.
Authorisation Agent:
The software application io be installed in each Data Centre and used to process Requests and
Authorisations transmitted between the Outlet NB System elements and the NBE.
Authorised Official:
A person auihorised by POCL to sanction alterations or modifications to POCL Premises.
Authorised Person: .
A person authorised to collect 2 benefit payment.
Tnierpretation
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CODIFIED AGREEMENT SCHEDULE A01 RESTRICTED CONTRACTS
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 ai the start and end of a period (which
may be a POCL Outlet Accounting Period) with sales and receipts during the period.
Balancing Period:
The time berween final Balances of a Stock Unit.
Bank Interface Testing Stage: E
The meaning ascribed to it in paragraph 1.7 of Annex I to Schedule N02.
Banking Transaction:
The Transactions supported by the NBS set out in paragraph 5.1.2 of Schedule NO1.
Banks:
The banks, building societies and/or other organisations for or or. behalf of which POCL
provides banking services from time to time, as agreed by the parties pursuant to the
Operational Business Change procedure and/or the Change Control Procedure, as appropriate.
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-
Bronze Service Outlet: £.
An Outlet that seeks to use a Dialled Connection 24 hours per day, 7 days per week.
CO Confirmation:
A confirmation message written by the NBS Counter Application during a Banking Transaction
when that Banking Transaction has been Declined for a reason other than the receipt from the
NBE of an Authorisation Declining the Banking Transaction.
CO Confirmation Agent:
The software application to be installed in each Data Centre and used to process CO
Confirmations transmitted between the Outlet NB System elemenis and the NBE.
C1 Confirmation:
A confirmation message created by the NB Counter Application at the end of a Banking
Transaction, (and written to the message store at the end of the EPOSS session) which records
the outcome of the Banking Transaction. .
C1 Confirmation Agent:
The software application to be installed in each Data Centre and used to process Cl
Confirmations transmitted between the Outlet NB System elements and the DRSH.
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CODIFIED AGREEMENT SCHEDULE AOL RESTRICTED CONTRACTS
C4 Confirmation:
A Confirmation sent from the NBE containing, inter alia, the NBE's view of a Banking
Transactior.
CAPO:
The Bank which supports Post Office account cards.
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 Account Period:
The meaning ascribed io it in paragraph 3.6 of Schedule G01.
Cash-Back: .
An EFTPOS arrangement which allows a Customer to draw cash as pert of a norma!
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 Outiet 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
CCD:
Contract Controlled Document (q.v.)
CCN:
Change Control Note (q.v.).
Central Network:
The meaning ascribed to it in paragraph 2.2.4(a) of Schedule NO8.
Change Control Note:
A document used in the Change Controi Procedure and defined in Schedule A053.
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 AQS.
Charges: .
The charges payabie by POCL under this Codified Agreement, including Schedule A12.
Client:
An organisation other than a Bank 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.
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Commercial Director of ICL:
The Director, Commercial and Legai 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 shall be construed accordingly.
Compliant Outlet:
An Outlet which allows sufficient operational space for the Horizon equipment to be installed
and sufficient space for other Post Office equipment and transactions to be carried out. The
space requirements for the Horizon equipment are given in Site Survey Requirements
(IM/REQ/005). The minimum dimensions for a Counter Position are detailed by POCL in their
documents for refurbished offices and ISIS conwolled schemes. Layouts agreed by POCL shall
be shown on any drawings presented in support of compliance, indicating which layout has
been used and at which Counter Position.
A dedicated live electrical circuit (or circuits) shall be provided at the Post Office Outlet
distribution board. The circuit(s):shall mieet in force electrical regulations and the documented
‘requirements of the Horizon system.
Composite Product:
A method of handling cash or Value Stock in which a number of POCL. Product lines are
combined for handling.
Confidential Information:
4] information (other than Escher Confidential Information defined in Schedule Bit}
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, 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.
Confirmation:
A confirmation message written to record the outcome of a Banking Transaction.
Contingency Services:
The contingency services specified in Schedules E9, F9, G11, H9, K9 and N9 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 AO4.
Contract Controlled Document:
A document which: a) is listed as a CCD in the CCD entitled “Coneract Controlled and
Referenced Document List” (reference SUP/CON/001; ICL Pathway reference BP/SPE/026);
and b) is referred to (such reference being to that document itself or by reference to a ciass or
group of documents which includes that document) in this Codified Agreement or in a CCD;
and c) may only be amended through the Change Controi Procedure.
Contract Referenced Document:
A document which: a) is listed as a CRD in the CCD entitied “Contract Controlled and
Referenced Document List" (reference SUP/CON/001; [CL Pathway reference BP/SPE/026);
and 5) is referred to in this Codified Agreement: and c) may be amended other than through the
Change Controt Procedure.
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CODIFIED AGREEMENT SCHEDULE AO RESTRICTED CONTRACTS
Contracted Transaction Time:
‘The time set out in this Codified Agreement against which a Transaction is measured for
determining performance against Service Levels.
Contracted Volume: ;
Each of the levels defined as a Contracted Volume in-the CCD entitled “Horizon New Service
Business Volumes” (PA/PER/03 1) applicable to components of the POCL Service
Infrastructure as specified in that CCD.
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 BO!.
Core Hours:
0800 to 1730 Monday to Friday (inclusive), and 0800 to 1300 Saturday, excluding English bank
holidays.
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.
Core System Release:
The Release defined in the CCD entitled "/CL 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 Servi
Counter Position:
A serving position in a post office, where a Customer transacts business with a Counter Clerk.
CRD: .
Contract Referenced Document (q.v.)
CS Completion Date:
The cate by which Roll Out of the Core System shall have been completed to 99 per cent. of all
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Outlets scheduled to be installed under Part A of the Roll Out Programme, as amended from
time to time through the Change Control Procedure.
CSR:
Core System Release (q.v.)
CSR Acceptance:
The meaning ascribed thereto in paragraph I 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 “/CL Pathway Core Sysiem Release Plus Contents
Description"” as amended and/or supplemented by and in accordance with the CCDs entitled
“Supplement to Addendum B of the ICL Pathway Care System Release Plus Conients
Description” and “PINICL Resolution Status for Release Authorisation Board for CSR+".
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.
Customer Verification:
The process by which the association of a Customer with a NB Token is to be checked, as
described in paragraph 5.8.2 of Schedule NOL
D Messages:
A message transmitted by the NBE to the DRSH when the amount included in settlement of a
Banking Transaction differs between the Bank and the Counter Position.
Data Centre:
Either or both (as the context requires) of the central computer systems comprising Hardware,
Software and local networks used by the Contractor in the provision of the POCL Services.
Data Controller:
POCL or any Bank, Client or other third party who is the Data Controller (within the meaning
ascribed to that expression in the Data Protection Act 1998) of any Personal Data which are or
are intended to be (on the date that the parties enter into the CCN which introduces the NBS)
processed by the Contractor under the applicable provisions of this Codified Agreement.
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.
Data Processor:
The meaning ascribed thereto in the Data Protection Act 1998
Data Reconciliation Service:
The service to be provided by the Contractor (described in paragraph 8 of Schedule NO! and
forming part of the NBS) which matches Banking saction data from automated Counter
Positions to NBE data and reports to POCL accordingly.
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Data Reconciliation Service Host:
The server in a Data Centre used for processing and storing Banking Transaction data for
reconciliation and retrieval purposes.
Data Warehouse:
The data warehouse used by the Contractor to provide management information to POCL in
connection with the Existing Services and the NBS.
Decline:
A refusal by the NB System or Counter Clerk to proceed with a Banking Transaction after a
Request is generated or an instruction contained in an Authorisation to refuse a Banking
Transaction received via the NBE. “Declined” and “Declining” shall be construed accordingly.
Default: .
Any breach of the obligations of either party {inciuding but not limited to fundamental breach
or breach of a fundamental term) or any defauit, 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 BO!.
Development Services:
The development services to be performed by the Contractor pursuant to Clause 403 of this
Codified Agreement.
Dialled Connection: .
A network connection to an Outlet to be established for the purposes of transferring data
between that Outlet and a Data Centre and disconnected once that data transfer is complete,
including such connections established via satellite.
Direct Interface Test:
A test carried out to confirm compliance with an Application Interface Specification.
Disputed Banking Transaction Notice:
Within Period One (as defined in paragraph 7.3.1 of Schedule NO1), notification (and the
provision of related information) of a Banking Transaction which requires investigation to the
Contractor’s management support unit (MSU) in accordance with the procedure set out in the
CCD entitled “Nerwork Banking Reconciliation and Incident Management" (NB/PRO/002) for
raising a DBTN (as referred to'in that CCD) via the enquiry service;
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.
DIT:
Direct Interface Test
DNS:
Department for Nationa! Savings.
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Documentation:
The documents listed in Schedule B03
DRS:
Data Reconciliation Service.
DRSH:
Data Reconciliation Service Host.
DSS:
The Secretary of State for Social Security, acting through and on behaif of the Department of
Social Security and on behalf of the Department of Health and Social Security for Northem
freland.
DSS Agreement:
The agreement between DSS and the Contractor 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.
EFT:
Electronic funds transfer.
EFTPOS:
Electronic Funds Transfer at Point of Sale: a term used to describe the debiung of Customers’
accounts, usually through EPOS systems, for goods or services they purchase.
End to End Banking:
The end-to-end systems and services (of which (without limitation) the NBS, the NB System,
the NBE, LINK (for so long as POCL continue to use LINK) and Bank sysiems form part)
required to deliver network banking to Customers.
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 typicaily used in retail shops and
stores, al 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 (excluding Paypoles and including, without limitation, supply cords,
interface cables and cords, User-installable components and peripherais) 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.
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Event:
A recorded and auditable instance of business administration activity, such as the registration of
a new User, or the production of a Report.
Existing Services:
EPOSS, APS, LFS, the POCL Infrastructure Services and OBCS as developed and in operation,
pursuant to this Codified Agreement, prior to both parties’ signature to the CCN: *B-GEN Io)
<Beue introducing the NBS. i
Failed Acceptance:
The failure to meet the thresholds referred to in paragraph 2.2 of Schedule Al} 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 BO
Financial Transactions
A Banking Transaction involving a deposit or withdrawal of monies.
Fixed Connection:
A network connection to an Outlet which is intended to be established and held open between
times agreed by the parties.
Framework:
The Software referred to as such and identified in Schedule BOL.
FRIACO:
Flat rate internet access call origination.
FRIACO Port:
A network connection to the FRIACO service for one Outlet at a time,
Full E2E Testing Stage:
The meaning ascribed to it in paragraph 1.4 of Annex I to Schedule NO2
Governmental Regulation:
Any United Kingdom primary legislation and any United Kingdom secondary legislation.
Guarantor:
Either of Fujitsu Services Holdings Ple (formerly ICL Plc) or Fujitsu Limited.
HAPS
The Host Automated Payments System operated by POCL.
Hardware:
Any hardware (excluding Paypoles) used by the Contractor to provide POCL Services under
this Codified Agreement including hardware supplied as a Core System Product or as an
Optional Product or Additional Product.
HCI:
Human Computer Interface (q.v.).
Bead Office Counter Position:
A single position gateway configuration or a multi-position gateway configuration to be
installed in POCL office premises that are not Outlets. Save as may be agreed by change
control, the use of configurations as Head Office Counter Positions shall not require the
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Contractor to undertake any additional software development. testing or support, or any site
modification or preparation beyond standard site preparation. The Head Office Counter
Positions shall when installed count as Outlets to which Roll Out had occurred for the purposes
of the Outlet cost element adjustment in paragraph 5.9 of Schedule Ai2.
Help Desk:
Save as expressly provided otherwise,
relating to the POCL Services.
initial point of call for Users in need of support
Helpdesk:
Help Desk (¢.v.).
High Severity
The meaning ascribed to it in paragraph 4.4.2 of Schedute NO2 in respect of NBS Acceptance
Incidents and NBS Progress Incidents.
Horizon System Help Desk:
See Help Desk.
HMG:
Her (or His) Majesty’s Government.
HSM:
The hardware security module in which PINs are translated prior to transmission of encrypted
data from the POCL Service Infrastructure to the NBE.
Human Computer Interface:
The presentation of computer systems to the User.
TIN:
Issuer Identification Number.
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 or undesirable
occurrence, clarification of the incorrect perception,
Incident Resolution Time:
The time elapsed between the logging of an Incident by the Help Desk, and the Incident
Resolution. :
{nitial Period:
The period commencing on the date of signature of the NBS CCN and expiring 6 calendar
months after the beginning of the earlier of: °
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(a) the first calendar month in which two million Banking Transactions are undertaken
using the NBS; and
(b) the calendar month in which the cumulative number of Banking Transactions
undertaken using the NBS exceeds five million.
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).
Internal Code:
Machine readable software (including PEN Pad firmware) 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.
Issuer Identification Number:
The identification number ascribed to an issuer of a magnetic card or similar token by APACS.
IT:
Information Technology
JSCCB:
Joint Change Control Board (q.v.).
Joint Change Control Board: 2
‘The body referred to as such in the Management Table in the Annex to Schedule AQ4.
Joint National Roll Out Board
The joint project board that oversaw National Roll Out and heid its. last meeting on 14” May
2001
LAN:
Local Area Network.
LFS:
Logistics Feeder Service.
LINK:
The branded and shared network of cash machines and self-service terminals of certain member
banks and building societies in the UK, which enabies services from one member bank or
building society to be available at cash machines of all member banks and building societies, to
be construed for the purposes of this Codified Agreement as a single system.
Logistics Feeder Service:
The logistics feeder service supplied by the Contractor pursuant to Clause 405.5 of this
Codified Agreement. .
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Low Severity:
The meaning ascribed to it in paragraph 4.4.2 of Schedule N02 in respect of NBS Acceptance
Incidents and NBS Progress Incidents.
Lahn:
The check digit formula which is part of the APACS standard.
M25 Rollout: :
Roll Out of a POCL Service to Outlets in the area within the M25 motorway which currently
use ALPS.
MAAWP:
Maximum Authorisation Agent Wait Period
MAC:
‘The meaning ascribed to it in paragraph 10.6.4(0) of Schedule NOL.
MAC Key:
The meaning ascribed to it in paragraph 10.6.4(b) of Schedule NOt.
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).
Maximum Authorisation Agent Wait Period:
‘The period the Authorisation Agent shall wait for a corresponding Authorisation after
generating a Request (for transfer to the NBE) before itseif generating an Authorisation
signifying a Decline (due to system time-out) to be sent to the relevant automated Counter
Position.
Maximum Counter Wait Period:
The period that an automated Counter Position shall wait for a corresponding Authorisation
after generating a Request before itself Declining that Banking Transaction due to system time-
out
MCWP:
Maximum Counter Wait Period.
Medium Severity:
The meaning ascribed to it in paragraph 4.4.2 of Scheduie N02 in respect of NBS Acceptance
Incidents and NBS Progress Incidents.
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 sysiem to another,
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Methed of Payment:
The form of payment recorded against a Transaction invoiving a Customer.
Migration Specification:
The CCD entitled “Provision of In-Office Migration Services”.
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.
MSU Day:
0800 to 1730, Monday to Friday (inclusive), excluding English bank holidays.
NAO:
National Audit Office
National Roll Out: .
Roll Out of the Core System to all Outlets scheduled to be installed under the Roil Out
Programme (as amended from time to time through the Change Control Procedure).
NB Acceptance Date
The date that NBS Acceptance occurs in accordance with paragraph 3.1 of Scheduie N02.
NB Counter Application:
‘The application software that contains the business logic controlling the dialogue with Users of
the NBS,
NB Event:
The meaning ascribed to it in paragraph 18.2.1 of Schedule Al2.
NB Go Live:
The point at which, following deployment of the NBS software in each Outlet, the NBS
initiated for live operational use in all Outlets through release of the required Reference Data.
S
NB Monthly Operating Fee:
The total Charge due each month (net of any applicable discount) for NBS operating services
and operating the PIN Pad Impiementation Service, as set out in Annex 6 to Schedule Al2.
NB Pijot (Soft Launch):
The meaning ascribed to it in paragraph 1.8 of Annex I 10 Schedule NO2.
NB/PIN Pad Services:
The NBS and the PIN Pad Impiementation Service together, but not either of them separately.
NB PPD:
The PPD for the NBS defined in paragraph 5.4.1 of Schedule NO!
NB Project Plan:
The plan for the development and implementation of the NBS described in paragraph 1 of
Schedule N04.
NB Receipt:
A paper receipt issued during a Banking Transaction either as a record of that Banking
Transaction or as part of the process of carrying out that Banking Transaction
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NB System:
The elements of the POCL Service Infrastructure, including WebRiposte and the NB Counter
Application which are to be developed, modified and/or used pursuant to Clause 413 to support
operational use of the NBS.
NB Token:
A Token supported by the NBS, as described in paragraph 3.1.1 of Schedule N01.
NB Token Validation:
The process by which the validity of a NB Token presented by a Customer to 2 Counter Cierk is
to be checked, as described in paragraph 5.8.1 of Schedule NOI.
NBE:
Network Banking Engine.
NBE Network:
The meaning ascribed to it in paragraph 2.2.4(b) of Schedule NOS
NBS:
Network Banking Service.
NBS Acceptance:
Acceptance of the NBS in accordance with pas ph 3.1 of Schedule N02.
NBS Acceptance Criteria:
The criteria for acceptance of the NBS and the PEN Pads set out in the CCD entitled “NBS
Acceptance Criteria” .
NBS Acceptance Incident:
Any incident within the following categories:
(a) a failure to meet NBS Acceptance Criteria;
(d) a failure of the Existing Services to be performed in accordance with the applicable
provisions of this Codified Agreement;
{c) a tack of capability to achieve Service Levels; or
(d) ° - the occurrence of certain functions, activities or behaviour in conflict with the
Codified Agreement.
each as specified in paragraph 4 of Schedule N02, which occurs as a result of the introduction
of the NBS. .
NBS Acceptance Procedure:
The procedure described in Schedule N02 for acceptance of the NBS.
NBS Default:
A Default by the Contractor exclusively in relation to the NB/PIN Pad Services, the
NBS or the PLN Pad Implementation Service.
NBS Deployment:
The download of the NBS software to an Outlet in readiness for NB Go Live.
NBS Stage Progression:
The progression from:
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(a) the NBS Testing Stage to the Full E2E Testing Stage; or
(b) the Full E2E Testing Stege to the NB Pilot (Soft Launch) phase,
as applicable, in accordance with Schedule NO2
NBS Termination Charge:
The NBS and PIN Pad Implementation Service termination charge calculated in accordance
with paragraph 3 of Schedule N06 of this Codified Agreement.
NBS Testing Stage:
The meaning ascribed to it in paragraph !.! of Annex I to Schedule N02.
NBS Tests:
The tests described in paragraph 3.1 of Annex I to Schedule N02
NBS Transfer Payment:
The sum payable pursuant to Clause 903 or Clause 905 of this Codified Agreement as defined
in paragraph 4.3 of Schedule NO6.
NBSC:
The network business support centre operated by POCL
NCC:
The National Computing Centre Ltd., Manchester.
Network Banking CCNs:
CCNS817, CCN865a, CCN907, CCN909a, CCN91 4a, CCN928b, CCN932, CCN934,
CCN933, CCN936b, CCN947, CCN959,CCN967, CCN970a, CCN971 and CCN976a.
Network Banking Engine:
A central third party computer system (contracted for by POCL} which constitutes the middle
tier of End to End Banking and which, inter alia, connects the Data Centres to LINK and
certain Bank computer s'
Network Banking Service:
The obligations of the Contractor pursuant to Clause 413 of this Codified Agreement.
Network Banking Transfer Service:
The service as set out in Schedule N06.
New Requirements Board:
The body referred to as such in the Management Table in the Annex to Schedule AQ4.
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 Out Programme (as amended from time to time
through the Change Control Procedure).
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N Schedules:
Schedules NO1, NO2, N03, N04, NOS, NO6, NOS and NO9.
OBCS:
Order Book Contro! Service (g.v.)
OBCS Stop Lists:
A list of order books on which action needs to be taken.
Operational Business Change:
As the context requires, the services set out or referred to in the Operational Business Change
Catalogue or the services set out in the CCD entitled “/CL Pathway/ PON fnerface Agreement
for Operational Business Change — Product” (CS/PRD/038).
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.
Operational Trial:
The operational trial of the Core System 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 Ali
of this Codified Agreement.
Operational Trial System:
The trial system to de delivered for testing under the Operational Tria! Procedure, as described
in Scheduie 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 Gi 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 te Clause 202 of this Codified Agreement.
Optional Products:
Any Producis to be supplied pursuant to Clause 206 of this Codified Agreement.
Order Book Control Service: .
The order book control service supplied by the Contractor pursuant to Clause 405.4,
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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:
All Stock other than Retail Stock, Security Stock and Value Stock, including leaflets, forms and
various general consumables and supplies.
Out of Hours Support:
Support provided outside POCL Core Day.
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 Outlet.
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
Ouilet can be made.
The primary account number (part of the IfN) associated with a NB Token.
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 Satellite Outlets.
Paypole:
The meaning ascribed to it in paragraph 1 of Schedule G12.
person:
Inctudes a partnership, a corporation or association (whether incorporated or unincorporated),
as well as a natural person. .
Personal Data: :
All data which are defined as persona! data in the Data Protection Act 1998 and processed by
the Contractor under this Codified Agreement.
PIN:
Personal Identification Number.
PEN Pad:
A device used by a Customer to enter a PIN for the purposes of Customer Verification.
PIN Pad Deployment:
Deployment of PIN Pads in accordance with Schedule Gi2.
PIN Pad Implementation Service: .
The obligations of the Contractor pursuant to Clause 415 of this Codified Agreement.
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PIVOT:
The existing POCL MIS system which provides, inter alia, reports of numbers of transactions
by Outlet.
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 (0) to this Codified Agreement.
POCL Application Services:
The Automated Payment Service and OBCS.
POCL Automated Payments Generic Rules:
A document describing generic rules for APS.
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 Core Day:
08:00 to 20:00 Monday to Saturday inclusive, excluding bank holidays.
POCL Data:
Means all data, information, text, drawings, diagrams, images (including, but not limited to
logos), 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 Contactor by POCL pursuant to this
Codified Agreement, or which the Contractor is required to generate for POCL under this
Codified Agreement, but excludes the Service Architecture Design Document and
Documentation.
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 norma! accounting period applying within an Outlet, normally a week and running
Thursday through Wednesday, but subject to variation at financial year end and to revision. It
may be merged by agreement in individual Outlets, e.g. to enable sub-postmaster holidays.
POCL Premises:
s, sub-post offices, and other premises of POCL from time to ame.
All post offi
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POCL Product:
An item, provided by POCL, for sale from Stock - or characterising a service provided - in an
Outlet.
POCL RDS:
RDS
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 or referred to in Schedules A16, E3, F3 G5, H3, K3, G12,
and the N Schedules of this Codified Agreement.
POCL’s Agent:
Any person(s) or organisation(s) authorised to act on behalf of POCL.
POCL’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.
POCL Service Infrastructure:
The Hardware and the Software and all other electronic, computer and telecommunications
equipment (excluding Paypoles) 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, the Network Banking Service, Optional POCL Services, POCL
Client Services, Additional POCL Services, PIN Pad Implementation Service 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.
PON:
Post Office Network (q.v.)
Posting Date:
Settlement Date.
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.
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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.
Post Office Network:
Where the term Post Office Network is used in documents it refers to a business unit within
POCL and, for the purposes of those documents only, shall have the same meaning as POCL.
PostShop:
A separate retail unit within a posi office operated directly by POCL.
PPDs: .
The related set of Processes.and Procedures Documents as described in the "Introduction
Processes and Procedures Description" document for the appropriate Release.
Priority Exception:
A Banking Transaction for which:
(a) no Disputed Banking Transaction Notice has been received by the Contractor and
which persists in system state category number 4 or 12 as set out in the CCD entitled
“Network Banking End to End Reconciliation Reporting” (CS/SPE/01 1) on the
second MSU Day following the day of receipt by the DRSH of the corresponding C4
Confirmation or D Message (as applicable); or
(b) a Disputed Banking Transaction Notice has been received by the Contractor and
which is within or subsequently falls within the system state category number 4 or 12
as set out in the CCD entitled twork Banking End to End Reconciliation
Reporting” (CS/SPE/01).
Products:
Any products to be supplied under this Codified Agreement, excluding Paypoles and 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 BO9 and the Roil Out Programme.
Property:
Tangible property (including without limitation bui!
Service Infrastructure and any part thereof before it
Codified Agreement.
gs and land) but excluding the POCL
s been accepted in accordance with this
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 (a.v.).
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RACOCI] Model .
The Request, Authorisation and Confirmations model of End to End Banking Transaction flows
involving, inter alia, as the particular circumstances may permit, Requests being issued from
Counter Positions, Authorisations being issued by the NBE and Confirmations being issued
from Counter Positions.
Rate Reduction Date:
The date referred to in paragraph 18. of Schedule Al2 upon which the Contractor’s rates for
T&M Work may be reduced by 50% pursuant to paragraph 18.3 of Schedule Al2.
Rate Shop:
Where a Customer purchases Stock by value rather than by volume,
Stock purchased for a given sum.
. by a number of items of
RDMC:
The Contractor's Reference Data Management Centre.
RDS:
POCL Reference Data System.
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 reiatioriships controlling the operation of POCL Servic
Refund:
A repayment of money to a Customer, by means of a Reversal.
Related Agreements:
The 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
account.
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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Request:
A priority request message generated for transmission. on-line from an Outlet to a Bank (via the ¢
NBE) in order to undertake a Banking Transaction for a Customer.
Retail Price Index:
The “ail 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 Govemment publication if the aforementioned ceases to be published.
Retail Stock:
Items sold in Outlets
ugh POCL's retail accounting scheme.
Retention Pot: .
A fund to which sums which are retained by POCL (from payments due to the Contractor) are
to be allocated in accordance with paragraph 18.2.3 of Schedule Ai2 and released in
accordance with paragraph 18.2.4 of Schedule Al2.
Reversal:
A Transaction which nullifies a previous Transaction.
Roll Out:
The implementation of the POCL Service Infrastructure and/or a POCL Service (other than the
Network Banking Service, PIN Pad Implementation Service and/or PIN Pad Deployment) in
Outlets.
Roll-Out, Rollout, roll-out or rollout:
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 the 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+;
£120 million in respect of the use of hardware (and software associated therewith) during
the term of this Agreement;
£80 million in respect of installation, training and modification costs in respect of the
POCL Service Infrastructure and POCL Services; and
£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.).
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SAPADS:
SAP Advanced Distribution System.
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.
Sensitive Data:
The meaning ascribed to it in paragraph 10.6.2(a) of Schedule NOL.
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 Boundary:
The interface or interfaces at which responsibility for processing or otherwise handling
Banking Transaction data, Reference Data or Data Files or any other data, message, component
or product of the NBS passes, in accordance with the applicable AIS and/or TIS between the
Contractor, POCL and/or a third party.
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 El, Fl, G1, Hi, Kl and N1 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 Ist March, 2005 and ending on 31st March, 2005.
Service Level Schedules:
Schedules B10, E08. FO8, G10, H08, KOS and N08 of this Codified Agreement.
Service Management Report:
The Working Document (known to the parties as the “service review book”) used by the
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Contractor to report performance of the POCL Services against Service Levels and associated
voiumes, the format of which is agreed by the parties at meetings of the Service Review Board. ¢
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 availabie by
the Contractor for use by Users.
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.
Session Mobility:
A facility which allows a User logged on at an autornated Counter Position workstation to log
on to another such workstation, thereby transferring his User session and automatically logging
the User out of the first workstation.
Settlement Date:
The date on which a Banking Transaction is committed for settlement by a Bank or, in the
absence of such a date being set by that Bank, the defauit posting date set by the NBE.
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.
Silver 24 Hour Service Outlet:
An Outlet that seeks to use a Fixed Connection 24 hours per day, 7 days per week.
Silver Daytime Service Outlet:
An Outlet that seeks to use a:
(i) Fixed Connection in the periods 08:00 to 17:30 Monday to Friday and 08:00 to 13:00
Saturday: and
{ii} Dialled Connection outside those periods.
Silver Part Time Service Outlet:
An Outlet which seeks to use a:
(i) ‘Fixed Connection in the periods 08:30 to 10:30 Monday, 08:30 to 09:30 Tuesday and
08:30 to 09:30 Thursday; or
(ii) Fixed Connection from 08:30 to 12:30 Saturday, and (in both cases)
(iii) Dialled Connection outside those periods.
SLA:
Service Level Agreement (q.v.).
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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 (¢.v.).
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 with 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 Scheduie BO1 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 Optional Product or Additional Product.
SPM:
Simple Payment Module.
Stock:
lems held in Outlets and classified as Retail Stock, Security Stock, Value Stock, and Other
Stock.
Stock Item:
A unit of Stock which can be ordered separately.
Stock Unit:
An individual unit of accountability
within a sub post office, for which an individual (or a group of individuais) is accountable. It
may contain: (i) Transaction: Vouchers for a designated period, (ii) 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 Outlet terms, the value of Transactions that are accounted for in the unclaimed payments or
uncharged receipts tables of the Cash Account, These items wil] subsequently be cleared by
posting to an appropriate line of the Cash Account or by local settlement
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System Management Service:
The System Management Service provided by the Contractor as part of the POCL Infrastructure
Services pursuant to Clause 403.3 of this Codified Agreement.
T&M Budget:
The Contractor’s estimate of the resource and time required to complete (as the context
requires) a T&M Work task at Level 2 or Level 3 in the NB Project Plan or a group of such
tasks taken together, from which the budgeted amounts and hours for each such task, or tasks
taken iogether may be derived.
T&M Work:
The work of designing, developing and testing the NBS (including, without limitation, the
work, if any, of closing down Cancelled Tasks in accordance with Schedule N04) which is to
be charged for by the Contractor on a time and materials basis in accordance with paragraph
18.1 of Schedule A12.
Target Date:
The meaning ascribed to it in paragraph 18.2.2 of Schedule Al2.
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 accountabie tor the Stock Unit or Till.
Technical Interface Specification:
A CCD describing the technical detail of an interface.
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 AO7 of this Codified
Agreement,
Termination Review Threshold:
For a POCL Service, is the Service Level stated in the relevant Service Level Schedule below
which POCL’s operations are seriously compromised, so that POCL shall have the right to
terminate this Codified Agreement. .
Third Party Software:
Any software identified as such in Schedule 801 of this Codified Agreement
Third Party Software Owner:
The ultimate licensor of any Third Party Software.
Tilk .
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 an¢ operated by POCL.
TIP Gateway:
The Contractor’s PC on POCL premises used for transmission of Transaction data to TIP.
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TIS:
Technical Interface Specification (q.v.).
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 technology used by a particular APS Token.
TPS Agent:
The software application instalied in each Data Centre for processing EPOSS Transaction data
including Cl Confirmations.
TPS Host:
The server in each Data Cenire used for processing and storing EPOSS Transaction data,
Transaction:
A recorded and auditable instance of business activity, involving service provision or Stock
movement across organisational or service boundaries.
Transaction Committat:
The point at which a Transaction is irreversibly recorded in the audit trail.
Transaction Identification (1d):
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
limization, 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 (ii) in the context
of transfer to the Contractor, the transfer to the Contractor pursuant to Clause 401 of this
Codified Agreement.
Transfer Date:
The date specified in Schedule A09 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 A07.
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Transfer Services:
The services set out in Schedule 407,
Use:
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 POCE 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 Committal.
Wide Area Network.
WebRiposte: :
The Software referred to as such and identified in Schedule BO.
Working Day:
For an individual post office means any day on which that office is open for normal business.
Working Document:
“Working Document” means any document designated as a Working Document and any other
document other than the Codified Agreement, Change Control Notes executed by doth parties,
Contract Controlled Documents and Contract Referenced Documents. Working Documents ere
without prejudice to any of the parties and nothing contained therein shall be deemed or
construed as affecting existing contractual obligations or creating new contractual obligations
between any of the parties.
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.
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SCHEDULE A02- POLICIES AND STANDARDS
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Reference
10 Original baseline 28 July 1999
ia Applying CCN323a to 4.1.4a, 4.1.4b, 4.1.4c,
4.4.1,44.2,5.2.1,5.2.2
2 Baseline copy of 1.2a 30 November 1999
13a Applying CCNS49 to 4.3.1(a) and reformatted to *
standard template
13 Baseline copy of 13a 30 March 2000
4.00 New Schedule to introduce Network Banking Service_I 20/6/02
4.0 To introduce Network Banking Service 21/06/02
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 AS.
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 ail 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 shal! 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 POCL’s 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.
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2.1.3. The Contractor shall ensure that, where the installation of Equipment or the delivery
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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 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. The provisions of this paragraph 2.1.3 shall not apply in
relation to the installation of PIN Pads where that installation is carried out by POCL
or a third party on behalf of POCL except where carrying out that installation in
accordance with the CCD entitled “Pin Pad Technical Installation Training Guide”
(IM/MAN/022) has directly resulted in non-compliance with those standards.
The Contractor sha!l give due attention to the effects on the environment_of the
Equipment used in the-provision of OPS during manufacture, installation and use.
This includes: [R540 para 1]
(a) use of CFCs;
(b) energy consumption;
(c) recyclability of components;
(@) recyclability of consumables;
(e) waste minimisation; ‘
(f use of sustainable resources;
(g) disposal of displaced equipment and waste; and/or
(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 legisiation, 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 POCL’s 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 1998 and the Provision
and Use of Work Equipment Regulations (ND 1999; and
(b) . the Workplace (Health, Safety and Weifare) Regulations 1992 and Workplace
(Health, Safety, and Welfare) Regulations (NI) 1993 (S.R. 1993 No. 37)
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Without prejudice to the application of the provisions of this paragraph 2.2.1 to the
PIN Pads themselves, the provisions of this paragraph 2.2.1 shall not apply in relation
to the installation of PIN Pads where that installation is carried out by POCL or bya
third party on behalf of POCL except where carrying outthat installation in
accordance with the CCD entitled “Pin Pad Technical installation Training Guide”
(IM/MAN/022) has directly resulted in POCL or POCL’s Agent’s being prevented
from meeting such health and safety responsibilities.
The Equipment shail not interfere with the health or safety at work of Users, office ~
staff or others in the vicinity, including but without limitation interference as a result
of emission of acoustic noise, vibrations, heat, fumes or other radiation, or as a result
~ of its construction.
Data Protection Act
Part A of this paragraph 2.3 sets out the parties’ rights and obligations in relation to
Personal Data for which the Contractor is the Data Processor and POCL or a third’
party is the Data Controller. Part B of this paragraph 2.3 sets out the parties’ rights
and obligations if and to the extent that the Contractor is the Data Controller of any
Personal Data.
Part A
The Data Controller for particular Personal Data may be either POCL or a third party.
Except where the context otherwise requires, if the Data Controller is POCL, all
references to the Data Controller in paragraphs 2.3.1 to 2.3.24 inclusive are to be
interpreted as references to POCL.
POCL’s authority and obligations
For the purposes of processing Personal Data of each Data Controller which appoints
POCL as a processor of that data, and prior to commencement of such processing
POCL shall:
(a) _ obtain delegated authority from each Data Controller to appoint the Contractor
to process Personal Data of that Data Controiler on the terms dealing with such
processing set out ii this Codified Agreement;
(6) obtain delegated authority from each Data Controller so that the Contractor is
entitled to appoint any of the Contractor’s subcontractors listed in Schedule
AO8 to process Personal Data of that Data Controller provided that, to the
extent such processing is undertaken by a subcontractor, the subcontract
incorporates terms which are equivalent in nature and extent to those dealing
with such processing set out in this Codified Agreement and which impose
obligations upon that subcontractor at least as onerous as those imposed upon
the Contractor under this Codified Agreement; and
(c) ensure that the obligations, responsibilities and duties of the Contractor in this
. Codified Agreement in respect of Personal Data are not wider or more onerous
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in nature or extent than those which POCL accepts under its own contract with
each Data Controller. .
The terms referred to in this paragraph 2.3.1 do not include terms related to payment.
Where POCL fails to obtain delegated authority to the full extent referred to in
paragraph 2.3.1 of this Schedule A02. subject to paragraph 2.3.4 of this Schedule
A02, the parties agree to co-operate with each other and to execute such other
additional agreements between them and/or each Data Controiler as may reasonably
be required to give effect to the appointment of the Contractor as a processor (in
accordance with the applicable provisions of this Codified Agreement) of Personal
Data on behalf of that Data Controller.
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In respect of any Personal Data of which POCL is the Data Controller, the Contractor
shall be entitled to appoint any of the Contractor’s subcontractors listed in Schedule
AOS to process that Persona! Data provided that, to the extent such processing is
underiaken by a subcontractor, the subcontract incorporates terms which are
equivalent in nature and extent to those dealing with such processing set out in this
Codified Agreement and which impose obligations upon that subcontractor at least as
onerous as those imposed upon the Contractor under this Codified Agreement.
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Where POCL fails to ensure that POCL and the Contractor have deiegated authority
from each Data Controller to the full extent referred to in paragraph 2.3.1 of this
Schedule A02 or where the terms of POCL’s contract with a Data Controller do not
permit the Personal Data of that Data Controller to be processed on the terms of this
Codified Agreement:
PS
(a) POCL shall indemnify the Contractor in respect of all claims, demands,
actions, costs (including egal costs), expenses, losses and damages arising
from or incurred by reason of any processing of Personal Data by the
Contractor in the absence of such delegated authority or permission, unless
such processing by the Contractor is outside POCL’s or the Data Controller’s
instructions or otherwise in breach of the Codified Agreement, and
(b) the Contractor shall not be required to perform any additional obligations or
any reduced or modified obligations as a result of such failure or lack of
permission without its agreement in accordance with the Change Control
Procedure. . :
5 All instructions given by POCL to the Contractor (or. its own behalf as Data
Controller, or on behalf of any other Data Controller) in respect of Personal. Data
shal! at all times be in accordance with the laws of the United Kingdom.
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Contractor's rights and obligations
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The Contractor shal] process Personal Data in accordance with the instructions of
each Data Controller which are as set out in the applicable provisions of the Service
Definition Schedules dealing with such processing (or as may be agreed under the
Change Control Procedure).
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2.3.8 Personal Data shal! not be mechanically copied or otherwise reproduced by the
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2.3.10
2.3.11
Contractor ard shall not be altered or supplemented with other data except to the
extent necessary to comply with the provisions of this Codified Agreement.
So far as this Codified Agreement requires or as may be agreed under the Change
Control Procedure, the Contractor shall arrange for the prompt and safe return of all
Personal Data together with ai! copies thereof which are under the Contractor’s
control to POCL or the relevant Data Controller.
The Contractor shall destroy or dispose of Personal Data in accordance with the
applicable provisions of this Codified Agreement.
Subject Information Requests
For the purposes of this paragraph 2.3,
“Subject Information Request” means a valid request (as provided for in the Data
Protection Act 1998) by or on bebalf of a Customer or User for a copy of Personal
Data of that Customer or User held or which may be held by the Contractor;
“Response Capability” means in relation to any Subject Information Request for
Personal Data in Transaction records held by the Contractor notified to the
Contractor in accordance with paragraph 2.3.13 of this Schedule, the Contractor’s
ability to respond to that request within the applicable time limit taking into account
the following factors:
(a) the number, type and frequency of Subject Information Requests notified to the
Contractor and/or to which the Contractor is already responding at the time of
such notice;
(b) the number of Audit Record Queries to which the Contractor is also
responding;
(c) the processing time estimated by the Contractor for retrieval of data required to
satisfy each Subject Information Request;
(d) where Subject Information Requests and/or Audit Record Queries cover the
same dates, contention for digital linear tapes if the relevant date(s) are on the
same tapes;
(e) if applicable, the availability of a digital linear tape if the required tape is not
ready-loaded; and
(Q the availability of workstations on which to do the work;
“Extraction Rate” means the rate at which information required to satisfy a Subject
Information Request for Personal Data in Transaction records can be loaded from
digital linear tape, sorted as required and the necessary information transferred to CD
ROM, inciuding ali associated intervening manual! and automated processes.
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2.3.12 The Contractor shall record and then refer all written Subject Information Requests
(other than those notified to the Contractor in accordance with paragraph 2.3.13 of
this Schedule A02) it receives to POCL or (if POCL shall have previously notified
the Contractor of the appropriate Data Controller contact name and address} to the
appropriate Data Controller within five (5) days of receipt of the request, whether or
not the request was received in error.
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POCE shall notify the Contractor of each Subject information Request it requires the
Contractor to deal with, providing the time limit applicable in respect of each such
request and sufficient information in each case to enable the Contractor to locate and
retrieve the information requested or to confirm that the information is not held by
the Contractor, “as the case may be. In respect of each Subject Information Request
for Personal Data which are or mav be held by the Contractor in Transaction.records,
such information shall-include the date or date range, the relevant personal identifier
and, where available, the Outlets to be covered by the search, giving the FAD code
for each such Outlet.
2.3.14 The following provisions shall apply in respect of Subject Information Requests for
Personai Data which are or may be held by the Contractor in Transaction records.
(a) A Subject Information Request which satisfies the conditions set out in
paragraph (b) below can be responded to by the Contractor at an Extraction
Rate of forty five (45) days worth of Transaction information per Outlet
requested per day. Each such Subject Information Request which, if processed
at that rate (and allowing for other Subject Information Requests then being or
which are required to be processed by the Contractor) would be responded to
within the time limit notified to the Contractor for that request, shall be within
the Response Capability of the Contractor.
(b) The conditions referred to in (a) above are that:
G) the Outlet FAD codes for the Outlets covered by the Subject Information
Request are provided to the Contractor;
(ii) ihe Subject Information Request is requested by POCL after
commencement of NB Pilot (Soft Launch):
(ii) the period to which the Subject Information Request relates is between 45
and 90 consecutive days; and
(iv) the rate at which Audit Record Queries are being processed by the
Contractor at the time of receipt of the Subject Information Request is
less than eight hundred ($00) per year on a roiling vear basis.
(c) The Contractor shall assess and notify POCL which of the Subject Information
Requests notified to it by POCL (other than those within the Response
Capability in accordance with (a) above) cai be responded to within the
Response Capability and those in relation to which the Contractor’s ability to
respond is outside the Response Capability.
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(d)
(g)
(h)
0)
If the Contractor's ability to respond to a Subject Information Request is within
the Response Capability, the Contractor shall, subject to the Contractor's
current and expected future workload for dealing with both Audit Record
Queries and Subject Information Requests remaining the same or decreasing),
respond to that request within the applicable time limit.
Subject to paragraph (f), below if the Contractor’s ability to respond to a
Subject Information Request is outside the Response Capability, the Contractor
shall notify POCL how long it would take to respond to that Subject
Information Request, and shall (subject to the Contractor’s current and
expected future workload for dealing with both Audit Record Queries and
Subject Information Requests remaining the same or decreasing) respond to
that request within the Contractor’s estimated response time plus 10% of that
time.
If the Contractor’s ability to respond to a Subject Information Request is
outside the Response Capability and the Contractor reasonably believes that at
its current workload it may never be able to respond to that request, it shal!
notify POCL of that fact and POCL may nevertheless request the Contractor to
respond to that request as soon as reasonably practicable. POCL acknowledges
and agrees that for so long as the Contractor’s ability to respond to such
requests remains outside the Response Capability, the Contractor will not be
able to respond to them.
Uniess agreed otherwise, the Contractor’s response to each Subject Information
Request shall be in the form of an Excel (or other equivalent product)
spreadsheet and shall be provided to POCL (or the relevant Data Controller) on
CD ROM.
The Contractor shall seek to accommodate the priorities (of which it is
notified) of POCL for Subject Information Requesis to be responded to in a
particular order. POCL agrees that if by accommodating such priorities, the
Contractor would be unabie to achieve a time limit for a Subject Information
Requesi to which the Contractor is responding or is required to respond, that
time limit shall not be applicable and (unless otherwise agreed) the Contractor
shall respond to such request as soon as reasonably practicable
{f the number, type and frequency of Subject Information Requests the
Contractor receives from POCL and/or Data Controllers are such that some or
all of those requests are not being responded to within applicable time limits or
the Contractor’s ability to respond is or is forecast to be outside the Response
Capability the following shall apply:
(i)The parties shall assess the need for changes to the relevant system
architecture and/or investment in additional hardware, software or other
equipment to enable forecast numbers of Subject Information Requests to be
responded to within applicable time limits, with any necessary consequential
changes having been made to the Response Capability; and
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2.3.15
2.3.16
2.3.17
2.3.18
(ii) Any such investment shall be the subject of a CCN and shall not be
undertaken by the Contractor without POCL’s prior agreement.
In respect of any Subject Information Requests to which paragraph 2.3.14 does not
apply, the Contractor shall respond to those requests as soon as reasonably
practicable taking into account the time limits notified to the Contractor for those
requests and the technical limitations of any systems used io source the information
requested. .
POCL shall:
(a) be responsible for referring subject information requests received by it from the
Contractor to the appropriaie Data Controller;
(b}) promptly notify the Contractor when POCL becomes aware that the
Contractor's assistance is required with a Subject Information Request; and
(c) pay the Contractor's Charges for assisting with Subject Information Requests
(but not for referring Subject Information Requests io POCL or to third party
Data Controllers, for which POCL shall not be charged) such Charges to be
calculated on a time and materials basis using the Contractor’s rates set out in
paragraph 14 of Schedule Al2.
Audit
If requested by POCL, the Contractor will allow reasonable access to its data
processing facilities and allow its procedures and documentation to be submitted for
inspection (on the Contracior’s premises) by the auditors of each Data Controller in
order to ascertain compliance with the terms of this Codified Agreement. POCL
shall give the Contractor reasonable notice of such access and/or inspection being
required by a Data Coniroller. The Contractor’s charges for assistance provided to
POCL or a Data Controller for the purposes of such access or inspection (which shall
be paid by POCL) shall be calculated on the basis of the Contractor's rates set out in
paragraph 14 of Schedule Al2. ,
Security and disclosure of Personal Data
The Contractor shall at all times:
(2) preserve the integrity of Personal Data; and
(b) maintain security over Persona! Data
in accordance with the provisions of this Codified Agreement, including (but not
limited to) paragraph 4.1 of this Schedule A02. “
The operational and technological processes and procedures in place to safeguard
against any unauthorised access, loss, destruction, theft, use or disclosure of Personal
Data shail be those which relate to POCL Data set out in this Codified Agreement.
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2.3.20
The Contractor shall not disclose any Personal Data to any person except to such of
its employees, agents, sub-contractors, third parties performing software maintenance
or support and consultants who require that information in order for the Contractor to
perform its obligations under this Codified Agreement. Prior to disclosing Personal
Data or any portion thereof to such employees, agents, subcontractors, third parties or
consu!tants, the Contractor shal} ensure the relevant employee, agent, subcontractor,
third party or consultant is subject to a written contract with the Contractor requiring”
them to comply with the Contractor’s obligations herein regarding the security and
contidentiality of the Personal Data and to comply with the Contractor's instructions
in processing it. The Contractor must not knowingly cause or allow an employee,
agent, subcontractor, third party performing software maintenance or support or
consultant to process Personal Data in a way that the Contractor would not itself be
entitled to process it under this Codified Agreement.
The Contractor may disclose or transfer cutside the European Economic Area
Personal Data which are an integral part of diagnostic data or data generated for
diagnostic purposes subject to and in accordance with the provisions of paragraph
2.3.20 of this Schedule A02 and subject to the proviso that either: the written contract
referred to in that paragraph contains such other provisions (in addition to those
relating to security and confidentiality of the Personal Data) as are necessary to
satisfy the requirements of the eighth data protection principle of the Data Protection
Act 1998; or those requirements are otherwise satisfied or do not apply. The
Contractor shall notify POCL in writing whenever Personal Data are disclosed or
transferred outside the European Economic Area in accordance with this paragraph
2.3.21, such notice to state who such Personal Data have been disclosed or
transferred to and the purpose of such disclosure or transfer and to contain, in general
terms, a description of such Personal Data.
2.3.22 Except as permitted by paragraph 2.3.21 of this Schedule A02, the Contractor shall
not transfer Personal Data outside the European Economic Area.
Indemnity
3.23. The Contractor shall indemnify POCL in respect of all claims, demands, actions,
costs (including legal costs), expenses, losses and damages arising from.or incurred
by reason of any breach by the Contractor of any of paragraphs 2.3.6, 2.3.8 to 2.3.12
(inclusive), 2.3.14 (other than 2.3.14(b)(i)), 2.3.15, and 2.3.17 to 2.3.22 (inclusive)
provided that such breach caused a Data Controller to {ail to comply with the Data
Protection Act 1998 and to the extent such claims, demands, actions, costs (including
legal costs), expenses, losses or damages arise in connection with that failure.
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2.3.24 Without limiting the generality of Clause 609 of this Codified Agreement, the
Contractor shall if and when it is acting as a Data Controller rather than a Data
Processor of Personal Data:
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(a) ensure that having regard to the purpose or purposes for which Personal Data
were obtained and further processed, it has taken reasonable steps to ensure the Es
accuracy of the Personal Data;
(b) — ensure that its notifications to the Information Commissioner are correct and up
to date:
(c) respond in a timely fashion to all subject information requests in relation to
Personal Data; and
(d) respond in a timely fashion to all requests for information or assistance from
the Information Commissioner.
3. EQUIPMENT STANDARDS
3.1. The Contractor shall ensure that all Equipment is rated for continuous operation, and
is capabie of functioning safely and reliably for an unlimited period, attended or
unattended, in the installed environment.
3.2. Each installation of such Equipment shail be physically and electrically safe and in
compliance with relevant legisiation and recognised best practice. Such installation
shall not cause interference with other devices. Such Equipment may be required to
be installed in residential premises. The provisions of this paragraph 3.2 shall not
apply in relation to the installation of PIN Pads where that installation is carried out
by POCL or by a third party on behalf of POCL except where carrying out that
installation in accordance with the CCD entitled “Pin Pad Technical Installation
Training Guide” (IM/MAN/022) has directly resulted in that installation being non- &
compliant with relevant legislation or recognised best practice or not being physically
or electricaliy safe. [R474 para 2]
3.3. Not used.
3.4. 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 so as to be
compliant with any subsequent jegislation or mandatory standards. [R474 para 2(a)
and (b)} Ifthe requirements of any subsequent relevant legislation, mandatory
standards and/or recognised best practice relate to implementations in respect of PIN
Pads, POCL shall be responsible for all reasonable costs incurred by the Contractor
(including those of its agents, consultants and /or subcontractors) in complying with
its obligation under this Schedule to maintain PEN Pads and their installations in
compliance with such requirements.
3.5. It shall be possible to prove compliance with legislation or mandatory standards as
and when necessary. [R474 para 4] :
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3.6. The Contractor shal] ensure that afl information technology, telecommunications or
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3.14.
3.15.
electrical business Equipment (including but not limited to PIN Pads but not the
power supply thereto) complies with BS EN 60950:2000 and any subsequent
amendments, and that Equipment comprising AC power adapters (which for the
avoidance of doubt excludes PIN Pads) complies with BS EN 60065:1998.
The Contractor shall ensure that workstation aspects of the Equipment, excluding, for
the avoidance of doubt, PIN Pads and any other equipment which is used
predominantly by Customers rather than by Users, 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.
Not used. .
The Contractor shall ensure that all electrical Equipment complies with:
(a) the Radio Equipment and Telecommunications Terminal Equipment
Regulations 2000 and regulations 5 and 7 of the Electrical Equipment (Safety)
Regulations 1994; and
(b) the requirements of BS 7671: 2001 in relation to the method of connection to
the main supply and associated equipment earth leakage currents, insofar as it
applies to the equipment supplied by the Contractor at the point of connection.
Not used.
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 shat! ensure that any Equipment connected, or intended for
connection, to weighing devices meets the requirements of the Non-automatic
Weighing Instruments Regulations 2000 [Schedule 3 Applications]
The Contractor shall ensure that all visuai display terminal Equipment (including
without limitation keyboards but excluding PIN Pads) complies with the relevant
requirements of ISO 9241:1992.
The Contractor shail ensure that all Equipment that falls within the scope of either :
(a) the Electromagnetic Compatibility (“EMC”) Regulations 1992, which
implement Council Directive 89/336/EEC (as amended by Directive
91/26/EEC, Directive 92/3 1/EEC and Directive 93/86/EEC); or
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3.16.
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(b) the Radio Equipment and Telecommunications Terminal Equipment
Regulations 2000, which implement Council Directive 1999/5/EC and which
replaced the provisions in the regulations referred to in paragraph 3.15(a)
relating to radio and/or telecommunications terminal equipment,
complies with those Regulations.
"The Contractor shall ensure that Equipment covered by EN45501:1992 complies
with clause 4.5 (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 of the
environment in which it is installed, and shall in no event exceed 60dB(A) when
measured at a distance.of 1 metre: and in accordance with ISO 7779.
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.
The Contractor shall ensure that Equipment complies with EN 35022 (Emissions)
Information Technology Equipment — Radio Disturbance Characteristics - Limits
and Methods of Measurements.
POCL’S POLICIES AND STANDARDS
Security Policy [all from R698]
The Contractor shall minimise and control liabilities to itselfand POCL.
-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;
(c) security education and training;
(d) _ reporting security Incidents;
. (2) physical security control,
(f) virus control:
(g) business continuity;
(b) control of Software;
(i) safeguarding POCL records;
(j) information classification;
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4.1.3.
4.1.7.
(k) compliance with data protection and other legislation;
(1) information exchange control;
(m) Coniractor's sub-contractors and suppliers;
{n) compliance with security policy;
(o) the management of fraud and risk during POCL Service operation compatible -
with Clause 106.10.
The Contractor shall be compliant with ISO 17799.
Security Standards
The Contractor shall adhere to the relevant parts of POCL’s security standards and
requirements listed below, and co-operate with POCL to assist POCL in complying
with those standards and requirements:
(a) ‘Social Security IT Security Standards’ to the extent applicable to OBCS and to
the POCL Infrastructure Services necessary to deliver OBCS;
(b) © ‘Post Office Counters Information Systems Security Policy’; and‘
(c) A Code of Practice for Post Office Information Systems Security’.
Any changes to the list in paragraph 4.1.4. shall be made in accordance with Clause
101.2.
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,
where relevant capable of certification) in accordance with the requirements of the
law in relation to criminal proceedings including (without limitation) 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]
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4.2 Audit
4.2.1. The Contractor shali comply with the audit standards described in Schedule 403.
4.3. Training and Training Material
4.3.1. The Contractor shall prepare all training events and training material - and, where
required by the Codified Agreement te provide them, shall provide such training
events and training material - used to train POCL’s staff or agents and the POCL’s
Agents and their staff or agents, in conformance with either:
(a) _ the Kirkpatrick structured training evaluation methodology (levels I to 2 for all
training events and documentation);; or
(b) any alternative structured training evaluation methodology which the
Contractor may propose, subject to obtaining the prior written agreement of
POCL.
4.3.2. Paragraph 4.3.1 above shali not apply in respect of the NBS, the PIN Pad
Implementation Service or any other POCL Service which may be agreed after
approval of the CCN introducing the NBS.
4.4, Documentation
4.4.1. The Contractor shall ensure that al! documentation, whether paper-based or
electronically produced, relating to the POCL Services, harmonises with the design
principles identified in Design Standards Volume 1: Identity System [POCL Visual
Identity Design Applications Guideline], unless prior written consent to the contrary
has been obtained from POCL.
4.4.2. The Contractor shall ensure that all materials which are used for producing ©
documentation relating to the POCL Services, conform to relevant parts of Guide to
Environmental Best Practices in Post Office Counters Limited [POCL’s
Environmental! Policy Summary].
3. CONTRACTOR’S POLICIES AND STANDARDS
5.1 Quality Management System
5.1.1. The Contractor shall operate a quality management system which complies with BS
EN [SO 9001:2000 for all its activities within the scope of the Codified Agreement.
5.1.2. The quality management system shal! be applied to all aspects of the delivery of
POCLE Services hereunder.
5.1.3. 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
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(b) in addition, within twenty (20) Working Days of any such request.
The Contractor shall within one (1) month of each audit :
(a) provide POCL with copies of ali reports produced by the auditor on the quality
management system, and
(b) 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, the Horizon OPS Style Guide.
The Horizon OPS Style Guide 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 Cierks, 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.
ADDITIONAL NBS POLICIES AND STANDARDS
Encryption keys used that could directly or indirectly expose piain text PIN values
and any keys used in association with MACs shall be managed in accordance with
the principles established in ISO 8732 and ISO 11568 as applicable.
The key management scheme used between each PIN Pad and the rest of the POCL
Service Infrastructure shall be the DUKPT scheme as defined by Section 4.7 and
Appendix A of the ANSIX9.24-1998 standard.
The HSM shall be conformant to the standards set out in the versions of [FIPS 140-1
level 3 and ISO 9564 1“ edition 1991 section 6.3.1 as specified in the LINK
information security standard issued January 2001 (subject to such dispensations
from that Standard as LINK may grant from time to time).
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SCHEDULE A04- CONTRACT MANAGEMENT
reference, as me 7
1.0 I Initial baseline version 28 July 1999
13a Incorporation of new board structure plus
I escalation principles
3.0a Changes introduced by CCN 830a
3.0b Changes introduced by CCN 985 ~ 21/06/02
4.01 New Schedule introducing Network Banking
Service
4.0 To introduce Network Banking Service 24/06/02
1, OBJECTIVES OF CONTRACT MANAGEMENT
LA. 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.
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 the Codified Agreement.
2. ORGANISATION
21 General
2.1.1, “Management Table” means the table set out in the Annex to this Schedule. .
2.1.2. The Contractor and POCL shall establish each of the boards contained in the row
headed “Board” of the Management Table no later than the date contained in the row
headed “starting date” of the said table.
2.2. Purpose
2.2.1. The purpose of each Board shall be as set out in the row headed “Purpose” of the
Management Table in the column for that Board.
2.2.2. The meeting secretary of each Board shail record and issue a record of agreed
decisions and actions arising out of a meeting of that Board.
23. Frequency
2.3.1. The frequency of the meetings of each Board shall be as set out in the row headed
“Frequency” of the Management Tabie in the column for that Board or such other
times as that Board may agree. .
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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 Lo attend that meeting. .
The attendees of meetings of each Board may, with both parties’ consents (such
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.
Escalation
In the event that a meeting of a Board decides that it has an issue to resolve which is
outside its authority or which requires expertise not provided by its usual attendees,
the POCL Approval and the Contractor Approval for that Board shall prepare an
agreed joint written statement of the issue and arrange either:
© resolution of the issue through ad hoc discussions and correspondence between the
relevant experts and authorised decision makers of POCL and the Contractor; or
* attendance by the relevant experts and authorised decision makers of POCL and
the Contractor at the next meeting of the Board (which may, by agreement, be a
special meeting) to address that specific issue. .
CROSS PROJECT ISSUES
Where the Contractor becomes aware of an urgent cross-project issue which it has
been unable to resolve by other means, it may request an urgent meeting. Such
requests shall be made to the Post Office Ltd Programme Integration Director, or in
his absence to the Programme Integration Manager, who shall decide whether a
meeting is required.
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CODIFIED AGREEMENT SCHEDULE A04 RESTRICTED CONTRACTS,
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CONTRACT MANAGEMENT.
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CODIFIED AGREE)
SCHEDULE A04 RESTRICTED CONTRACTS
Annex to Schedule Ad
Management Table
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CONTRACT MANAGEM
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CODIFI
26 JUN 2002
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af
ED AGREEMENT
Ersign eel
BRE: ference eee: Sana pase :
1.0 Original Baseline 28 July 1999
2.0a Applying CCN679b to 4.2
2.0 Baseline of 2.0a 12 January 2001
4.0e New Schedule introducing Network Banking Service 21/5/02
4.0 To introduce Network Banking Service 21/06/02
1. PURPOSE
LL. This Schedule sets out the-approach to remedies which shall be applicable to all
POCL Services.
2. GENERAL PRINCIPLES
2.1 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.
2.2. 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 will be compensated for loss or damage which it incurs as 2 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.
2.3 The limits on the Contractor’s liability contained in Clause 810 shall apply to
. financial remedies due in accordance with this Schedule.
3. APPLICATION TO SERVICES ~
3.1. For each POCL Service supplied under the Codified Agreement the relevant Service
Levels and Remedies Schedule shall define the measures of Service Levels and
remedies.
4 SERVICE LEVELS
4.i) There are two (2) Service Level thresholds:
(a) Minimum Acceptable Threshold;
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CODIFIED AGREEMENT SCHE.
ULE AOS RESTRICTED CONTRACTS
4.4,
4.6.
(b) Termination Review Threshold.
Unless specified otherwise in the relevant Service Level Schedules, Service Levels
shail be measured and reported over Service Level Measurement Periods and using
metrics defined for each POCL Service. Additionally, unless specified otherwise in
the relevant Service Level Schedules, a!l 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. .
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 Schedules.
Unless specified otherwise in the relevant Service Level Schedules, 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.
Unless specified otherwise in relevant Service Level Schedules if the level 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
If POCL decides not to exercise its termination rights hereto, then
rectification of the Default shall be made in accordance with paragraph 7.
Subject to paragraph 1.4 of Schedule NO8, no Service Level threshold of the types
defined in paragraph 4.1 of this Schedule AOQ6 shall apply to the NBS until the first
complete Service Level Measurement Period following NBS Acceptance.
For the periods in which the NBS and/or the Existing Services are suspended in
accordance with paragraph 5.3.3.5 of Schedule GOl, measurements of the
Contractor’s performance in respect of all Service Levels detrimentally affected by
such suspension (in respect of the NBS and. the Existing Services) shall be
disregarded and the Contractor shall be released from those of its obligations in
respect of those: services which it is unable to perform as a result of such
suspension. -
PAYMENT OF REMEDIES
The remedies due shall be available in the form specified in Clause 802.
CALCULATION OF TOTAL COMPENSATION DUE
[not used]
{not used]
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CODIFIED AGREEMENT SCHEDULE A06 RESTRICTED CONTRACTS
6.3. The remedies due to POCL from the Contractor in accordance with paragraph 4 are
cumulative.
6.4. Without prejudice to paragraph 4.4, in the event that a POCL Service meets the
threshold in paragraph 4.1 (b) but fails to meet that in paragraph 4.1 (a), the Service
Credits and liquidated damages for such failure shall be POCL’s exclusive remedy
in damages for such failure.
6.5. Without prejudice to paragraph 4.4, in the event that a POCL Service fails to meet
the threshold specified in paragraph 4.1(b), liquidated damages shail be payable to
the extent the POCL Service fails to mect 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.
7. RECTIFICATION IN CASE OF SERIOUS FAILURE
FA 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 the Default.
7.2, In the event that the rectification plan involves a change to the provision of the
POCL Services, the procedures set out in Schedule A5 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.
7.3. 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.
7.4, Without prejudice to POCL’s 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. .
A021300030_1.D0C
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CODIFIEDAGREEMENT = ———~—s«SCHEDULE AO?
26 JUN 2002
SCHEDULE A7 - CONTRACT TERMINATION
Version I Reason for Change Frozen/Issue Date
Reference
4.0d
New Schedule to introduce Network Banking 20/6/02
Service
4.0
To introduce Network Banking Service 21/06/02
INTRODUCTION
This Schedule covers the responsibilities and payments-relaied 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;
(0) termination of the Codified Agreement before its expiry without
Contractor Default;
(c) termination of the Codified Agreement at its expiry.
In any of 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-operate with POCL or the replacement contractor as
required in order to fulfil the 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.
Where the Contractor.has an identical obligation under this Schedule and under
Schedule N06:
.5.1 the Contractor shali be obliged to perform that obligation once only; and
to the extent the Contractor’s performance of that obligation relates:
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b
i)
to POCL Services other than the NBS and the PIN Pad [mplementation Service,
such performance shall be deemed to have taken place under this Schedule A07;
and
to the NBS or the PIN Pad Implementation Service, such performance shall be
deemed to have taken place under Schedule N06.
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.
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 shail enter into 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.
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io
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;
ti resources;
ili. assumptions;
iv. activities;
v. 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 shail 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 applicabie in case of
Default). .
Where a Termination Charge is payable to the Contractor, such payment shall be
equal to X+Y+Z, where:
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(@)
(b)
()
X shall be £543 million less:
(i) an amount equal to 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
(ii) 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
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
Z shall be an allowance for lost profit, equa! to 15% of (4
where:
B-C-D)
Ashall be equal to the aggregate of:
@)
Gi)
the Periodic Payments for each Operating Fee Period
ended prior to the date of termination fess the aggregate of
all instalments of the Monthly Operating Fee (as defined in
paragraph 5.1 of Schedule Al2) received by the Contractor
prior to the date of termination;
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 shall 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
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41.2
4.1.3
D shall be equal to the aggregate of all permitted non-payments
of, or reductions in, the Monthly Operating Fee accrued prior to
the date of termination under paragraphs 5.5, 5.6 and 5.9 of
Schedule Al2.
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;
(c) a proposed physical transfer method;
(d) @ 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 wansfer 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
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4.3
iv
are essential to the delivery of any of the POCL Services. The purpose of
each component shail 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 pian developed under paragraph 4.2.2 above.
Transfer Payment
The Transfer Payment for the purposes of Clause 903.1 of the Codified
Agreement shall be as follows:-
4.3.1 ifthe 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;
43.2. Ifthe option under Clause 903.1 is exercised in circumstances in which a
Termination Charge is payable the Transfer Payment shall be £1; and
4.3.3. in all other cases the Transfer Payment shall be an amount equal to
4 yp wi
Beene where
A= the number of Outlets to which, on the date of termination, Roll Out
shall have occurred since the later oft-
(i) the date of the Codified Agreement; and
(ii) the time when Roll Out occurred 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 I of Schedule
A12 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 tigger the entitlement of the
Contractor to its most recent Progress Payment under
Schedule Al2 (or which would have triggered’ such
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entitlement had the time in question not occurred prior to
the date shown in Column 2 of the table in paragraph 1 of
Schedule A12 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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26 JUN 2002
CODIFIED AGREEMENT SCHEDULE A07 RESTRICTED CONTRACTS
SCHEDULE A7 - CONTRACT TERMINATION
Version Reason for Change Frozen/Issue Date
Reference
4.0d New Schedule to introduce Network Banking 20/6/02
Service
4.0 To Introduce Network Banking Service 21/06/02
1. INTRODUCTION
1.1 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;
(b) termination of the Codified Agreement before its expiry without
Contractor Default;
(c) termination of the Codified Agreement at its expiry.
In any of 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 *
shal] use all reasonable endeavours to ensure the smooth transition of the POCL
Services and shall co-operate with POCL or the replacement contractor as
required in order to fulfil the 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.
Where the Contractor has an identical obligation under this Schedule and under
Schedule N06: :
1.5.1 the Contractor shall be obliged to perform that obligation once only; and
to the extent the Contractor’s performance of that obligation relates:
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1.5.2
1.5.3
2.1.2
2.2.1
2.2.4
to POCL Services other than the NBS and the PIN Pad Implementation Service,
such performance shall be deemed to have taken place under this Schedule A07;
and
to the NBS or the PIN Pad Implementation Service, such performance shall be
deemed to have taken place under Schedule N06.
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.
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 into 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 shal! schedule all necessary resources to fulfil the training plan,
and deliver the training as agreed with POCL.
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2.3.2
3.1
3.2
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;
i. resources;
iii. assumptions;
iv. activities;
v. 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 shal] 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+Z, where:
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{a)
(b)
(c)
X shall be £543 million less:
(i) an amount equal to the aggregate of all payments received by the
Contractor prior to the date of termination by way of Rol] 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
(ii) 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
¥ 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
Z shall be an allowance for lost profit, equal to 15% of (A+B-C-D)
where:
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 Al12) received by the Contractor
prior to the date of termination;
(ii) the aggregate of the RP] 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 shail 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 shall 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
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42
D shall be equal to the aggregate of all permitted non-payments
of, or reductions in, the Monthly Operating Fee accrued prior 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;
(c) 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
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are essential to the delivery of any of the POCL Services. The purpose of
each component shall be included in the list.
4.2.2. 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 shall be as follows:-
4.3.1 ifthe 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 A12 the Transfer Payment shall be £1;
4.3.2 Ifthe option under Clause 903.1 is exercised in circumstances in which a
Termination Charge is payable the Transfer Payment shall be £1; and
4.3.3. in all other cases the Transfer Payment shal] be an amount equal to
A
el xD where
A= the number of Outlets to which, on the date of termination, Roll Out
shall have occurred since the later of:- .
(i) the date of the Codified Agreement; and
(ii) the time when Roll Out occurred 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
A12 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
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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);
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.
#544965v2
26 JUN 2002
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CONTRACTS
CODIFIED AGREEMENT SCHEDULE A0& REST.
SCHEDULE A08- SUBCONTRACTORS
Version [Reason for Change Frozen/issue
Reference I date
1.0 I Original baseline 28 July 1999
4.0b INew Schedule to inroduce NetworkI20 June 2002
I Banking Service
4.0 [To Introduce Network Banking Service 21/06/02
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.
The Escher Group Limited
- Post Office Counter
Automation Network
Software and Consultancy;
- Design, development and
support of RIPOSTE and
WEBRiposte middleware.
Fujitsu Consulting Limited
Development and support of
the data warehouse
Fujitsu Services Limited
Provision of maintenance
services and Operational
Business Change services
for OPS hardware;
Operation of Horizon System
Help Desk and service
Management centre.
Support of the Contractor’s
data warehouse MIS system,
which records and stores
transactions;
Operation of TMS system and
Client links network.
Hypercom Financial
Terminals AB
PIN Pad design and
development .
KnowledgePool Limited
(formerly ICL Training
Services Limited
Provision of awareness and
training courses for POCL
staff.
SUBCONTRACTORS
Version 4.0
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CODIFIED AGREEMENT SCHEDULE A08 RESTRICTED - CONTRACTS
SUBCONTRACTORS: Page 2 of 2 Version 4.0
eo
CODIFIED AGREEMENT
26 JUN 2002
SCHEDULE A038
RESTRICTED - CONTRACTS
SCHEDULE A08- SUBCONTRACTORS
Version
Reference
Reason for Change
Frozen/issue I
cate : I
7
Original baseline
28 July i999 I
4.
New Schedule to
Banking Service
inroduce
Network I 20 June 2002
To Introduce Network Banking Service
21/06/02
Pathway'’s Subcontractors, together with a description of
their areas of xresponsibility, are listed in the
following table.
SUBCONTRACTOR RESPONSIBILITY
Energis Commun
Limited
ecommunications lines
services.
The Escher Group Limited
- Post Office Counter
Automation Network
Software and Consultancy;
- Design, dev nt and
support of RIPOSTE and
WEBRiposte idleware.
Fujitsu Consulting Limited
Development and support of
the data warehouse
Fujitsu Services
Provision of maintenance
services and Operational
Business Change services
for OPS hardware;
Operation of Horizon System
lp Desk and service
management centre.
Support of the Contractor’s
data warehouse MIS system,
ch records and stores
nsactions;
Operation of TMS system and
Client links network.
Hypercom Financial
KnowledgePool L:
(formerly ICL Tr
Services Limited)
SUBCONTRACTORS Pace 1 of
Version 4.0
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CODIFIED AGREEMENT SCHEDULE AOS RESTRICTED - CONTRACTS
SUBCONTRACTORS
CODIFIED AGREEMENT SCHEDULE A10
26 JUN7002 __GRO
SCHEDULE A10- ORDERING, INVOICING AND PAYMENT
Bay ae zenissue d
references. 4 i : pees
1.0 Oniginal baseline 28 July 1999
14a Applying CCN617 to 10.2, 10.3; CCN634 to 2.2
L4 Baseline copy of Lda 21 July 2000
2.0a Applying CCN413b to 5.2
2.0 Baseline of 2.0a 12 January 2001
3.0a Applying CCN768 to 2.3 & 8.1;
3.0 Baseline copy of 3.0a I 19 September 2001
3.la Applying CCN903 to 4.5 & 9.1.iii .
4.0 New Schedule to introduce Network Banking I 20/06/02
[Service :
1. PURPOSE
Ld. 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
1.2. “POCL’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.
1.3. In the event of Additional POCL Services and Additional Products being identified,
. the Change Control Procedure shail apply.
2. AUTHORISED ORDERING POINTS
21 In the event that POCL shal! 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.
2.2 The ordering points for Operational Business Change shall be as set out in ICL
Ordering, invoicing and Payment
Pathway/POCL Interface Agreement for Operational Business Change — Outlet; or
“Sera
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e
CODIFIED AGREEMENT SCHEDULE Al0 RESTRICTED CONTRACTS
ICL Pathway/POCL Interface Agreement for Operational Business Change — Product
as appropriate. 76
2.3. The following nominated ordering points shall be authorised to place orders for other
Optional POCL Services and for other Optional Products:
Head of Horizon Commercial, Post Office Counters lid., Calthorpe House, 15-20 e
Phoenix Place, London, WCIX 0DG
3. ORDERING
3.1. POCL shail be entitled to place purchase orders in respect of the following in 8
accordance with this paragraph 3:
(a) for POCL Consumables pursuant to Clause 208;
. (b) for Optional Products pursuant to Clause 206, ©
(c) for Optional POCL Services pursuant to Clause 202.
3.2. 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. :@
3.3. The purchase order shall be uniquely numbered and will contain the following
information as a minimum:
(a) product code;
(b) product description;
(c) unit price;
(d) quantity required;
(e) order value (excluding VAT);
(f) date of order;
(g) order reference number:
(h) order originator;
{i) required delivery date/timetable;
G) delivery point;
(k) invoice point.
3.4. The Contractor shall use reasonable endeavours to confirm receipt of the purchase
order as soon as possible but in any event shail send to the relevant nominated
2.0
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CODIFIED AGREEMENT SCHEDULE A10 RESTRICTED CONTRACTS
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:
wa
in
ry (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.
3.6. In the event that the Contractor indicates on the order confirmation that the order will
e- 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 shal] not constitute a breach of the 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 seek to exclude the general application of such Clauses and Schedules in relation
to the order in question.
4. FREQUENCY AND TIMING OF INVOICES
4A. 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 (save as provided in paragraph 4.5 of this Schedule), calendar
monthly in arrears. For the purposes of this Schedule A10 each calendar month
* shail 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
e that calendar month.
42 Save for invoices for the Roll Out Payment (or part thereof), the Contractor shail
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.
43 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 those particular Optional POCL Services or Optional Products.
44. The Contractor shall raise invoices for POCL Consumables foliowing the acceptance
of the POCL Consumables by POCL’s designated delivery point.
45 The Contractor shall raise invoices and/or credit notes (as required) in accordance
with paragraph 23 of Schedule Al? in respect of its Charges under the Network
Banking CCNs and/or for its Charges for the NBS due on the date of approval by
both parties of the CCN which introduces the NBS.
s0
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Ordering, Invoicing and Payment
CODIFIED AGREEMENT SCHEDULE AlO RESTRICTED CONTRACTS
4.6
um
iv
Ue
ip
5.4
uw
in
Ordering, invoicing and Payment
Notwithstanding the above, invoicing in respect of further releases of Software to
which Clause 301.10.1.2 applies shall be dealt with as agreed by the parties at the
time.
INVOICE DESIGN
The Contractor shall invoice separately for POCL Services, POCL Consumabics and
Optional Products.
The Contractor shall only submit invoices which conform to the design specified in
the CCD ICL Pathway Invoice Layouts (PA/PRP/002). 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.
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, the NBS, the PIN Pad Implementation Service and each
Optional POCL Service on each invoice raised.
The Contractor shall include, as a minimum, the following information on cach
POCL Service invoice submitted:
(a) invoice date;
(bd) . such purchase order number as may have been supplied by POCL to the
Contractor;
(c) Invoicing Period;
(d) the Contractor’s address and reference number for ACT purposes;
(e) the Contractor’s VAT number
(f) the POCL invoice address;
g) the total charge per POCL Service;
(h) Service Credits applied;
(i) discounts for early invoice settlement;
Gj) other adjustments made.
The Contractor shall include, as a minimum, the following information on each
Optional Product & POCL Consumabies invoice submitted:
(a) invoice date;
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CODIFIED AGREEMENT SCHEDULE A!10 RESTRICTED CONTRACTS
6.1.
_(b) — the purchase order number;
(c) the Contractor’s address and reference number for ACT purposes;
(d) the POCL invoice address;
(e) _ the delivery point;
(the delivery date;
{g) description of goods supplied;
(h) quantity of goods supplied
(i) unit price of goods supplied;
G) total invoice value excluding VAT,
(k) VAT charged;
(1) 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:
(a) 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
(c) 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 shali 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 catried forward
and the adjustment to the first and subsequent interim invoices in respect of the
following Invoicing Period shall take account of such carried forward remedies.
Ordering, Invoicing and Payment ° Paesof? SS — 20,
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CODIFIED AGREEMENT SCHEDULE A10 RESTRICTED CONTRACTS
7A.
7.3.
74.
81.
Ordering, Invoicing ang Payment
FINAL YEAR RETENTION
For the penultimate and pre-penultimate invoices in the final quarter of the Codified
Agreement, the Contractor shall:
(a) I 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.
This paragraph 7.1 shall not appiy in respect of the Charges in the table in paragraph
17.3.2 of Schedule Al2 which shall not be included in the Charges for the purposes
of (a) above and shall be invoiced in full when due.
*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 to LIBOR plus I per cent for the periods of the
retentions;
(d) plus VAT at the prevailing rate.
POCL shall 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:
The Horizon Commercial Manager, Post Office Counters Ltd., Calthorpe House, 15-
20 Phoenix Place, London, WCLX 0DG.
The Contractor shall submit mvoices relating to Optional Products and POCL
Consumables to the following address:
The Invoice Matching Section, Chetwynd House, Chesterfield, Derbyshire. S49 PF.
40"
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CODIFIED AGREEMENT SCHEDULE A10 RESTRICTED CONTRACTS
9.3.
10.
10.1.
Ordering, Invoicing and Payment
PAYMENT OF INVOICES
The Horizon Commercial Manager shall review the invoices and shall authorise valid
invoices for payment.
Payment of Charges in relation to the POCL Services performed hereunder shall be
made:
i. 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;
ii. 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 I 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;
tii, in the case of payments to which Clause 301.10.1.2 applies, as agreed by
the parties at the time; and
iv. 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 reasonabie endeavours to resolve
the dispute within fifteen (15) calendar days of the invoice date.
If the dispute is not 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 Administration Board 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 Contract Administration
Board meeting, either party to the dispute may invoke the Dispute Resolution
Procedure set out in Clause 807.
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CODIFIED AGREEMENT
26 JUN 2002
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SCHEDULE A10- ORDERING, INVOICING AND PAYMENT
1.0 Original baseline 28 July 1999
14a Applying CCN617 to 10.2, 10.3; CCN634 to 2.2
14 Baseline copy of 1.4a 21 July 2000
2.0a Applying CCN413b to 5.2
2.0 Baseline of 2.0a 12 January 2001
3.0a Applying CCN768 to 2.3 & 8.1;
3.0 Baseline copy of 3.0a 19 September 2001
3.la Applying CCN903 to 4.5 & 9.1 iii
4.0 New Schedule to introduce Network Banking I 20/06/02
Service
1, PURPOSE
1d 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.
1.2. POCL’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.
13. In the event of Additional POCL Services and Additional Products being identified,
the Change Control Procedure shall apply.
2. AUTHORISED ORDERING POINTS
2.1. 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.
2.2. The ordering points for Operational Business Change shall be as set out in ICL
Ordering, Invoicing and Payment
Pathway/POCL Interface Agreement for Operational Business Change ~ Outlet; or
igo Ww
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CODIFIED AGREEMENT SCHEDULE A10 RESTRICTED CONTRACTS
ICL Pathway/POCL Interface Agreement for Operational Business Change — Product
as appropriate.
2.3 The following nominated ordering points shall be authorised to place orders for other
Optional POCL Services and for other Optional Products:
Head of Horizon Commercial, Post Office Counters Ltd., Calthorpe House, 15-20
Phoenix Place, London, WC1LX 0DG .
3. ORDERING
w
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;
(c) for Optional POCL Services pursuant to Clause 202.
3.2. 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.
3.3. The purchase order shall be uniquely numbered and will contain the following
information as a minimum:
(a) product code;
(b) product description;
(c) unit price;
(d) quantity required;
(e) order value (excluding VAT);
(f) date of order;
(g) order reference number;
(h) _ order originator;
(i) required delivery date/timetable;
(j) delivery point;
(k} invoice point.
3.4, 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
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CODIFIED AGREEMENT SCHEDULE A10 RESTRICTED CONTRACTS
3.5.
3.6.
41.
4.2.
43.
44.
4s
Srdering invoicing and Payment
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 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 seek 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 A12 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 (save as provided in paragraph 4.5 of this Schedule), calendar
monthly in arrears. For the purposes of this Schedule A10 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 A12 of the
Codified Agreement, in accordance with the charging mechanism and payment
schedule agreed for those particular Optional POCL Services or Optional Products.
The Contractor shall raise invoices for POCL Consumables following the acceptance
of the POCL Consumables by POCL’s designated delivery point.
The Contractor shal raise invoices and/or credit notes (as required) in accordance
with paragraph 23 of Schedule A12 in respect of its Charges under the Network
Banking CCNs and/or for its Charges for the NBS due on the date of approval by
both parties of the CCN which introduces the NBS.
40
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4.6 Notwithstanding the above, invoicing in respect of further releases of Software to
which Clause 301.10.1.2 applies shall be dealt with as agreed by the parties at the
time.
5. INVOICE DESIGN
5.1. The Contractor shall invoice separately for POCL Services, POCL Consumables and
Optional Products.
5.2. The Contractor shall only submit invoices which conform to the design specified in
the CCD ICL Pathway Invoice Layouts (PA/PRP/002). The Contractor shall ensure
that the invoice design conforms to the Customs and Excise requirements for VAT e
purposes. POCL may at any time require the invoices to be submitted in electronic
form.
5.3. 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.
5.4, On POCL Service invoices, the Contractor shall separately identify the Charges for
Core System Services, the NBS, the PIN Pad Implementation Service and each
Optional POCL Service on each invoice raised.
5.5, The Contractor shall include, as a minimum, the following information on each
POCL Service invoice submitted:
(a) invoice date;
(b) _ such purchase order number as may have been supplied by POCL to the
Contractor;
(c} Invoicing Period;
(d) the Contractor's address and reference number for ACT purposes; e
(e) the Contractor’s VAT number
(f) the POCL invoice address;
e
(g) the total charge per POCL Service;
(h) Service Credits applied;
(i) discounts for early invoice settlement; e
(j) other adjustments made. -
5.6: The Contractor shal] include, as a minimum, the following information on each
Optional Product & POCL Consumables invoice submitted:
e
(a) invoice date;
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5.7.
6.1.
6.2.
(b) the purchase order number;
(c) the Contractor’s address and reference number for ACT purposes;
(d) the POCL invoice address;
{e) the delivery point;
(f) the delivery date;
(g) description of goods supplied;
(h) quantity of goods supplied
(i) unit price of goods supplied;
G) total invoice value excluding VAT;
(k) VAT charged;
(1) total invoice value.
jn addition, the Contractor shall provide to POCL together with such invoice, a goods
-reccived 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:
{a) 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
(c) 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 Invoicing Period shall take account of such carried forward remedies.
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CODIFIED AGREEMENT SCHEDULE A10 RESTRICTED CONTRACTS
7. FINAL YEAR RETENTION
7A. For the penultimate and pre-penultimate invoices in the final quarter of the Codified
7.2.
7.4.
8.1.
8.2.
Ordering, Invoicing an
Agreement, the Contractor shall:
(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.
This paragraph 7.1 shall not apply in respect of the Charges in the table in paragraph
17.3.2 of Schedule A12 which shall not be included in the Charges for the purposes
of (a) above and shall be invoiced in full when due.
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 shall
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 to LIBOR plus 1 per cent for the periods of the
retentions;
(d) plus VAT at the prevailing rate.
POCL shall pay to the Contractor the value of the invoice submitted in accordance
with paragraph 7.3.
INVOICING POINT
The Contractor shail submit invoices relating to POCL Services to the following
address:
The Horizon Commercial Manager, Post Office Counters Ltd., Calthorpe House, 15-
20 Phoenix Place, London, WC1X ODG.
The Contractor shall submit invoices relating to Optional Products and POCL
Consumables to the following address:
The Invoice Matching Section, Chetwynd House, Chesterfield, Derbyshire. $49 IPF.
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10.
10.1.
10.2.
PAYMENT OF INVOICES
The Horizon Commercial Manager shall review the invoices and shall authorise valid
invoices for payment
Payment of Charges in relation to the POCL Services performed hereunder shall be
made:
i. 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;
ii. 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;
iti. in the case of payments to which Clause 301.10.1.2 applies, as agreed by
the parties at the time; and
iv. 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 not 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 Administration Board 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 Contract Administration
Board meeting, either party to the dispute may invoke the Dispute Resolution
Procedure set out in Clause 807.
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26 JUN 2002
CODIFIED AGREEMENT SCHEDULE A12
RESTRICTED CONTRACTS
SCHEDULE Al2- CHARGING MECHANISM
[Version reference sIReason for-change'izs anata he Frozenvissue date:
1.0 Original signed version (reformatted) 28 July 1999
12a ‘Applying CCN202 to 10.1; CCN433b to 10.2, CCN560
to 1.1, Annex } Part A, Annex I Part B
1.2b Modifying A12V 12a to take account of the achievement of
1800+ implementations ~ reverting para 1.1; Modifying
CCN202b changes to 10.1, Applying CCN202b to para 15
1.2 Baseline copy of 1.2b 30 November 1999
13a Applying CCN570a to Annex 5; CCN571 to section
5
13 Baseline copy of 1.3a 30 March 2000
14a Applying CCN568d to 7.3, 8.3; CCN612 to 8.2, 8.3,
10.1, 13, 14, 15; CCN 619 to 8.1, 12, Table Annex 5
1.4b Re-applying CCN570a to row 9 of annex 5 (CCN619
allowed that this shoutd be re-applied)
1.4¢ Correcting typo in bullet 5 of note 1 of para 8.3
(CCNS68d included typo). Making date style in table
heading para 14 consistent
L4 Baseline copy of 1.4c 21 July 2000
2.0a Applying CCN670 to section 15, section 16;
CCN655a to 5.10.1- 5.10.4, Annex 1 & Annex
5;CCN6790 to section 16.1
2.0b Adding in omitted words from CCN655a: Word
adjustments in section 16.1 to clarify understanding
of charges in CCN679b
2.0 Baseline copy of 2.0b 12 January 2001
3.0a Applying CCN722 to section 8.3; CCN733b to
section 16.1; CCN756 to 8.2, 8.3, 10.1, 13, 14, 15
and 16; CCN761 to Annex 1
3.0b Rectifying typos in 8.3 and adding in details to 16.1
of CCNs 733b & CCN739
3.0c Amendments to ‘Frequency of charge’ column for
CCN733b & CCN739 to read ‘Annually in arrears’
3.0 Baseline copy of 3.0c 19 September 2001
4.0a Draft following teleconference on 20/06/02 21/06/02
4.0b Draft following agreement to include Charges for 25/06/02
work carried out pursuant to CCN 970a
40 To Introduce Network Banking Service 25 June 2002
PART A-CORE SYSTEM CHARGES
1. ROLL OUT PAYMENT
Ld. The Contractor shall be paid the Rol! 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 I and the final Progress Payment to become due
in accordance with paragraph 4.3 of this Schedule Al2.
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1. Cumulative number of Outlets in the 2. Date
Roll Out Programme
1,800 1/11/1999
5,590 1/5/2000
10,680 1/11/2000
12. ‘The remaining £68 million of the Roll Out Payment (in addition to the £480 million described above)
n
i
2.2.
we
ia
3.4.
Charging Mechanism
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).
FIRST 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 ayailability 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
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 A06) 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 Rol] 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 cach 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.
If, on any date on which payment of any monthly payment in respect of any Availability Fee shall be
due, the net amount of ail 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
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number of Outlets remaining to be installed as at close_of business onthe day. falling. five.business_—___________ __
days prior to that date, expressed as a percentage of the number of Ouilets which remained to be
installed, as at the CS Completion Date, in order to achieve National Roll Out.
37. Upon completion of National Roll Out the remaining balance of the amounts retained pursuant to
paragraph 3.3 shall be released in full to the Contractor.
4. PROGRESS PAYMENTS
4, All Progress Payments to the Contractor will be made in accordance with Schedule A10.
42. 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 .
43. ‘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.
4.4, 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.
4.5, For the avoidance of doubt, transition costs associated with converting existing Benefits Agency
cusiomers with benefit payment cards back to order books have not been taken into account in
calculating the charges set out in this Schedule.
5. OPERATING PAYMENTS
sa For the purposes of this paragraph 5:
“Actual Periodic Payment” means, in respect of any Operating Fee Period, the aggregate of all
Monthly Operating Fees actually paid or payable by POCL in respect of that Operating Fee
Period after taking account of all permitied non-payments, reductions and adjustments accrued
in respect of that Operating Fee Period under paragraphs 5.5, 5.6 and 5.9 of this Schedule
Al;
“Adjustment Amount” means, in respect of each Operating Fee Period, an amount equal to the
difference between the Actual 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 } of the table set out in
paragraph 5.2 below;
“Projected Periodic Payment” means, in respect of each Operating Fee Period, the amount set out
against that Operating Fee 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.
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w
py
5A.
5.2.
“RPI Base Adjustment Factor” means, in respect of each Operating Fee Period, A divided by B
where:
A= the Actual Periodic Payment for that Operating Fee Period; and
B = the Projected 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) 100%; 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 RPI in
respect of the RPI Reference Month for the last month in that Operating Fee
Period;
“RPL 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 shal! be September, 2001); and
“87% Date” means the date on which Roll Out shal] 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).
The Table
1. : 2. 3.
Operating Fee Period Projected Periodic RPI Base Amount
Payment
1/4/2001 - 3171272001 £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 - 31/3/2005 £21.0m £18.1m
In addition to the Roll Out Payment referred to in paragraph I 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 on a monthly basis from 1 April, 2001 in accordance with
this paragraph S. Subject to adjustment pursuant to paragraphs 5.5 to 5.9 of this Schedule AJ 2, the
Monthly Operating Fee in respect of each Operating Fee Period shall be calculated by dividing the
Projected 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 shall
have been achieved then in respect of each month which falls before the CS Completion Date the
Monthly Operating Fee shal] 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.
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5.6. If by 31 March, 2001 the 87% Date shall not have been achieved then the Monthly Operating Fee
shall not commence until the month in which the 87% Date is achieved.
57. 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.
58. ‘The Projected 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 shall be subject 1o adjustment at the end of cach 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 Actual Periodic Payment in respect of that Operating Fee Period;
(b) the RPI Factor in respect of that Operating Fee Period;
(c) 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.
5.8.2 If in respect of any Operating Fee Period the Adjusted Periodic Payment is greater than the
Actual 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
Actual 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.
5.9. The parties acknowledge that with effect from the CS Completion Date the Monthly Operating Fee
includes:
ie) 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
(ii) 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 shalt 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 Jast day of that month to the
number to which Roll Out bad occurred on the last day of the immediately preceding month (after
deducting in each case all Outlets to which Roll Out shall have occurred but which shall have
subsequently closed or ceased to be automated at the relevant time) and dividing by two) bears to
18,527.
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5.10.1 ‘Those Outlets which as at 15 September 2000 are included in the Roll Out Programme and have been
made ready for installation (“RFT”) but which are subsequently closed shall be removed from the
Programme, such removal to be applied to Part A of Annex I to this Schedule as follows, The Outlets
shall be removed on a pro-rata basis from each of the weeks in Part A following a baseline date to be
agreed with POCL. The pro-rating shall be based on the number of Outlets to be removed as a
percentage of the current number of Outlets in Part A from the agreed baseline date,
$.10.2 Those Outlets which as at 15 September 2000 are included in the Roll Out Programme but which are
closed before being made ready for installation shall be removed from the Programme, such removal
to be applied as a reduction to Part B of Annex I to this Schedule as follows. The Outlets shall be
removed on a pro-rata basis from each of the weeks in Part B following a baseline date to be agreed
with POCL. The pro-rating shall be based on the number of Outlets to be removed as a percentage of
the current number of Outlets in Part B from the agreed baseline date.
$.10.3 The number of RFI'd Outlets in Part A of the Roll Out Programme suspended by POCL after 15
September 2000 in excess of the quota allocated to POCL for this purpose (calculated as described
below) shall be removed from Part A and added to Part B of the Roll Out Programme. The Outlets
shall be removed on a pro-rata basis from each of the weeks in Part A following a baseline date to be
agreed with POCL. The pro-rating shall be based oni the number of Outlets to be removed as a
percentage of the current number of Outlets in Part A from the agreed baseline date. The Outlets shall
be added on a pro-rata basis to each of the weeks in Part B following a baseline date to be agreed with
POCL. The pro-rating shall be based on the number of Outlets to be added as a percentage of the
current number of Outlets in Part B from the agreed baseline date. The quota allocated to POCL for
this purpose shall be calculated for each week in question as:
(number of Outlets scheduled for installation in that week ~ number of Outlets planned for installation
in that week) x {64%}.
5.10.4 Those pre-RF] Outlets which are suspended by POCL after 15 September 2000 shall remain in Part B
of the Roll Out Programme provided that they are released by POCL into the Programme in
accordance with paragraph 5.10.8 as Fully Compliant Outlets.
3.10.5 In respect of the following Outlets, Roll Our shall take place under the Operational Business Change
regime (subject to paragraph 5.10.6), namely:~
(a) those Outlets in Part B of the Roll Out Programme; and
(b) those Outlets in Part A of the Roll Out Programme which for reasons other than POCL
withdrawal or suspension from the Programme cannot be installed prior to 12 March, 2001. For the
avoidance of doubt such Outlets shall continue to be regarded as Part A Outlets for Roll Out
milestone purposes.
5.10.6 The cost of installation of Outlets as Operational Business Change as referred to in paragraph 5.10.5
is included in the Roll Out Payment (but without projudice to the provisions of paragraph 6.1 of, and
Annex 4 to, this Schedule Al2) and shall be disregarded for the purposes of calculating other charges
payable from time to time in respect of Operational Business Change, except, in each case, where the
work carried out in respect of the Outlet takes place afier the end of the week commencing 14 June,
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.
3.10.7 Subject to paragraph 5.10.8, Outlets which are transferred to the Operational Business Change regime
under paragraph 5.10.5 shail 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.
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5.10.8
SAL
6.1,
6.2.
Where pursuant to paragraph 5.10.3 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 (except 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 reasonabie
satisfaction of POCL):
(a) that Outlet shall 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 5.10.6 above, but may be required to do so as Operational
Business Change, subject to the norma] 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 ail 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 ({i) 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.
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
bome by the Contactor.
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 A12 shall be
reduced by £500,000 and each of the three subsequent Progress Payments shall be
reduced by £1,500,000;
st
S
i
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 £1, 950per
refresher course.
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74, 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
13. 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 + Ouuets in the Roll Gut
Programme, then Pathway shall provide to POCL such additional laptops at no additional charge.
76. ‘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 taining to a value equivalent to the costs saved under CCN
286(d) as a result of the removal of the Benefit Payment Card.
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CODIFIED AGREEMENT SCHEDULE A12 RESTRICTED CONTRACTS
PART B- CHARGES FOR SERVICES AND PRODUCTS OTHER THAN CORE SYSTEM SERVICES,
8. OPTIONAL POCL SERVICES
81. Operational Business Change
Subject to Clause 202 of the Codified Agreement, 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
A1l2 onan 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.
8.2. Out of Hours Support (Site Visits)
Out of Hours Support (site visits) shall be charged at the hourly raies set out in the table below.
Period Rate per person/hour
From 01/01/2002
(RPI Baseline)
Outside to POCL Core Day £61.76
Saturdays and Sundays £72.98
Public holidays £84.22
Cali-out charge £112.27
8.3. Training
Training provided by the Contractor in accordance with Schedule CO1 paragraph I(a) shall be
charged at the following rates:-
Training Charge from 01/01/2002 (RPI Baseline)
Course Duration No. of Charge Charge (Venue
(Days) Delegates (Venue Incl.) not Incl.)
Counter Managers (1:5 days) 6 £1844.82 £1504.46
Counter Assistants 1 6 £1232.57 £999.95
ECCO+ Counter 1 6 £1232.57 £999.95
Assistants
Combined CM/CA On- (1.5 days) 3 : £751,226
site :
Combined CM/CA in. I (1.5 days) 6 £1844.82 -
KPL Venue
Train the Trainer 5 6 £6819.40 £5005.80
Auditors 2 6 £2342.28 £1866.98
Auditors & Investigators I 3 6 £3337.20 £2703.80
Counter Managers for 3 6 £2839.74 £2227.48
RNMs
Counter Managers for 3 12 £5460.96 £4229.40
HFSOs
* HFSO Refresher i 12 £1950 £1548
(_* HFSO — MiMAN. 4 M2 £4898 £3314
L*HFSO - MiECCO i L12 £1447 £1051
* The courses marked * are fixed price and not related to the RPI baseline
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Notes:
1. The pricing given is based on a standard day rate, as can be seen from the congruence
Charging Mechanism “Page 10 of 52
between courses of the same length. However, there is a variation in price, which is caused
by the number of delegates and the number of the trainers needed to run the course.
Specifics that vary the course price from the standard are as follows:
The course handout is the same size for all courses (barring the Train the Trainer).
Some courses require a higher skilled trainer to run them due to the subject matter (notably the
Auditors, Auditor/Investigators and Train the Trainer courses).
The handout on the Train the Trainer event is a full course kit (including script and OHP slides)
rather than the standard workbook and is charged accordingly.
The Jength of day of the Counter Assistants and ECCO+ Counter Assistants courses incurs an
overtime payment for the trainers presenting the course. This payment is not needed for
the longer duration courses.
* The standard day rate applies for courses of up to 6 delegates. Where a course allows more than 6
delegates, two trainers will be required to run the course. Two vans will also be required to
transport the extra equipment required.
* Courses that have more than 6 delegates require larger classrooms, which are priced at a higher rate.
2. ICL Pathway will determine the venue to be used for these events. However, .if Post Office
Counters Limited wishes to recommend a suitable venue, we will make best efforts to use it
as long as it meets the minimum criteria that ICL Pathway apply to training venues.
3 The specification of the laptop equipment to be used as part of HFSO training events is
held as part of the standard training specification documents. The availability of laptop
PC's is covered in Section 7.4 of Schedule A12 of the codified agreement.
4 ‘The charges above for HFSO MiMAN and MiECCO courses reflect the charges laid out in
Section 7.3 of Schedule Al2 of the Codified Agreement. When the Codified Agreement
was originally drawn up this training was envisaged as one course of 5 days duration, but
has subsequently been split into two courses of 4 days and I days duration with the charge
in 7.3 apportioned between them.
The pricing for the HFSO courses takes into account the need for 2 trainers to attend
each course. The pricing for the HFSO MiMAN and HFSO MiECCO courses is
based on ICL Pathway’s original proposal that a single ICL Pathway trainer would
present the course, supported by a POCL expert. Therefore, the price is lower than
the day rate indicated by the Counter Manager for HFSO and HFSO Refresher
courses.
‘The prices quoted are per course and the number in the column titled “No of Delegates” indicates the
maximum number of delegates. These prices assume that the courses are run during the standard
working week (Monday to Friday, 9am - 6pm). It is also assumed that courses of more than one days
duration are to be run on consecutive days and will not span across weekends.
POCL CLIENT SERVICES
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 Additional POCL Services shall be as agreed between POCL and the Contractor from
time to time.
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101. D104 Weigh Scales - connection service to Horizon platform
10.1.1 D104 scale successfully transferred to Horizon system at time of Horizon system installation
£31.22; or
1104 scale tested but found not to be working at Horizon system installation
£31.22
10.1.2, Subsequent visit to transfer D104 scale to existing Horizon system (charge per visit)
£102.84
10.1.3 ‘The charges stated in 10.1.1] and 10.1.2 above are based on the certified IKg weight held by the
subpostmaster being available.
10.1.4. Supply of second data cable for connection to two Horizon platforms:
. 1 to 1,000 second data cables No Charge
* Over 1,900 (charge per cable) £12.66
10.1.5. Supply thirty (30) 1 kilogram brass working standard weights supplied calibrated to M1 tolerance
£3,559.78 .
10.1.6. POCL shall give not less than one month’s notice in writing that the Contractor is to provide the
certified weights so that it will not impact the installation timetable.
10.1.7, Note that any cables supplied as part of any of the above services become the property and
responsibility of POCL following the successful connection of the D104 weigh scales to the Horizon
platform.
10.1.8. All charges in section 10.1 are from 1/1/2002 (RPI baseline).
10.2. Hardware Euro Capability
10.2.1. Carrying out by ICL Pathway of an analysis to identify needs for “Hardware Readiness”: no charge.
10.2.2. Upgrade the firmware in Ithaca counter printers in the Contractor’s stock (but not installed in Post
Offices) so that they can print the Euro symbol (e): £16.50 per printer upgraded, to a maximum of
18,307 printers.
10.2.3. Upgrade keyboards in the Contractor’s stock (but not installed in Post Offices) so that they have a
Euro symbol (€) on one of the keys: £0.40 per keyboard upgraded, to a maximum of 18,000
keyboards.
10.2.4. In respect of the Additional POCL Services referred to in paragraphs 10.2.2 and 10.2.3 of this
‘Charging Mechanism
Schedule A12, the Contractor will invoice in arrears every fortnight commencing two weeks after the
upgrade programme starts, with payment due 30 days after the date of invoice. Each invoice will be
for upgrades that have actually been carried out by the date of the invoice.
CORE SYSTEM PRODUCTS
‘The costs of supply of Core System Products are included within the Charges referred to in Part A of
this Schedule A12.
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12. OPTIONAL PRODUCTS
12.1 The Charges for Optional! Products shall be the mamufacturer’s recommended list prices from time to
time less the following discounts:-
Product Discount
Back-office printer 20%
Counter printer 40%
12.2 The Contractor shall supply mobile configurations beyond the upper limit specified in Annex 5 to this
Schedule Al2 if requested by POCL with reasonable notice to allow the Contractor to convert fixed
single position gateway configurations to mobile configurations. The supply of such additional
configurations shall be instead of single position gateway configurations, such that the overall
combined number of single position gateway configurations and mobile configurations shall be within
the aggregate of limits of such systems as set out in row S to Annex 5 to this Schedule A2. The
Contractor shall charge POCL £720 per mobile configuration beyond the limit specified in row 8 of
Annex 5 to this Schedule A12.
13. 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 01/01/2002 (RPI
Baseline)
Electrical labour, normal £33.67 per hour
working hours
Materials Cost to the CONTRACTOR’s subcontractor
plus 30%
14, 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, unless expressly provided otherwise, 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 I
From 01/01/2002 (RPI Baseline)
Sofiware Engimeer £841.00 }
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Project Manager £1,009.00 }
Senior Consultant (1) £1,346.00 I
Senior Consultant (2) £1,776.00
Senior Management £2,030.00
The above charges will he 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 shalll be invoiced monthly in arrears.
15. ADJUSTMENT TO CHARGES
‘The Charges in paragraphs 8.2, 8.3, 10.1, 13 and 14, and in paragraph 16 where indicated within
that paragraph, shown as being from 01/01/2002, shall be subject to increases with effect from
01/01/2003 and annually thereafter during the term of this Codified Agreement. Such increases
will be capped at the percentage increase in RP] as measured by comparison to the RPI index of
twelve months earlier e.g. the increase applied with effect from January 2003 would be capped at
the difference between the All Items RPI Index at December 2001and December 2002 (the
percentage increase to be applied shall be taken to two decimal places).
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16. CHARGES ARISING FROM THE CHANGE CONTROL PROCEDURE
16.1, From time to time as part of the Change Control Procedure, the parties may agree that other charges are applicable, Where a CCN introduces a non-recurring
charge, the arrangements for the payment of that charge shall be as specified on the appropriate CCN, taking into account the appropriate provisions of this
Codified Agreement. Where a CCN introduces a recurring charge over the term of the Codified Agreement (or such shorter period as may he specified on the
CCN), the payment arrangements for that charge shail be incorporated into the table below. ‘The notes column ia the table below may be used to highlight other
specific variations to standard charging provisions agreed as part of the CCN (e.g. a shorter period than the full term of the Codified Agreement)
Description of charge Initial payment due Frequency of Periodic charge value Indexation Notes
charge (1/1/2002Baseline) Provision
CCN641a Disaster recovery for Hutlwaite
Gateway:
© Equipment rental Gateway agreed as Quarterly in £11,000 Not indexed
ready for service advance
+ Maintenance and support Gateway agreed as. Quarterly in £21,766.31 Subject 10 RPL
ready for service advance
CCN679b Message Broadcast Service After the first quarter Quarterly in £105.20 Fixed charge per Subject to RPI
following arrears message PLUS £0,036 variable
implementation of the charge per outlet per valid
service message. This charge has been
discounted by 10% to £0.0324
‘on the basis that there are no
SLAs applicable to this service
and that there is no
performance measurement oF
reporting other than the existing .
non-polled outlet report
CCN733b Automated Payments Client
Spee. for DVLNI
CON733b Equipment maintenance & Upon migration which — Annually in £1,215.82 Not indexed
was deemed to be
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ISDN rental 16.05.01 advance
CCN733b Administration & suppoxt Upon migration which Annually in £2,018.03 Subject to RPL Price inchules 20%
was deemed to be arrears contingency an
16.05.01 should be invoiced on
actual time incurred
for Software Engineer
manpower rates
cCN739 Inlyoduce Standard Life As An
AP Client With A Direct,
Connection To ICL.
Pathway.
Equipment maintenance & Upon migration which Annually in £1,215.82 Not indexed
ISDN rental was deemed to be advance
06.04.01
Administration & support Upon migration which — Annually in £2,018.03 Subject to RPE Price includes 20%
was deemed to be arrears contingency and
06.04.01 should be invoiced on
sctual time incurred
for Software Engineer
mumpower rates
CCN800 Connection to Girobank
Disaster Recovery site
Equipment maintenance and Gateway agreed as. Annually in £1,126.73 No indexed
ISDN rental ready for service advance
1/09/01
Administration and support. Gateway agreed as Annually in £2,004.00 Subject to RPI Price includes 20%
ready for service arrears contingency and
01/09/01 should be invoiced on
actual time incurred
for Software Engineer
manpower rates
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Preparation and operation of vay agreed as = Annuall £10,020.00 Subject to PRY Price includes 20%
regular test (max two per ~ ready for service arrears contingency and
year) 01/09/01 should be invoiced on
actual time incurred
for Software
manpower rates
CCNBO7 Changes to AP Cliont take-on
and Token Verification
services
Client Take on Facility Upon start of service Quarterly in £6,888.75 Subject to RPI Price includes 20%
which was deemed to arrears : contingency and
be April 2002 should be invoiced on
actual time incurred
for Software Engineer
manpower rates
Client Take on (regression) Upon start of service Quarterly in £2,755.50 Subject to RPI Price includes 20%
Facility which was deemed to arrears ‘contingency and
be July 2002 should be invoiced on
actual time incurred
for Software Engineer
manpower rates
CCNB32 Introduce Quant as an APS
Interface to ICL Pathway
Equipment maintenance and Upon connection of Annually in £1,126.73 Not indexed
ISDN rental Quantrillasan APS advance
Client which was
deemed to be 05/11/01
Administration and support Upon connection of Anmually in £2,004.00 Subject to RPI Price includes 20%
Quantrill asan APS airears contingency and
Client which was. should be invoiced on
deemed to be 05/1 1/01 actual tine incurred
for Software Engineer
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SCHEDULE A12
RESTRICTED CONTRACTS.
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CEN869b
CCR872
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Introriuce AON Ltd as an APS.
Chent with a Dircet
Interface to ICL Pathway.
Equipment maintenance
ISDN Rental
Administration and support
Introduce ESP as an APS
Client with a Direct
Interface to ICL Pathway
Equipment maintenance
ISDN Rental
Administration and support
Page 17 of 52
‘Upon connection on
AON Lid as an APS
Client which was
deemed to be 11/02/02
Upon connection on
AON Lud as an APS
Cliemt which was
deemed to be 11/03/02
Upon connection on
AON Ltd as an APS
Client whieh was
deemed to be 11/02/02
Upon connection
ESP as an APS Client
which was deemed to
bbe 07/03/02
Upon connection of
ESP as an APS Client
which was deemed to
be 07/03/02
Upon connection of
ESP as an APS Client
which was deemed to
manpower rates
should be invoiced on
for Software Engineer
should be invoiced on
Annwally in £295.82 Subject to RPL
advance
Annually inv £830.91 Not Indexed
advance
Annually in £3,006.00 Subject to RPI Price inctudes 20%
arrears contingency and
actual time incurred
manpower rates
Annually in £295.82 Subject to RPI
advance
Annually in, £830.91 Not Indexed
advance
Annually int £3,006.00 Subject to RPI Price inchites 20%
arrears contingency and
actual time incurred
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SCHEDULE AI2
RESTRICTED CONTRACTS
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CCN937
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Introduce National Savings as
an APS Client with a Direct
Interface to ICL Pathway
Equipment maintenance
ISDN Rental
Administration and support
Introduce First Rate as an APS
Client with a Direct
Interface to ICL Pathway
Equipment maintenance
ISDN Rental
‘Administration and support
Page 18 of 52
be 07/03/02
Upon connection of
National Savings as a
direct APS Client,
Upon connection of
National Savings as a
direct APS Client.
Upon connection of
‘National Savings as a
direct APS Client.
Upon connection of
First Rate as an APS
Chient which was
deemed to be 01/06/02
Upon connection of
First Rate as an APS
Client which was.
deemed to be 01/06/02
Upon connection of
First Rate as an APS
Client which was
deemed 10 be 01/06/02
Annually in
advance
Anmually in
advance
Annually in
arrears
Annually in
advance
Annually in
advance
Annually in
arrears
£295.82
£830.91
£3,006.00
£295.82
£830.91
£3,006.00
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Subject to RPI
Not indexed
Subject 1o RPL
Subject 10 RPL
Not Indexed
Subject to RPI
for Software Engineer
manpower rates
Price includes 20%
contingency and
should be invoiced on
actual time incurred
for Soflware Engineer
inanpower rates
Price includes 20%
‘comingency and
should be invoiced on
aetual time incurred
for Software Engineer
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manpower rates
SCHEDULE A12
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PART C: NETWORK BANKING SERVICE CHARGES
17, I NETWORK CHARGES
17.1 Types of Outlet
17.1.1 There are seven Outlet categories referred to in this paragraph 17 for network charging purposes, as
follows:
(a) Bronze Service Outlet;
~ (b) Silver Part Time Service Outlet that seeks to use a Fixed Connection for each Banking
Transaction (for which a Request is generated) occurring in that Outlet in the periods 08:30 to
10:30 Monday, 08:30 to 09:30 Tuesday and 08:30 to 09:30 Thursday. For the purposes of
this paragraph 17, each such Outlet is referred to as “Type A";
(c) Silver Part Time Service Outlet, that seeks to use a Fixed Connection for each Banking
Transaction (for which a Request is generated) occurring in that Outlet between 08:30 to
12:30 on Saturday. For the purposes of this paragraph 17, each such Outlet is referred to as
“Type B”;
(d) Silver Daytime Service Outlet that seeks to use a FRIACO Fixed Connection;
(e) Silver Daytime Service Outlet that seeks to use a non - FRIACO Fixed Connection;
(h Silver 24 Hour Service Outlet that seeks to use a FRIACO Fixed Connection; and
(g) Silver 24 Hour Service Outlet that seeks to use a non - FRIACO Fixed Connection.
17.1.2 The allocation of Outlets between the categories identified in paragraph 17.1.1 of this Schedule A12
shall be made in accordance with paragraph 2.6 of Schedule NOI and subject to the additional
constraint that the number of Silver Daytime Service Outlets seeking to use a FRIACO Fixed
Connection in each calendar month shail not be less that 6000. There are no other limits or
constraints upon the number of Outlets in each category imposed by this paragraph 17 for charging
purposes.
17.2 Network Implementation Phase
17.2.1. The communications network required to support the NBS shall be implemented during the period 1
April 2002 to 31 January 2003 (inclusive) (the “Network Implementation Phase”).
17.2.2. The Contractor's Charges for the communications network during the Network Implementation
Phase shall be in accordance with the following table:
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item Unit Charge Number of I Total Charge: Payments due
units during Network
Implementation
Yhase
Bronze Service Outlet £27,777-78 per month in the 9 months £250,000,00 Payments of the Unit Charge for the
Charges Network Implementation Phase number of units specified are due in
accordance with paragraph 23 of this
Schedule A12
(@)_£55,555.56 per month inthe _ I 9 months £500,000.00; plus I Payments of the Unit Charge for the
Network Implementation mumber of units specified are die in
Phase; plus accordance with paragraph 23 of this
Schedule A12
(h) £81 per month for each of the £1,093,500.00
1,350 FRIACO Ports
provided in the Network
Inplementation Phase, being
a monthly Charge of
£121,500.00
Installation of £166,500 ‘One £166,500 Payment due on 1 huly 2002.
Conmmunication links to
Date Centres
Total - +£2,010,000
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CODIFIED AGREEMENT SCHEDULE A12 RESTRICTED CONTRACTS
173 Network Service
17.3.1 The full communications network required to support the NBS shall be available from I
February 2003 until expiry of this Codified Agreement or termination, if carlicr.
173.2 With effect from 1 February 2003, the Contractor’s Charges (fixed and variable elements)
for the provision of the communications network shall be calculated by the Contractor (to
reflect the monthly allocation of Outlets between categories pursuant to paragraph 17.1.2) in
accordance with the following table:
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Outlet Type
Bronze Service Outlets
ixed Monthly Charges
iat for ail such Outlets, inespective of the mumber of
Variable Monthly Charges
2.Sp per Banking Transaction initiated in such Outlets,
(Type A and Type BY
I Sitver Part Time Service Outlets I
£52.80 per month for each Type A Oulict; and
£52.80 per month for each Type B Outlet,
2.5p per Banking Transaction initiated in such Outlets outside
the times that Fixed Connections are due ¢o be used in such
Outlets (Type A and Type B, as applicable).
Silver Daytime Service Outlets
using FRIACO Fixed
Connections
£50,000 per month for all such Outlets; plus either of the following
whichever is applicable
(a) £81 per month per Outlet, if the total number of such Outlets is
I between 6000 and 10,000; or
{b) £79 per month per Outlet, if the total number of such Outlets
exceeds 10,000.
“The Charge in (a) ot (b) above (whichever applies) shat! be applicable
to each of the Outlets making up the total number.
I Silver Daytime Service Ouilet,
using non ~FRIACO Fixed
Connections
"E280 per month for each such Outlet,
75p per Banking Transaction initiated in such Quiles outside
the times that Fixed Connections are due to be used in such
Ourters,
‘Sp per Banking Transaction initiated in such Outlets outside I
the times that Fixed Connections are due to be used in such
Outlets.
Silver 24 Hour Service Outlets I £260 per month for each such Outlet No charge
using FRIACO Fixed
Connections
Silver 24 Hout Service Outlets I £520 per month for each such Outlet No charge.
using non- FRIACO Fi
Connections
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17.3.4
17.6
17.7
17.7.1
17.7.2
17.8
17.8.1
17.8.2
The fixed elements of the Charges calculated in accordance with the table above shall become
due for payment in accordance with paragraph 23 of this Schedule A12. The amount due for
payment by POCL in respect of the variable elements of those Charges shall accrue due for
payment on a daily basis, the daily increment reflecting the number of Banking Transactions
initiated each day.
Banking Transactions shall not be taken into account when calculating EPOSS Transaction
volumes for the purposes of paragraph 5.9 of this Schedule A12.
Implementation of network infrastructure
The Contractor's Charge for implementing the NBS communications network infrastructure
shall be the fixed sum of £1,196,291.00, payable in monthly instalments commencing January
2002 as set out in Annex 6 to this Schedule Al2.
Network Operating Charges
The Contractor's Charge for operating the NBS’ communications network, shall be the fixed
sum of £5,032, 188.00, payable in monthly instalments commencing August 2002 as set out in
‘Annex 6 to this Schedule A12.
Network Hardware and Software
The Contractor's Charge for Hardware and Software required for the NBS communications
network shall be the fixed sum of £1,107,653.00, payable in two instalments as set out in
Annex 6 to this Schedule A12. The first such instalment shall become due on I April 2002 and
the second instalment shall become due on I July 2002, as specified in that Annex.
Communications Network
If-at any time the parties consider that Energis Communications Limited (“Energis”) may
become insolvent:
they shall enter into good faith discussions to consider the appropriate course of action; and
the Contractor shall prepare a strategy document (the “Energis Strategy Document”) for
approval by POCL (such approval not to be unreasonably withheld), The Energis Strategy
Document shall address steps to be taken by the parties for the replacement (or otherwise) of
Energis as subcontractor where, a8 a result of an Insolvency Situation, Energis ceases to fulfil
its obligations to the Contractor in respect of the communications network used in connection
with the NBS and the Existing Services.
Ifas a result of an Insolvency Situation Energis fails to comply with its contractual obligations
to the Contractor and/or Energis ceases to provide the elements of the communications network
it has contracted with the Contractor to provide:
the parties shall implement such provisions of the Energis Strategy Document as may be
applicable in the circumstances;
the Contractor shall use all reasonable endeavours as would be used by a party negotiating on
its own account to procure on the best possible commercial terms a supplier or suppliers to
replace Energis in providing the elements of the NBS communications network formerly
provided by Energis (but shall not be required to enter into a contract with a supplier or
suppliers save to the extent the parties agree to the appointment of a substitute supplier or
suppliers in accordance with paragraph 17.8.4 below);
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17.8.3
17.8.4
17.10
17.11
17.12
17.121
17.12.2
17.14
WAAL
the Contractor shall disclose to POCL:
(a) all such information relating to the charges proposed by any prospective
replacement supplier; and
{b) a breakdown of the Energis charges in respect of the communications network
current at the time of the Insolvency Situation
as the Contractor is permitted by the third party and Energis (as the case may be) to disclose
(the Contractor having used all reasonable endeavours to procure that it is permitted by the
third party and Energis to disclose to POCL such charging information); and
the parties shall agree through the Change Control Procedure:
(a) whether or not a substitute supplier or suppliers is to be appointed in respect of
provision of the NBS communications network;
(b) any resuftant changes in the Contractor's Charges which are to be paid by
POCL in respect of the NBS communications network {whether due to the costs of
terminating the contractual arrangements with Energis, transition to a substitute supplier
or suppliers, the level of charges payable to the substitute supplier or suppliers or
otherwise and having regard to the proportion of such costs and charges which relate to
the Existing Services); and
(c) any changes required to the Codified Agreement.
‘The Contractor shall not be liable for any failure to achieve the NBS Service Levels or its
obligations in respect of the NBS to the extent that it can show that the failure was due to
Energis’ ceasing to comply with its obligations to the Contractor and (where applicable)
transition to new supplier or suppliers.
If and for so long as either party, acting reasonably, considers that Energis may become
insolvent the Contractor shall use its continuing reasonable endeavours to procure that Energis
consents to the release of the information referred to in Paragraph 17.8.3 (b) of this Schedule
A12 in the event of an Insolvency Situation of Energis.
In the event that the parties agree through the Change Control Procedure that a replacement
supplier will not be appointed in respect of the NBS communications network the Contractor
shall be released from its obligations in respect of provision of the NBS network
communications link and its obligations to achieve NBS Service Levels which can not be
achieved as a result of the communications network no Jonger being supplied and/or Energis’
ceasing to comply with its obligations to the Contractor due to an Insolvency Situation, such
release to be documented through the Change Control Procedure.
Nothing in paragraph 17 of this Schedule A12 shail:
act to reduce or amend the obligation of the Contractor to provide the Existing Services on the
terms of this Codified Agreement notwithstanding any insolvency of Energis; or
act to reduce or amend the liability of the Contractor under this Codified Agreement including
without limitation in relation to the POCL Services, the NBS, the Existing Services or any
Service Levels other than as set out in Paragraphs 17.9 and 17.11 of this Schedule Al2.
The occurrence of an Insolvency Event of Energis shail not of itself entitle the Contractor to
increase its Charges in respect of the Existing Services.
For the purpose of paragraph 17 of this Schedule A12:
“insolvency” in relation to Energis means:
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17.14.2
18.1.2
18.1.3
(a) the commencement of any procedure with a view to the winding-up or re-
organisation of Energis (other than for the purpose of a solvent amalgamation or
reconstruction);
(b) the appointment of an administrator, receiver, administrative receiver or trustee
in bankruptcy in relation to Energis or all or substantially all of its assets;
(c) the holder of any security over all or substantially all of the assets of Energis
taking any step to enforce that security, or
(d) all or substantially all of the assets of Energis becoming subject to attachment,
sequestration, execution or any similar process; and
“Insolvency Situation” means actual, intended or potential insolvency.
DESIGN, DEVELOPMENT, TESTING AND IMPLEMENTATION OF THE NBS
T&M Work
‘The rates which shall be used to calculate:
(a) the Contractor's Charges for T&M Work including, without limitation, the following
work:
(i) design, development and testing of the NBS;
(ii) development of software to support the NBS communications network;
(iii} PIN Pad development; and
(iv) remote PIN Pad key management development, and
{b) for the purposes of the T&M Budget for each T&M Work task in the NB Project Plan,
shall be as set out in the following table:
Professional Seryice Grade I __Rate per working day
Software Engineer £626.25
Project Manager £751.50
Consultant 1 : £1,002.75
Consultant 2 £1,323.00
Senior Management £1,512.00
Subject to paragraph 18.1.3 of this Schedule A12, the Charges based on the table above shall
be calculated on the basis that a working day is equivalent to § hours work by one individual,
on whichever day of the week or at whatever time of day that work takes place. Having
calculated the number of working days worked by an individual (by dividing the total number
of hours worked by that individual by 8) the charges due in respect of any remaining period of
less than 8 hours shall be the charge for the working day reduced pro rata.
Alt Contractor personnel who are identified in the organisational charts provided to POCL in
accordance with paragraph 5.2 of Schedule N4 as holding manager or director positions or as
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being within the Contractor's Business Consultants Group shall be charged at no more than 8
hours per day (including days worked on weekends) and POCL shall not be charged overtime
in respect of those personnel.
18.1.4. Subject to the T&M Budget, Contractor personnel other than those identified in paragraph
18.1.3 of this Schedule Al2 may be charged to POCL for extended day working where such
working is necessary to achieve the dates for achievement of tasks set out in the NB Project
Plan.
18.1.5 Subject to paragraph 18.2.3 of this Schedule A12, the Contractor shall be entitled to invoice
POCL and POCL shall pay for T&M Work up to the T&M Budget in respect of such work (as
reallocated between tasks or increased in accordance with the provisions of Schedule N04)
specified in or derived from the NB Project Pian.
18.1.6 To the extent that a Default by the Contractor causes additional T&M Work to be carried out
by the Contractor which would not otherwise have been necessary (at any Level in the NB
Project Plan) that work shall be carried out at the Contractor’s cost.
18.1.7 Each of the rates specified in the table in paragraph 18.1.1 shall be subject to increases with
effect from 1 January 2003 and annually thereafter during the term of this Codified Agreement
Such increase shall reflect the percentage increase in Retail Price Index as measured by
comparison to the Retail Price Index of twelve months earlier (the percentage increase in
Retail Price Index to be applied shall be taken to two decimal places).
18.2. T&M Work Payment Dates and Retention
18.2.1 The following events (each an “NB Event") relate to paymenis due to the Contractor for the
provision of the NBS:
(a) NB Event 1 occurs wpon the achievement of NBS Stage Progression from the NBS
Testing Stage to the Full K2E Testing Stage, as defined in paragraph 3.2.1 of Schedule
N02.
(b) NB Event 2 occurs upon achievement of NBS Acceptance as defined in 3.1 of Schedule
NO2, but cannot in any event occur before NB Event 1
(c) NB Event 3 occurs upon the installation (for the first time) of the Software used for NB
Event 2 (as updated at the time of installation) in all automated Counter Positions,
mobile configurations (as described in row 8 of Annex 5 to Schedule A12) Admin
Positions and trolley based solutions where the NBS is to be made available in
accordance with paragraph 2.3 of Schedule NO1.
18.2.2 The target dates for each NB Event (each a “Target Date”) and other commercial dates are set
out below. References in other provisions of this Schedule A12 to such Target Dates shail, be
construed as references to such Target Dates as adjusted in accordance with the applicable
provisions of Schedule NO4 unless the original Target Date is expressly referred to. References
to the Rate Reduction Date in this Codified Agreement shal) be construed as references to the
initial Rate Reduction Date given below, as adjusted in accordance with the applicable
provisions of Schedule N4.
(a) The Target Date for NB Event I is 13th October 2002.
(b) The Target Date for commencement of NB Pilot (Soft Launch) is 13th January 2003.
(c) The Target Date for NB Event 2 is 7 February 2003.
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(d)
{e)
The Target Date for NB Event 3 is 31st March 2003
The initial Rate Reduction Date is I 1th October 2002
18.2.3. POCL shail retain a proportion of the value of all payments for T&M Work due to the
Contractor as follows:
{a)
(b)
©)
Prior to NB Event I the proportion retained by POCL shall be 20% of the value of
payments due to the Contractor for T&M Work carried out prior to NB Event 1. One
half of the amount retained shall be allocated to Retention Pot 1, one quarter shall be
allocated to Retention Pot 2, the remaining quarter shall be allocated to Retention Pot 3.
Between NB Event 1 and NB Event 2, the proportion retained by POCL shall be 10% of
the value of payments due to the Contractor for T&M Work carried out between NB
Event 1 and NB Event 2. One half of the amount retained shall be allocated to
Retention Pot 2, the remaining half shall be allocated to Retention Pot 3.
Between NB Event 2 and NB Event 3, the proportion retained by POCL shall be 5% of
the value of payments due to the Contractor for T&M Work carried out between NB
Event 2 and NB Event 3. The amount retained shall be allocated to Retention Pot 3.
18.2.4 ‘The sums held in each Retention Pot by POCL shal! become due and payable to the Contractor
as follows:
(a)
(b)
(©)
(d)
()
(f}
upon the occurrence of NB Event 1, the sum held in Retention Pot 1 shall become due
and payable to the Contractor;
upon the earlier of occurrence of NB Event 2 and the date 3 calendar months afier the
commencement of NB Pilot (Soft Launch), the sum held in Retention Pot 2 shall
become due and payable to the Contractor;
upon the occurrence of NB Event 3, the sum held in Retention Pot 3 shall become due
and payable to the Contractor, save that POCL shall be entitled to withhold one tenth of
the value of Retention Pot 3 for each Medium Severity NBS Acceptance Incident still
outstanding at that time, and POCL shall be entitled to withhold a further one tenth of
the value of Retention Pot 3 should there. be any Low Severity NBS Acceptance
Incidents outstanding at that time;
the sum withheld under (c) above in respect of each Medium Severity NBS Acceptance
Incident shall become due and payable to the Contractor once that incident is rectified;
the sum withheld under (c) above in respect of all Low Severity NBS Acceptance
Incidents shall become due and payable to the Contractor once all such low severity
incidents have been rectified; and
the Contractor shall be entitled to invoice POCL (and POCL shall pay) for each sum
held in a Retention Pot, afier that sum becomes due and payable in accordance with (a)
to (e) above.
18.3 T&M Work rate reduction
In the event that NB Event 1 has not occurred on or before the Rate Reduction Date, the
Contractor shall from that date reduce by 50% the rates (set out in paragraph 18.1 of Schedule
Al2) used to calculate the amounts to be paid by POCL for T&M Work. and that 50%
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reduction shall remain in force until such time as NB Event 1 occurs. For the avoidance of
doubt:
(a) the Contractor may revert to the rates in paragraph 18.7 of Schedule Al2 for T&M
Work undertaken after the actual date of achievement of NB Event 1; and
(b) the 50% reduction prior to the actual date of achievement of NB Event 1 is an absolute
reduction and the Contractor shall not be entitled to any payment to make up the
difference between the 50% and the full rates.
18.4 Charges for correction of Acceptance Incidents
Following NB Event 1, the Contractor will be entitled to charge POCL for the correction of
NBS Acceptance Incidents outstanding at NB Event 1 until the T&M Budget for NB Event 1
plus the T&M Budget for the Level 2 product finalisation tasks identified in the NB Project
Plan which are due to take place after NB Event I are exhausted, and the Contractor shall
thereafter correct any remaining NBS Acceptance Incidents which were outstanding at NB.
Event I at its own expense
18.5 Payment of T&M Budget underspend
In the event that NB Event I is achieved on or before the Rate Reduction Date, then the
Contractor shall, upon rectification of all NBS Acceptance Incidents outstanding at NB Event
1, be entitled to a sum (which shall be paid by POCL) equal to 25% of the underspend on the
aggregate T&M Budget for all tasks in the NB Project Plan due to be completed on or before
NB Event I. Such underspend shall be calculated as the difference between that TaM Budget
for NB Event I and the aggregate of the sums due to be paid to the Contractor for T&M Work
to achieve NB Event I and the sum due to be paid to the Contractor to achieve the rectification
of all NBS Acceptance Incidents outstanding at NB Event 1
18.6 T&M Work Discount
POCL shall be entitled to a discount against the Contractor's Charges for T&M Work carried
out in 2002 equivalent (in total) to a sum not exceeding £8,000,000.00. The proportion of that
discount that shall be deducted from the Contractor's T&M Work Charges in each month of
2002 shail be as set out in Annex 6 to this Schedule Al2. Any such discount unused at the end
of 2002 shal] cease to be applicable.
18.7 BS Implementation Charges
The Contractor’s Charge for NBS Deployment shall be the fixed sum of £3,026,012.00,
payable in monthly instalments commencing January 2002, as set out in Annex 6 to this
Schedule A12.
19 NBS OPERATING CHARGES
19.1 NBS Customer Service Charges
The Contractor's Charge for operating and managing the NBS shall be the fixed sum of
£9,218,330.00, payable in monthly instalments commencing January 2002 as set out in Annex 6
to this Schedule A12.
19.2 Audit Record Queries
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19.2.1 The Contractor's Charge for dealing with Audit Record Queries and Old Format Queries
(subject to and in accordance with paragraph 7.3 of Schedule NO1) shall be the fixed sum of
£793,434.00, payable in monthly instalments commencing March 2003 as set out in Annex 6 to
this Schedule A12.
19.2.2 If POCL exercises its option pursuant to paragraph 7.3.6 of Schedule NOI to vary the
maximum number of Audit Record Queries and Query Days which the Contractor is required to
carry out, the Contractor's Charge specified in paragraph 19.2.1 of this Schedule A12 shall be
varied pro rata to reflect that revised maximum, with effect from the same date that that revised
maximum becomes effective
20. HARDWARE AND SOFTWARE PROCUREMENT
20.1 Hardware and Software Charges (non Data Reconciliation Service)
The Contractor's Charges for the provision of Hardware and Sofiware required to operate the
NBS (other than that required to operate the Data Reconciliation Service) shall be the fixed
sum of £2,062,818.00, payable in instalments as set out in Annex 6 to this Schedule A12. The
first such instalment shall become due on I April 2002 and each subsequent instalment
thereafier shall become due on the first day of the month to which it relates, as specified in that
Annex.
20.2 Hardware and Software Charges (Data Reconciliation Service)
The Contractor's Charge for the provision of Hardware and Software required to operate the
Data Reconciliation Service shail be the fixed sum of £2.808,072.00, payable in instalments as
set out in Annex 6 to this Schedule A12. The first such instalment shalt become due on 1 April
2002 and each subsequent instalment thereafter shal] become due on the first day of the month
to which it relates, as specified in that Annex.
20.3. Phase 2 Hardware upgrade
If POCL gives Phase 2 Notice to the Contractor pursuant to paragraph 12.2 of Schedule NO
the following Charges (which are additional to those set out in paragraphs 20.1 and 20.2 of this
Schedule A12) shall apply:
{a) If the date specified in the Phase 2 notice for commencement of Phase 2 (the
“Commencement Date”) is between 1 September 2003 and 31 May 2004 (inclusive) the
Contractor's Charges for upgrading NBS Hardware to support Phase 2 Contracted
Volumes shall be the sum of!
(i) £404,452.00, which sum shall become due for payment 5 calendar months prior
to the Commencement Date; plus
(ii) £1,059,743.00, which sum shall become due for payment I calendar month prior
to the Commencement Date.
(b) If the Commencement Date is between 1 June 2004 and 31 March 2005 (inclusive) the
Contractor's Charges for upgrading NBS Hardware to support Phase 2 Contracted
Volumes shal] be agreed under the Change Control Procedure and shall be consistent
with prices generally offered in the United Kingdom (at the time the Phase 2 Notice is
given) for products of the type required for that Hardware upgrade, provided on similar
terms.
21. OPERATIONAL CHARGE DISCOUNT
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POCL shall be entitled to a discount against the Contractor's Charges (specified in paragraphs
17.5 (network operating charges), 19 (NBS operating charges) and 24.4 (PIN Pad
Implementation Service (maintenance charges)) of this Schedute A12) equivalent (in total) to a
sum not exceeding £6,000,000.00. The proportion of that discount that shall be deducted from
such Charges in each month commencing April 2002 shall be as set out in Annex 6 10 this
Schedule A12.
22, OTHER NBS CHARGES
22.1 The elements of the NBS or services associated with the NBS set out in the table below shall be
charged for by the Contractor on a time and material basis using the rates specified:
Reference I Summary (for ‘Applicable rates aud basis of Charges
information purposes
only)
Schedule Co-operation and Rates specified in the table in paragraph 18.1
NOI, assistance (following of this Schedule A12.
paragraph I NB Go Live ) with
10.3.1 devetoping POCL’s Charges to be calculated by dividing the total
network banking number of hours worked by each individual by
automation security 8 (such 8 hour period constituting a working
policy day to which the relevant day rate shall apply)
and in respect of any remaining period of less
than 8 hours worked by an individual, that day
rate shall be reduced pro rata
Schedule Co-operation and Raies specified in the table in paragraph 18.1
NO}, assistance in respect of I of this Schedule A12.
paragraph I security breaches and
10.4.5 threats Charges to be calculated by dividing the total
number of hours worked by each individual by
8 (such 8 hour period constituting a working
day to which the relevant day rate shall apply)
and in respect of any remaining period of less
than 8 hours worked by an individual, that day
rate shall be reduced pro rata
Schedule Co-operation and Rates specified in the table in paragraph 18.1
NO9, assistance with business I of this Schedule A12.
paragraph I continuity and fail-over ;
1 testing of End to End Charges to be calculated by dividing the total
Banking number of hours worked by cach individual by
8 (such § hour period constituting a working
day to which the relevant day rate shall apply)
and in respect of any remaining period of less
than 8 hours worked by an individual, that day
i rate shal! be reduced pro rata
Network The service set out in Rates specified in the table in paragraph 18.1
Banking Schedule N6 to be of this Schedule A12.
Transfer I provided upon
Service termination of the Charges to be calculated by dividing the total
NB/PIN Pad Services or I number of hours worked by each individual by
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the Codified Agreement,
as applicable
8 (such 8 hour period constituting a working
day to which the relevant day rate shall apply)
and in respect of any remaining period of less
than 8 hours worked by an individual, that day
rate shall be reduced pro rata
22.2 The Charges set out in this part C of Schedule A12 include the Contractor's charges for icons
used in NBS software in the Release known to the parties as “BI3”. Following Release BJ3 the
Contractor’s Charges for any additional icons which may be required shall be as set out in the
CCD entitled “Horizon /con Service Prices” (CS/PDN/019) version 1.0, to be agreed between
the parties
22.3. The Contractor's Charges in respect of non-T&M Work agreed pursuant to CCN 970a shall be
as specified in the table below:
cabling).
confirmation agents and host.
Description Applicable charge
and basis for
charging
1 I Equipment for preparation of a rig room at the £ 146,300 payable on
Contractor's premises (including electrical and air
conditioning equipment, network ports, racking and
DIT to NBE test rig together with operating software.
Additional Hardware including a primary domain
controller, agent and KMS server, MIS client,
correspondence server, KMS workstation, 3 counter
configurations, DRS workstation, authorisation and
the date of delivery of
such to the Contractor
by the relevant third
party supplier
7 counter configurations).
2 Equipment for upgrade of the DIT to NBE test rig (to
include addition of a DWH Host, a primary domain
controller, RDMC, KMS admin, Test Director, VPN and
£ 77,400 payable on
the date of delivery of
such to the Contractor
by the relevant third
party supplier
3 2MB comms link from Warwick (NBE site) and
operation of said link until 31 March 2003.
£ 18,700 payable on
implementation of
such link
224 All T&M Work carried out pursuant to CCN 970a shall be invoiced and payable in accordance
with paragraphs 18 and 23 of part C of this Schedule A12.
23 PAYMENT OF NBS AND NBS RELATED CHARGES
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23.1
23.3
Unless expressly stated to be due on a particular date, the amount due for payment by POCL in
respect of cach monthly Charge or monthly instalment of a Charge set out or referred to in this
Part C shall accrue on daily basis commencing the first day of that month, the daily increment
being a sum equivalent to the monthly Charge or instalment in question divided by the number
of days in that month.
All Charges set out or referred to in this Part C which become due for payment in each month
shall be invoiced monthly in arrears in accordance with Schedule A10 and shall be paid by
POCL,
Each fixed Charge (or portion thereof) stated in part C or part D of this Schedule A12 to be due
for payment on a date prior to the date of approval of CCN850 shall become due for payment
on the date of approval of CCN850 (notwithstanding the earlier date specified). Within two
weeks afier the date of approval of CCN850, the Contractor sha! submit invoices in respect of
those Charges (net of any applicable discount to be allowed in accordance with paragraph 21 of.
this Schedule A12), as adjusted in accordance with paragraph 23.4 of this Schedule A12.
The fixed Charges referred to in paragraph 23.3 shall be adjusted by deducting from them all
amounts paid or payable (for the services or equipment to which those fixed Charges relate)
under invoices submitted under the Network Banking CCNs. Subject to paragraphs 22.2 and
23.5 to 23.9 of this Schedule A12, apart from being obliged to pay (without prejudice to
paragraph 10 of Schedule A10) valid invoices submitted under the Network Banking CCNs,
POCL shall have no further obligation under the Network Banking CCNs to pay for the
services or equipment to which those fixed Charges relate and no further invoices in respect of
those services or equipment shall be submitted under the Network Banking CCNs.
The provisions in this paragraph 23.5 shall apply to charges for T&M Work carried out under
the Network Banking CCNs during the period 12 April 2001 to 31 December 2001 and to all
Charges for work carried out under CCN 754c and CCN829, and any provisions to the contrary
previously agreed by the parties, including those in such CCNs are cancelled.
23.5.1 In this section 23.5, “SRS CCNs” means CCN 754c and CCN 829, and “CCN Date”
means the date of approval of CCN850,
23.5.2 The total aggregate Charges for work carried out under the SRS CCNs shall be
£2,186,928, of which £1.518,270 (less the payments already made) became payable to
the Contractor by the CCN Date. The balance of £668,658 shall become payable to the
Contractor upon commencement of the NB Pilot (Soft Launch).
23.5.3 Asat CCN Date POCL had paid a total of £1,543,919 to the Contractor in respect of
the SRS CCNs’and the Contractor shall, within 14 days of CCN Date, issue a Credit
Note to POCL for £25,649, being the difference between the amount paid and the
amount payable by the CCN Date.
23.5.4 The total aggregate Charges for T&M Work carried out under the Network Banking
CCNs during the period 12 April 2001 to 31 December 2001 (inclusive) shall be
£3,124,898, of which £2,499,918 (less the payments already made) became payable to
the Contractor by CCN Date and the balance of £624,980 is allocated 50% to
Retention Pot 1, 25% to Retention Pot 2 and 25% to Retention Pot 3 under the
mechanism described in paragraph 18.2.3 (a) of this Schedule A12.
23.5.5 As at CCN Date POCL had paid a total of £2,541.576 to the Contractor in respect of
T&M Work carried out under the Network Banking CCNs during the said period and
the Conuactor shall, within 14 days of CCN Date, issue a Credit Note to POCL for
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£41,658, being the difference between the amount paid and the amount payable by the
CCN date.
23.6 Save as set out in paragraph 23.5, the Contractor waives all rights to receive payment from
POCL in respect of all work carried out under SRS CCNs at any time and all T&M Work
carried out under the Network Banking CCNs during the period 12 April 2001 to 31 December
2001 (inclusive).
23.7 Notwithstanding anything to the contrary in the provisions of the Network Banking CCNs, the
total aggregate Charges for T&M work carried out under the Network Banking CCNs during
the period 1 January 2002 to 21 April 2002 (inclusive) shall be calculated or re-calculated if
already invoiced (as the case may be) in respect of the Network Banking CCNs using the rates
and on the basis set out in paragraph 18 of this Schedule Al2.
23.8 In calculating or recalculating (as the case may be) the Charges for T&M Work under the
Network Banking CCNs in accordance with paragraph 23.7 of this Schedule A12, the
Contractor shall apply any discount applicable under paragraph 18.6 of this Schedule A12. If
having applied that discount a credit balance is due to POCL, that balance shall be carried
forward and applied against the Contractor's Charges in the next invoice to be submitted in
respect of T&M Work, and so on (subject to paragraph 18.6 of this Schedule A12) until that
balance is exhausted.
23.9 The Contractor's Charges for T&M Work carried out between 22 Aprii 2002 and the date of
approval of CCN8S0 (inclusive) shall be calculated in accordance with paragraph 18 of this
Schedule Al2.
PART D: PIN PAD, PIN PAD SERVICE AND PAYPOLE CHARGES
24, PIN PADS
24.1 PIN Pad Hardware Procurement
24.1.1 The Contractor's Charges for procuring PIN Pad Units in accordance with paragraph 3.1 of
Schedule G12 shall be as follows:
Unit Unit price Total number Total Charge
I procured (to be (fixed):
delivered in
batches):
PIN Pad £221.8290 ~~ I 38,000 £8,429,502.00
Y Cable £4.4444 38,000 £168,887.20
Smart card £0.3333 38,000 £12,665.40
reader cover
Cable strap £0.3333 38,000 £12,665.40
TOTAL £8,623,720.004 I
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24.1.3
24.2.2
24.2.3
Charging Mechanism
The Charges for each batch of PIN Pads, cable straps, Y cables and/or smart card reader covers
(making up each PEN Pad Unit) delivered to POCL shall become due for payment upon such
delivery.
If POCI. gives notice to increase the number of PIN Pads Units to be procured by the
Contractor pursuant to paragraph 3.2 of Schedule G12, the Contractor's Charges for each
additional PIN Pad Unit procured shall be as set out in the table in paragraph 24.1.1 above
The Charges for each batch of PIN Pads, cable straps, Y cables and/or smart card reader covers
(making up each such additional PIN Pad Unit) delivered to POCL shall become due for
payment upon such delivery
If POCL gives notice to increase the number of PIN Pads to be held as OBC stock pursuant to
paragraph 5.2 of Schedule G12, the Contractor's Charge for each additional PIN Pad Unit
procured shall be the sum of £274.00, which sum shall become due for payment upon delivery
of that PIN Pad Unit to the Contractor. The Charge for each PIN Pad specified in this
paragraph 24.1.3 is subject to the proviso that notice is given to increase the number of PIN
Pad Units held for OBC purposes by no more than 1000 on each occasion that such notice is
given. For the avoidance of doubt, the Charges specified in this paragraph 24.1.3 shall be in
addition to any Charges agreed in respect of PIN Pad related services set out in the Operational
Business Change Catalogue
24.2 PIN Pad Paypoles
The Contractor's Charges for procuring Paypoles in accordance with paragraph 3.1 of Schedule
G12 shall be as follows:
Unit charge: I Total number procured — [I Charge (fixed):
I (to be delivered in,
batches):
Paypole £37 37,000 £1,369,000.00
Paypole boxes (for I £0.97 37,000 £35,890.00
delivery of
Paypoles)
L +
Total Charge (fixed): £1,404,890.00
The Charges for each batch of Paypoles (and boxes) delivered to POCL shall become due for
payment upon such delivery.
If POCL gives notice to increase the number of Paypoles to be procured by the Contractor
pursuant to paragraph 3.2 of Schedule G12, the Contractor’s Charge for each additional
Paypole procured shall be the sum of £37.97 (including box), which sum shall become due for
payment upon delivery of that Paypole to POCL.
If POCL orders further Paypoles in accordance with paragraph 6.5 of Schedule G12 (on 100
days? notice), the Contractor's Charge for each additional Paypole procured (including box)
shall be the sum of £40.47, which sum shall become due for payment upon delivery of that
Paypole to POCL. The Charge for each Paypole specified in this paragraph 24.2.3 is subject
to the proviso that each such order for is for no more than 1000 Paypoles.
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24.3
244
PIN Pad Implementation Service Charges (other than maintenance)
The Contractor’s Charge for the PIN Pad implementation Service (other than the maintenance
element of that service) shall be as follow
{a) The fixed sum of £993,290.00, payable in monthly instalments commencing October
2001 as set out in Annex 6 to this Schedule Al2.
(b) In respect of each No Fault Found PIN Pad described in paragraph 4.5 of Schedule
G12 (where a charge is payable in accordance with that paragraph) which is retumed to
the Contractor in accordance with paragraph 4.3(D) of Schedule G12, the sum of
£72.50.
(c) Im respect of each PIN Pad installation completed by the Contractor in the circumstances
described in paregraph 4.13 of Schedule G12, (where a charge is payable in
accordance with that paragraph), the sum of £68,50.
PIN Pad Implementation Service (Maintenance) Charges
The Contractor's Charge for maintaining PIN Pads (following their deployment by POCL in
accordance with Schedule G12) shall be the fixed sum of £2,568,324.00, payable in monthly
instalments commencing May 2002 as set out in Annex 6 to this Schedule A12.
PAYMENT OF PIN PAD CHARGES
Unless expressly stated to be due on a particular date, the amount due for payment by POCL in
respect of each monthly instalment of a Charge set out or referred to in this Part D shall accrue
on daily basis commencing the first day of that month, the daily increment being a sum
equivalent to the monthly Charge or instalment in question divided by the number of days in
that month.
All Charges set out or referred to in this Part D which become due for payment in each month
shall be invoiced monthly in arrears in accordance with Schedule A10 and shall be paid by
POCL.
Each fixed Charge (or portion thereof) stated in this part D of Schedule A12 to be due for
payment on a date prior to the date of approval of CCN8S0 shall become due for payment, be
adjusted and invoiced in accordance with paragraphs 23.3 and 23.4 of this Schedule A12.
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ANNEX 1 TO SCHEDULE A12
Roll Out Programme
Part A
Week Commencing Number of Oudets (ine. live I
trial)
‘Already rolied out 299,
23/08/99 24
30/08/99 1
06/09/99 47
13/09/99 80,
20/09/99 158.
27109199 178
470/99 203
T0799 203
TRA0/99 203
25/10/09 203
Gio 203,
8/1199 0
1511/99) 0
22/11/99 0
29/11/99. 0
86/12/99 o
13/12/99, 0
20/12/99) 0
2712/99 0
03/01/00 o
10/01/00 ¢
17/01/00, 9
24201700 120
31/01/00 180
‘o7702/00 250
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Week Commencing Number. of Outlets (ine. live
trial)
14/02/00 306
21/02/00 306
28/02/00 306
(06/03/00 306
13/03/00 306
20/03/00 306
27/03/00 306
03/04/00 206,
10/04/06 306
17704700 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,
12/06/00 306
19/06/00 306
26/06/00 306
93/07/00 306,
10/07/00 306
1707/00 306,
24/07/00 306
31/07/00 306
07/08/00 306
14/08/00 306,
21/08/00 306
28/08/00 244
04709/00 306,
11709700. 306
18/09/00 288,
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Week Commencing Number of Outlets (ine. tive
trial)
25709700, 288
02/10/00. 288
‘09/10/00 287, _
16/10/00 287,
23/10/00 287
30/10/00 287
‘06/11/00 287
13/1170 287
20/1700 =I 287
[27/1170 287
04/12/00, 2387
1/12/00
18/12/00
25/42/00
01/01/01
0/01/01 I 287
15/01/01 287
22/01/01 287,
29/03/01 287
(05/02/01 287
12/02/08 273
19/02/01 259)
26/02/01 120
(05/03/01 108
Sub total 17170
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Part B
Outlets to be Rolled Out under
‘Operational Bi h
Week Commencing Number of Outlets (ine. live
trial)
12703701 i)
19/03/01 109
26/03/01 90
‘o/04701 76
[oproaio1 56
16/04/01 45
23/04/01 27
30/0470" 21
07/05/01 19
14/05/01 7
21/05/01 5
28/05/01 14
04/06/01 13
L960 0
Sub total GL
Nationat Roll Out Total 17831 »
Annex 2 to Schedule A1Z
‘Transaction Volumes
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 ApriT >
sino I a ee ee
Crdarbook Transastions Tie es oe ST oF
Givoeheque Transactions 2000 «20S oo
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EPOSS an) APS isyro toed T3 a9 Bese 11700
oat Ries” “23058 _205R7 "TORS SSS so
ones 1403530 OSB 20 00
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ANNEX 3 TO SCHEDULE A12
Transaction Metries for Charges
11 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 = { chargeable transaction. The following are the
main exceptions:
Transaction items: I] 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. .
Saying 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 I 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 calcutated 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.
. 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
. An adjustment factor, to apply in all Operating Fee Periods, wil] 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 I transaction per line, i.e. 1 item of each of 2 different
lines = 2 transactions. 2 of the same line = I transaction,
Entry of sales not transacted on the POCL Service Infrastructure: i.e. posishop, 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 tink or by manually keyed input will not count
as a separate ansaction.
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Premium Mails Services: Each item requiring separate entry wil! count as I transaction (e.g. posting 3 datepost
packages which require separate recording). Where items are emered 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.
Scales, premium services, and postal order transactions are additional to any related sale of postage stamps, but
no more than I postage stamp sale will 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 shall count as a separate transaction.
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ANNEX 4 TO SCHEDULE Al?
Management of Site Preparation and Modification Costs
1. 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).
2. Contributions
2.1 Of the first £34 million of the Modified Tota! Infrastructure Costs, the Contractor will pay £29 million
and POCL will pay £5 million.
2.2 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.
2.3. 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 to the number of Outlets insialled.
24 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.
25 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 to £38 million, the Contractor will pay POCL
by way of refund an amount equal to £38 million less the Modified Total Infrastructure Costs;
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
3 POCL Excess Costs
3.1 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
40,
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(b) the Contractor's forecasts of the Modified Total Infrastructure Costs referred to in paragraph
2.3 of this Annex
3.2 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
POCL’s 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 wil 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.
3.3 Cost thresho!
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:
(i) one counter position - £2,500 per counter;
(ii) (wo 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.
3.3.2 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 in 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 cast 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.
te
ue
ie
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 Outlet with:
(a) 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 that Outlet is to:
(i) be relocated to new premises or premises refurbished by POCL or its sub-
conuactors so that such refurbished premises shall require no modifications
and not more than standard site preparation;
(ii) have its number of counter positions reduced to two; or
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(ii) be modified as is; and
(c) exactly one or two counter positions, determine whether that Outlet is to be:
[@) closed;
(i) relocated to new premises or refurbished by POCL or its sub-contractors so
that such refurbished premises shall 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.
3.3.4 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 ali costs arising out of the Contractor failing to notify POCL promptly
pursuant to paragraph 3.3.2(a) of this Annex; and
(b) paragraphs 3.3.3(b)(i), 3.3.3(c)(i) or 3.3.3(cMii) of this Annex, POCL shall provide
Pathway with sufficient notice as is consistent with the operational requirements of the
infrastructure programme.
3.3.5 In respect of Outlets to which paragraph 3.3.2 of this Annex applies, the parties have assumed
that:
(a) _all four counter position Outlets will be modified;
(b) 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
(c) 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. .
3.3.6 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 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.
3.4 Aborts. Suspends and Revisits and Out of Hours Work at Standard Sub-Post Offices
3.4.1 Of the costs of site preparation aboris, 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:
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(a)
(b)
©)
3.5
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;
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
the cost of out-of-hours work due to any standard sub-post office (other than the 100
largest 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”.
l¢ preparation cosis
POCL shall bear those costs of out of hours work and revised (at POCL’s 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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ANNEX 5 to Schedule Al2 - PHYSICAL. TECHNICAL & SERVICE LIMITS
Row SERVICE LIMIT CONDITIONS
OPS
1 Number of Outlets 18,250 maximum at any one GB & Northem Ireland, excluding:
and geography time during the term of the Channel Islands
Codified Agreement, subject Isle of Man
to the rates of change BFPO
contained in row 2 of this Other territories
table and the limit on counter
positions in row 3, Includes Head Office Counter Positions as
described in row 12 below.
2 Post Offices:
© relocated or 1.6% per annum
opened,
closed (and not 1.0% per annum
relocated)
3. Counter positions 39,390 maximum This includes counter positions in training
centres, without a separate limit for these. It
also includes Head Office Counter Positions
as described in row 12 below.
4. I Horizon 40,467 maximum Including: workstations, screens, slip/receipt
configurations, printers and keyboards/MSR/SCR. The limit
including those of 40,467 includes a float of 77 Horizon
installed in back configurations held in reserve for Operational
office locations. Business Change purposes, therefore the
maximum number of Horizon configurations
that can be installed at any one time is
40,390.
5. Single position Within the overall limit in row I The limit of 7,615 includes a float of 15
gateway
configurations
4 above, a maximum of 7,615
single position gateway configurations held in
reserve for Operational Business Change
purposes, therefore the maximum number of
single position gateway configurations that
can be installed at any one time is 7,600.
In no event shail the combined number of
single position gateway configurations and
multi-position gateway configurations
(whether installed in Outlets or held as float
for Operational Business Change), including
all Head Office Counter Positions, cause the
limit shown in row I of this table to be
exceeded.
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Row SERVICE
LIMIT
CONDITIONS
6 — I Multi-position
gateway
configurations
Within the overall limit in row
4 above, a maximum of
10,670
In addition to the single position
configurations in row 5 above. The limit of
10,670 includes a float of 20 multi-position
gateway configurations held in reserve for
Operational Business Change purposes,
therefore the maximum number of multi-
position gateway configurations that can be
installed at any one time is 10,650.
In no event shall the combined number of
single position gateway configurations and
multi-position gateway configurations
(whether installed in Outlets or held as float
for Operational Business Change), including
all Head Office Counter Positions, cause the
limit shown in row } of this table to be
exceeded.
7 Spare flat screens
350 maximum
These 350 will be deployed as required by
POCL from time to time.
8. Mobile
Configurations
Within the overall limit in row
S above, a maximum of
[CCN632b limit] at any one
time during the term of the
Codified Agreement
This relates to computer based counter
configurations which 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)
9. I Ad Printers:
+ Laser or LED
{light emitting
diode)
* Inkjet
4,000 maximum or more at
the Contractor’s option
18,250 minus the number of
Laser and LED printers
If the number of Outlets is increased beyond
18,250 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,
10. I Users to be trained
during Rol! Out
72,000 maximum
Programme
11 Documentation:
© Releases 2 per annum
* Emergency A4, Ipp, 12 per annum
updates
42. Head Office Counter I Within the overall limit in row I The number of Head Office Counter Positions
Positions 4 above shall count towards the totals in respectively
rows 5 and 6 above.
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‘ANNEX 6 to Schedule Al? - NBS - FINED MONTHLY CHARGES AND DISCOUNTS
IMPLEMENTATION OF NETWORK INFRASTRUCTURE (Paragraph 17.4) ~ _ -
ee in ad ne septa SseeSan raya up TOTAL TOTAL I
000-2 - - : - - = £60049 £51,350 es0.0H9 181,447
002-3 «£79975 F7RETS —RHINOH 59,808 —E160.S87 «£90,111 —H2,160 «£100,535 «E7E.765. £175,825 £20,308 £1,0%4,044
0045 : ee : : z : 2 : . £1.196,201
{ETWORK OPERATING CHARGES (Paragraph 17.5) _
Apt May un Jul Aug Sep oct Nov Dec Jon Feb Mar. SUBTOTAL TOTAL
001-2 - . : . - - - : . . .
£50,008 £185,904 £185,904 £72,144 99.200 £99.200 £99,200 IENN1 —esz.852
002.3 . . :
booa-4 £17893 £17809 E17RO91 - £178.991 178991 EI7BOB1 178.031 178.931 ITBOR E178031 et7BOS1 E17R031 £2,447.177
oos-s £61036 161.098 £161,038 £164,038 __€161,038 164.038 163,008 E161 G98 ErB1.0¥8 E1693 _F161,038 v6.08 _F1,932459 _c5 032.10
NETWORK HARDWARE AND SOFTWARE (Paragraph 17.5)
‘Ape May dun Jul Aug Sep oct Nov dec Jen Feb Mar SUBTOTAL TOTAL
002-3 £62,771 - > £1,044 .882 . . : - - : £1,107,683
IBS IMPLEMENTATION CHARGES (Paragraph 18.7)
‘Ape May Jun Jul Aug Sep oct Nov Dec Jan. Feb Mar SUBTOTAL TOTAL
001-2 : : : : : : - £94,967 £129,167 £242,449 £468,502
ooz-1 £215,128 £232,952 £214,291 £257,465 £281,023 £199,369 £149,985 £239,013 £292,503 £417.3965 £109,009, ~ £2,542,223
003-4 : : : - + £17227 : : : : - = £17227
004-5 : . - - - - - 5 - : . - =_£3,026,013
IBS CUSTOMER SERVICE CHARGES (Paragraph 19.1)
Aer May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar = SUBTOTAL TOTAL
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AUDIT RECORD QUERIES (TO SUPPORT 500 RETRIEVALS PER ANNUM) (Paragraph 19.2.1) ” ~
hoe May un Ai AD. Sep ORs Nov Dac dane =a SUBTOTAL TOTAL
on fosso8 esnone © cannes enaane 93 es3s96 exa 390 esas esnss0 I es3g08 I ex00051 I
booes 20004 _cy000¢__ga0004 9000 90004 __¢90,004 £30,008 fog em0904 Emo Eyon.oNs ETE aay
FlARGWARE AND SOFTWARE CHARGES WON BATA RECONCILIATION SERVICE) (Paraarenn ZOA)
tor “yng Sep Moy ee Fa) Mar SUBTOTAL TOTAL
booes moan . . . Se s2060.098
SAROWARE AND SOFTWARE CHARGES (bata RECONGIAARON SERVICE) Porsgraph 20%
Apr May Jun dul Aug Sep Oct Nov Dec Jan Feb Mar SUBTOTAL TOTAL
j2002-3 £1,274,896 . . £95,220 - £1,429.993 - £7,963 - - ~ — £2,808,072
PINPAD IMPLEMENTATION SERVICE CHARGES (OTHER THAN MAINENANCE) (Paragraph 24.3{a))
‘SCUyS”SCinSS*SCSS:C*gS Sep «(esos «SUBTOTAL TOTAL
. . . = 'ERs0s £80674 ceeze0 e7OTA cH07.109 cosas £563.208
£62,116 ERAS «SOTO 50859 es.663 I en2.550 —es.SO? —esneGD Gum E38I00 Er7e=D iTesD 507708
Piro WP LENENTATION SERVICE (HANTENANGE) CHARGES (Paragraph 248)
Apr May dun Jul Aug ‘Sep Oct Nov Dec Jan Feb Mar SUBTOTAL TOTAL
2002-3 . £1,029 £1,029 £1,023 £1,029 £1,029 £72,119 £72,119 £72,119 £72,119 72.119 £72,419 £437,861
003-4 fsaar2 9472 ——«eaad79—ge4a72.Sa4av2 £04472 Gua72—«co4AT2.—<G04a72EONIA7 OLAT cONAT 1.096258
£2500:32
kooes sana? sonar __—ongar_so.aa7_eos.ar four sour songer sonar _corser _coiger_sronssro 4
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rena cvaRGe SCOUT Paev=Oh 7
oe May dink kag Septoria dan Feber SUBTOTAL TOTAL
po02-3 £83,333 «£83,333 83.933 £89.993 £83.999 —£83.039 «89.393 £89.393 £89,983 £83.033 89.993 £09.333 £999,996
(2003-4 £250,000 £250,000 £250,000 «£250,000 £250,000 £250,000 £250,000 £250,000 £250,000 £250,000 £250,000 £250,000 —£3,000,000
00s s 166667 C166867 _E166867 __E186057 E106067 £100.657__C166657__ 160687 £15657 6,067 _C10K.687 _F1GR5G7 _cz000004 _¢6 000,004
{Fam worn oS COUNT Paragraph 186) -
I Apr May Jus Jul aug sep Oct Nov Dec. Jan Feb Mar SUBTOTAL TOTAL
poor-2 - - . - - - = £380,163 £452,603 £546,704 £1,379,469
fovas -«counsra eaoatan cxmane — erraton Seria supsaree ens cman teem
boo4-s . . . . - - . . . . . = £8,000.00¢
SUBTOTAL NETWORK BANS WONT OPERATING FEE
I Apr May don Ju) Aug sep Oct Nov Dec Jan Feb Mer SUBTOTAL TOTAL
hoota uy . . . Fanos “Saoere “tae zea cae2on enonaso eageaes ev arnone
woes —«czd2gaT:eazzSE) 20105 emnesd staat emacs? cunts came ceissta Gatto coma tonne Gomnier
esa ——«EMSOASS SUT ABD EDONGDS MSI0G I EBBOTIS —EATZOST I EUSAQ0 0S400 I ESEOSDG EAI7207 DBRGDE EO600U0 6732000
ons soos Sagas Greggs Gonos gains foongos Gwngos owjamt Glongu camrgod fmnant Gomnoos fa Tone Ciseerr
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2 6 JUN 2992
CODIFIED AGR EEMENT
SCHEDULE Al2- CHARGING MECHANISM
eVersion‘teter ‘eason for. change "eerie See ae eal Srrozensissudidate See
10 I Original signed version (reformatted) 28 July 1999
Vda ‘Applying CCN202b to 10.1; CCN433b to 10.2; CCNS60
to }.}. Annex I Part A, Annex I Part B
1.2b
implementations ~ reverting para 1.1; Modifying
CCN202b changes to 10.1, Appiying CCN202b to para 15
12 Baseline copy of 1.20 30 November 1999
13a Applying CCN570a to Annex 5; CCN571 to section
5
13 Baseline copy of t.3a 30 March 2000
ida Applying CCN368d to 7.3, 8.3, CCN612 w £.2, 8.3,
10.1, 13, 14. 15: CCN 619 to 8.1, 12, Table Annex 5
1.4b Re-applying CCN570a to row 9 of annex 5 (CCN619
allowed that this should be re-applied)
4c Correcting typo in bullet 5 of note I of para $.3
(CCN5684d included typo). Making date styie in table
heading para 14 consistent
L4 Baseline copy of L4c 21 July 2000
2.0a Applying CCN670 to section 15, section 16;
CCN653a to 5.10.1- 5.10.4, Annex 1 & Annex
5:CCN679b to section 16.1
2.0b Adding in omitted words from CCN655a: Word
adjustments in section 16.1 to clarify understanding
of charges in CCN679b
2.0 Baseiine copy of 2.0b 12 January 2001
3.0a Applying CCN722 to section 8.3; CCN733b to
section 16.1; CCN756 to 8.2, 8.3, 10.1, 13, 14, 15
and 16: CCN76i to Annex I
3.0b Rectifying typos in 8.3 and adding in details to 16.1
of CCNs 733b & CCN739
3.0¢ Amendments to ‘Frequency of charge’ column for
CCN733b & CCN739 to read ‘ Annuaily in arrears”
3.0 Baseline copy of 3.0c 19 September 2001
4.0a Draft following teleconference on 20/06/02 21/06/02
4.0b Draft following agreement to include Charges for 25/06/02
work carried out pursuant to CCN 9702
40 To Introduce Network Banking Service 25 June 2002
PART A - CORE SYSTEM CHARGES
1. ROLL OUT PAYMENT
Ll. The Contractor shall be paid the Rol] Out Payment subject to and in accordance with this Schedule.
Of this Roll Our 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 I and the final Progress Payment to become due
in accordance with paragraph 4.3 of this Scheduie A12.
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1. Cumulative number of Oudets in the 2. Date
Roll Out Programme
1,300 V1I1999
5,590 15/2000
10,680 1711/2000}
we
ie
The remaining £68 million of the Rol! Oxt Payment (in addition to the £480 million described above)
will be payable to the Contractor in accordance with Schedule A1@ on CSR Acceprance.
A retention of 25% shall be withheld from each Progress Payment (prior to the application of
paragraph 7.2 below) °
FIRST AVAILABILITY FEE
Lipon the fater 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 moath 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 3! March 2005 until the full amount of the First Retention Sum is paid.
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 A06) 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.
[f 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, ther recentions from the First and Second Availability Fees will be made ini
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 -
34.1 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.
If on any date on which payment of any monthiy 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 exceedis the Relevant Percentage of £19 million then POCL shall on that date
refund to the Contractor the difference.
For the purpose of this paragrapi 3, “Relevant Percentage” shall mean, in respect of any date when
any monthly payment in respect of any Availability Fee shull be due, a percentage equal to che
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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 2 percentage of the number of Outlets which remained to be
installed, as at the CS Compietion Date, in order to achieve Nationai Rol! Out.
Upon completion of National Roll Out the remaining balance of the amounts retained pursuant to
paragraph 3.3 shall be released in full to the Contractor. -
PROGRESS PAYMENTS
All Progress Payments to the Contractor will be made in accordance with Schedule A19.
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 Agreemtent
The final Progress Payment will be due on the date of compietion of National Ro!! Out or, if National
Rol! 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 resuit of the Default of POCL, any date in the Roll Out Programme is not-met
chen the relevant Progress Payments wiil 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.
OPERATING PAYMENTS
For the purposes of this paragraph 3:
“Actual Periodic Paymeat” means, in respect of any Operating Fee Period, the aggregate of all
Monthly Operating Fees actually paid or payable by POCL in respect of that Operating Fee
Period afier taking account of ali permitted non-payments, reductions and adjustments accrued
i respect of that Operating Fee Period under paragraphs 5.5, 5.6 and 5,9 of this Schedule
Al2; .
“Adjustment Amount” means, in respect of each Operating Fee Period, an amount equal to the
difference between the Actual 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 muitiplied by the RP! 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;
“Projected Periodic Payment” means, in respect of each Operating Fee Period, the amount set out
against that Operating Fee 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 muitiplied by the RP! Base Adjustment Factor.
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“RPI Base Adjustment Factor” means, :n respect of each Operating Fee Period, A divided by B
where: 6
4 = the Actual Periodic Payment for that Operating Fee Period; and
B = the Projected Periodic Payment for that Operating Fee Period;
“RPI Base Amount” means, in respect of each Operating Fee Period, the ammount set out against that
Operating Fee Period in column 3 of the table set out in paragraph 3.2 below;
*RPI Factor™ means, in respect of each Operating Fee Period, a percentage equal to the sum oft
(i) 100%; plus
(ii) the difference, expressed as a percentage of 163.7, between the level of RPI in
respect of the RPI Reference Month for May, 1999 (163.7) and the level of RPI 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 exampie, the RP] Reference Month for
December, 2001 shall be September, 2001); and
#87% Date” means the date on which Roll Out shall have taken place in $7 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 2. "3.
Operating Fee Period i Projected Periodic “RPI Base Amount
I Payment .
1/4/2001 - 31/12/2001 I £63.0m . £59.1m
1/4/2002 - 31/12/2002 I £85.0m £77.8m
1/1/2003 - 31/12/2003 £87.0m £77.7m
1/1/2004 - 31/12/2004 ; £1 Om : £70.6m. I
1/1/2005 - 31/3/2005 7 I £21.0m £18.1m °
3.3. {n addition to the Roll Out Payment referred to in paragraph I 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 on a monthly basis from 1 April, 2001 in accordance with
this paragraph 5. Subject to adjustment pursuant to paragraphs 5.5 to 5.9 of this Schedule A12, the
Monthly Operating Fee in respect of each Operating Fee Period shal be calculated by dividing the
Projected 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 che CS Completion Date shall not have been achieved but the 87% Date shall
have been achieved the respect of each month which fails before the CS Completion Date the
Monthly Operating Fee shall be reduced by muluplying it by the fraction equal to the number of
Outlets in respect of which Roil Out shali have taken place by the end of that month divided by the
number of Outiets :n respect of which Rolf Out is required in order for the CS Completion Date to be
achieved.
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Ifby 31 March, 2001 the 87% Dute shall not have beex achieved then the Monthly Operating Fee
shall not commence unti! the month in which the 87% Date is achieved.
For the avoidance of doubt, reimbursement to the Contractor of ail operating and maintenance costs
incurred prior to the Monthly Operating Fee becoming payabie is included within the Roll Out
Payment referred to above.
The Projected 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 shall be subject to adjustment at che end of each Operating Fee Period as follows:
3.8.1 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 Actual Periodic Payment in respect of that Operating Fee Period;
(b) the RPI Factor in respect of that Operating Fee Period;
(c) 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 shail, with the invoice for that final month, send to the Horizon Commercial Manager
+ at POCL details of those calculations
5.8.2 If in respect of any Operating Fee Period the Adjusted Periodic Payment is greater than the
Actual 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 Amouat
for that Operating Fee Period
5.8.3 If im respect of any Operating Fee Period the Adjusted Periodic Payment is less than the
Actual Periodic Payment then the Monthly Operating Fee in respect of the final month in
that Operating Fee Period shal! 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:
0) a Transaction volume cost element of 7%, which is based upon the Transaction volume
forecast as set out in Annex 2 to this Scheduie: and
(it) ‘an Outlet cost element of 32%, which is based upon the parties’ intention that the Contractor
wiil roil.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 actua! 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 Roli Out had occurred on the last day of the immediately preceding month (after
deducting in each case all Oudets to which Roil Our shail have occurred but which shail have
subsequently closed or ceased to be automated at the relevant time) and dividing by two) bears to
18,527. ‘
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3.10.1 Those Outlets which as at 15 September 2000 are included in the Roll Out Programme and have been
made ready for installation (“RFI") but which are subsequently closed shall be removed from the
Programme, such removal to be applied to Part A of Annex I to this Schedule as follows. The Outlets
shall be removed on a pro-rata basis from each of the weeks in Part A following a baseline date to be
agreed with POCL. The pro-rating shall be based on the number of Outlets to be removed as a
percentage of the current number of Outlets in Part A from the agreed baseline date.
$.10.2 Those Outlets which as at 15 September 2000 are included in the Roll Out Programme but which are
closed before being made ready for installation shall be removed from the Programme, such removal
to be applied as a reduction to Part B of Annex I to this Schedule as follows. The Outleis shail be
removed on a pro-rata basis from each of the weeks in Part B following a baseline date to be agreed
with POCL. The pro-rating shall be based on the number of Outlets to be removed as a percentage of
the current number of Outlets in Part B trom the agreed baseline date.
5.10.3 ‘The number of RFI'd Outlets in Part A of the Roll Out Programme suspended by POCL after I
September 2000 in excess of the quota allocated to POCL for this purpose (calculated as described
below) shail be removed from Part A and added to Part B of the Roll Out Programme. The Outlets
shali be removed on a pro-rata basis from each of the weeks in Part A following a baseline date to be
agreed with POCL. The pro-rating shall be based on the number of Outlets to be removed as a
percentage of the current number of Outlets in Part A from the agreed baseline date. The Outlets shall
be added on a pro-rata basis to each of the weeks in Part B following a baseline date to be agreed with
POCL. The pro-rating shall be based on the number of Outlets to be added as # percentage of the
current number of Outlets in Part B from the agreed baseline date. The quota allocated to POCL for
this purpose shall be calculated for each week in question as:
(number of Outlets scheduled for installation in that week - number of Outlets planned for installation
in that week) x (64%).
5.10.4 Those pre-RF! Outlets which are suspended by POCL after 15 September 2000 shall remain in Par B
of the Roll Out Programme provided that they are released by POCL into the Programme in
accordance with paragraph 5.10.8 as Fully Compliant Outlets.
5.10.5 In respect of the following Outlets, Roll Out shall take place under the Operational Business Change %
regime (subject to paragraph 3.10.6), namely:
(a) those Outlets in Part B of the Roll Out Programme; and
(b) those Outlets in Part A of the Roll Out Programme which for reasons other than POCL.
withdrawal or suspension from the Programme cannot be installed prior to 12 March, 2001. For the
avoidance of doubt such Outlets shall continue to be regurded as Part A Outlets for Roll Out
milestone purposes
$.10.6 The cost of installation of Outlets as Operational Business Change as referred to in paragraph 5.10.5
is included in the Rol] Out Payment (but without prejudice to the provisions of paragraph 6.1 of, and
Annex 4 to, this Schedule A12) and shal! be disregarded for the purposes of calculating other charges
payable from time to time 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 June,
200i (other than where the delay in carrying out such work arises as a result of Default by the
Contractor or where such outler 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 normai Operational Business Change charges applicable to that work.
5.10.7 Subject to paragraph 5.10.8, Ouclets which are cransferred to the Operational Business Change regime
under paragraph 5.10.5 shall be taken inte account in calcuiating 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.
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$10.8 Where pursuant to paragraph 5.10.3 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 instailation of counter equipment by 30 November, 200! then (except where such
failure is as a result of a Default by the Contractor or where such Outlet requites a Mobile Counter
Configuration which shall not have been made available by the Contractor to the reasonable
satisfaction of POCL)
(a) that Outlet shall 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
Al2: and
(b) the Contractor shall not be obliged to carry out the installation of counter equipment in that
~ Outlet under paragraph 5.10.6 above, but may be required to do so as Operational
Business Change, subject to the normal Operational Business Change charges applicable to
that work. .
SAL 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.
6. INFRASTRUCTURE PROGRAMME LN OUTLETS
6.1. In respect of the cost of site preparations in and modifications to Outicts, the Contractor and POCL
have agreed (i) a budget anc 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 io this Schedule.
6.2. In addition the Contractor will provide flat screens in all non-crown post offices for no additional
charge. :
63. ‘The reasonable costs of maintaining power supply at National {Lomery node post offices are to be
borne by the Contractor.
7. IN OFFICE DATA MIGRATION AND TRAINING CREDIT
71, POCL and the Contractor shall comply with their respective obligations in relation to in-office data
migration set out in the Migration Specification.
72. In consideration for POCL agreeing to carry out the work referred to in paragraph 7.1 above:-
721 the first Progress Payment referred to in paragraph I of this Schedule A12 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 taining 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.
7.3. 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 £1, 950per
refresher course.
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74. Subject to paragraph 7.3, each laptop in addition to the 25 laptops referred to in paragraph 7.
which POCL may require Pathway to provide shall be charged at a rate of £1,285 per laptop. &
75, To the extent that POCL reasonably requires more than 25 laptops in order to comply with its
obligations under paragraph 7.1 as result of the distribution of ECCO + Outlets in the Rot! Out
Programme. then Pathway shail provide to POCL such additional laptops ut 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 she 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.
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PART B - CHARGES FOR SERVICES AND PRODUCTS OTHER THAN CORE SYSTEM SERVICES
8. OPTIONAL POCL SERVICES
8.1. Operational Business Change
Subject to Clause 202 of the Codified Agreement, POCL shail 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
A12 onan incremental basis at marginal cost plus 10 per ceat. 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.
8.2. Out of Hours Sapport (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 01/01/2002
(RPI Baseline)
Outside to POCL Core Day £61.76
Saturdays and Sundays £72.98
Public holidays
Call-out charge
8.3. Training
Training provided by the Contractor in accordance with Schedule CO1 paragraph 1(a) shall be
charged at the following rates:-
Training Charge from 01/01/2002 (RPI Baseline)
Course Duration No. of Charge Charge (Venue
(Days) Delegates (Venue Incl.) not Incl.)
Counter Managers (1.5 days) 6 £1844.82 1504.46
Counter Assistants 1 6 { £1232.37 £999.95
ECCO+ Counter 1 6 £999.93
Assistants i
Combined CM/CA On- (1.5 days) 3 - £751,226
site
Combined CM/CA in (is days) I 6 £1844.82 :
KPL Venue
Train the Trainer 3 6 £6819.40 £3005.80
Auditors 2 6 £2342.28 £1866.98
Auditors & Invesugators_I 3 6 £3337.20 £2703.80
Counter Managers for 3 16 £2839,74 £2227.48
RNMs I
Counter Managers for 3 12 £5460.96 £4229.40
HFSOs
* HFSO Refresher 1 £1950 £1548
* HFSO - MiMAN, 4 2 £4898 £3314
I * HFSO - MiECCO 1 12 [£1447 £1051
* The courses marked * are iixed price and not related to the RPL baseline
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Notes:
The pricing given is based on a standard day rate, as can be seen from the congruence
between courses of the same length. However, there is a variation in price, which is caused
by the number of delegates and the number of the trainers needed to run the course.
Specifics tha: vary the course price frum the standard are as follows:
* The course handout is the same size for all courses (barring the Train the Trainer).
* Some courses require a higher skilled trainer to run them due to the subject matter (notably the
Auditors, Auditor/Investigators and Train the Trainer courses).
The handout on the Train the Trainer event is a full course kit (including script and OHP slides)
rather than the standard workbook and is charged accordingly.
« The length of day of the Counter Assistants and ECCO+ Counter Assistants courses incurs an
overtime payment for the wainers presenting the course. This payment is not needed for
the longer duration courses.
¢ The standard day rate applies for courses of up to 6 delegates. Where a course allows more than 6
delegates, two trainers will be required to run the course. Two vans will also be required to
transport the extra equipment required.
© Courses that have more than 6 delevates require larger classrooms, which are priced at a higher rate.
2. ICL Pathway will determine the venue to be used for these events. However, if Post Office
Counters Limited wishes to recommend a suitable venue, we will make best efforts to use it
as long as it meets the minimum criteria that [CL Pathway apply to training venues.
ua
‘he specification of the laptop equipment to be used as part of HFSO training events is
held as part of the standard training specification documents, The availability of laptop
PC's is covered in Section 7.4 of Schedule A12 of the codified agreement.
4, The charges above for HFSO MiMAN and MiECCO courses reflect the charges laid out in
Section 7.3 of Schedule A!2 of the Codified Agreement. When the Codified Agreement
was originally drawn up this training was envisaged as one course ofS days duration; but
has subsequently been split into two courses of 4 days and I days duration with the charge
in 7.3 apportioned between them.
The pricing for the HFSO courses takes into account the need for 2 trainers to attend
each course. The pricing for the HFSO MiMAN and HFSO MiECCO courses is
based on ICL Pathway’s original proposal that a single {CL Pathway trainer would
present the course, supported by a POCL expert. Therefore. the price is lower than
the day rate indicated by the Counter Manager for HFSO and HFSO Refresher
courses.
The prices quoted are per course and the number in the column titled “No of Delegates” indicates the
maximum number of delegates. These prices assume that the courses are run during the standard
working week (Monday to Friday, 9am - 6pm). It is also assumed that courses of more than one days
duration are to be run on consecutive days and will not span across weekends.
9. POCL CLIENT SERVICES
The operational element of POCL Client Services provided by the Contractor shall be charged at the
Contractor's marginal running costs.
10. ADDITIONAL POCL SERVICES
Charges for Additional POCL Services shall be as agreed between POCL and the Contractor from
time to time. .
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1.1. D104 Weigh Scales - connection service to Horizon platlorm
10.1.1. D104 scale successfully transferred to Horizon system at time of Horizon system installation
£31.22; or
D104 scaie tested but found not 70 be working at Horizon system installation
£31.22
10.1.2. Subsequent visit to transfer D104 scale to existing Horizon system (charge per visit)
£102.
10.1.3, The charges stated in 10.1.1 and 10.1.2 above are based on the certified iKg weight held by the
subpostmaster being available.
10.14. Supply of second data cable for connection to two Horizon platforms:
* . 1 to 1,000 second data cables No Charge
* Over 1,000 (charge per cable) £12.66
10.1.5. Supply thicty (30) I kilogram brass working standard weights supplied calibrated to M1 tolerance
£3,559.78
10.1.6. POCL shail give not less than one month's notice in writing that the Contractor is to provide the
certified weights so that it will not impact the installation timetable.
10.1.7. Note that any cables supplied as part of any of the above services become the property and
responsibility of POCL following the successful connection of the D104 weigh scales to the Horizon
platform.
10.1.8. All charges in section 10.1 are from 1/1/2002 (RPI baseline).
10.2. Hardware Euro Capability
10.2.1, — Carrying out by ICL Pathway of an analysis to identify needs for “Hardware Readiness”: no charge.
10.2.2. Upgrade the firmware in Ithaca counter printers in the Contractor's stock (but not installed in Post
Offices) so that chey can print the Euro symbol (): £16.50 per printer upgraded, to a maximum of
18.307 printers.
10.2.3, Upgrade keyboards in the Contractor's stock (but not installed in Post Offices) so that they have a
Euro symbol (e) on one of the keys: £0.40 per keyboard upgraded, to @ maximum of 18,000
keyboards
10.2.4. In respect of the Additional POCL Services referred to in paragraphs 10.2.2 and 10.2.3 of this
Schedule A!2, the Contractor will invoice in arrears every formight commencing two weeks after the
upgrade programme starts, with payment due 30 days after the date of invoice. Each invoice will be
for upgrades that have actually been carried out by the date of the invoice.
il. CORE SYSTEM PRODUCTS
The costs of supply of Core System Products are included within the Charges referred to in Part of
this Schedule A12.
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12. OPTIONAL PRODUCTS
12.4 The Charges for Optional Products shail be the manufacturer's recommended list prices from time to
ime less the following discounts:-
Product [Discount
Back-office printer 20%
Counter printer 40%
{
12.2 The Contractor shall supply mobile configuratiors beyond the upper limit specified in Annex 5 to this
Schedule A12 if requested by POCL with reasonable notice to allow the Contractor to convert fixed
single position gateway configurations to mobile configurations. The suppiy of such additional
configurations shall be instead of single position gateway configurations, such that the overall
combined number of single position gateway configurations and mobile configurations shal! be within
12. The
20 per mobile configuration beyond the limit specified in row 8 of
the aggregate of limits of such systems as set out in row 5 to Annex 5 to this Schedule
Contractor shall charge POCL
Annex 5 to this Schedule Al2.
13. 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)
stige ESP 5 Estimating Package.
Where such rates are not applicable, charges shall be caiculated on a time and materials basis as
follows:
Item I Charge from 01/01/2002 (RPL I
Baseline)
Electrical labour, normal 1'£33.67 per hour
working hours I
Materials “ Cost to the CONTRACTOR’s subcontractor
plus 30%
14, 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, unless expressiy provided otherwise, 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 01/01/2002 (RPI Baseline)
Software Engineer i £841.00
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Project Manager T £1,009.00
Senior Consuitant (1) I 2346.00
Senior Consultant (2) I £1,776.00
Senior Management i 030.00
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 shail 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, 10.1, 13 and 14, and in paragraph 16 where indicated within
that paragraph, shown as being from 01/01/2002, shall be subject to increases with effect from
01/01/2003 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 e.g. the increase applied with effect from January 2003 would be capped at
the difference between the All Items RPI Index at December 2001and December 2002 (the
percentage increase to be applied shall be taken to pwo decimal places)
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CODIFD A
16. CHARGES ARISING FROM THE CHANGE CONTROL PROCEDURE
iy agtee that other charges are applicable, Where a CCN introduces a nonaecunting
16.1, Frou time to time as part uf the Change Control Procedure, the parties »
charge, the arrangements for the payment of that charge shall be as specified on the appropriate CCN, taking into account the appropriate provisions of this
Codified Agreement, Where a CCN introduces a recurtiag charge aver the tei of Ue Codified Agreement (ur such shorter period as may be specified on the
CCN), the payment arrangements for that chatye shall he incorporated into the table below. ‘The notes column in the table below may be used to highlight other
nis Uo stanctard charging provisions agreed as part af the CCN (e gs shorter period tinen the full term of the Coxificd Agreensent).
specific vaviati
CON Description of charge Initial payment due Frequency of Periodic charge value Indlexation Notes
charge (1/1/2002Baseline) Provision
CCN641a Disaster recovery for Huthwaite
Gateway:
+ Equipment rental Gateway agreed as Quarterly in £11,000 Not indexed
ready for service advance’
+ Maintenance and support Gateway agreed as. Quarterly in 121,766.31 Subject to RPT
ready for service advance
CCNOTIb Message Broadcast Service After the first quarter Quarterly in £105.20 Fixed charge per Subject to RPL
foliow rears message PLUS £0.036 variable
implementation of the marge per outlet per valid
message, This charge has been
discounted by 10% to £0.0324°
on the basis that there are no.
SLAs applicable to this service
id that there is no
performance measuuret
reposting other than the existing
non-potled outlet report.
service
CCN733b Automated Payments Client
Spec. for DVLNI
Upon migration which Annually in. £1,215.82 Not indexed
was deemed to be
CCN733b Equipment maintenance
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ISDN rental 16.05.61 advance
CCN7330 Administration & support Upon migration which — Annually in £2,018.03 Subject RPI Price includes 20%
was deemed to be arrears coutingeney and
16.05.01 should be invoiced on
time incurred
for Software E
anaupower tates
©CN739 Inteodluce Standlacd Life As An
AP Chem With A Direct
Connection To IC
Pathway.
jwipment maintenance & Upoa migtation which — Aumually in 51,215.82 Noi indexed
ISDN rental was deemed to he advance
66.04.08
Administration & support Upon migration which — Annually in £2,018.03 Subject to RPL Prive includes 20%
was deemed to be contingency and
06.04.01 should be invoiced on
acura! time incurred
for Software Engineer
empower rales
CEN800 Connection to Girobank
vipmient maintenance and Gateway agreed a5. Annually in 1,126.73 No indexed
ISDN rental ready for servive advance
1/09/01
Administration and support Gateway agreed as Anumatly in £2,004.00 Subject io RPL Price includes 20%
ready for service avrears, contingency and
aay should be invoiced on
actual tine ines
1 Software
manpower rates
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MENT
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1D CONTRACTS.
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CON8O?
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Preparation aad uperation of
test (nax hwo per
year)
janiges 10 AP Client take-on
and Token Verification
Client Take on Facility
Client Toke on (regression)
Facitny
hutroduce Quantrifl as an APS
Client wath a Dive
Intertce to ICL. Pathway
Equipneat maintenance and
ISDN rental
Adininistration and support
Vawe 16 0F 32
Gateway agreed as
ready far service
O09
Upon start of service
which was deemed to
he April 2002
Upon start of service
which was deemed to
bbe Juily 2002
Upon connection of
Quant as an APS
Client which was
deemed to be 05/11/01
Upon connection of
Quantill as an APS
Cliewt whiel was
deemed to be 05/11/01
Anmneally in
anvears
Quarterly i
areas
Quarterly in
avrears
Annually in
advanee
Annually in
arrears
119,020.00
£6,888.
£2,755.50
£1,126.73
42,004.00
Subject to PRI
Subject to RPL
Subject to RPL
Not indexed
Subject to RPL
Price incites 20%
contingency aud
shuuld he
sett tine incurtes
ur Soitware Bagineee
npower rales
Price includes 20%
contingency and
should be invoiced on
actual time incurred
« for Sottware Engineer
manpower rates
Price includes 20%
byency and
should be invoiced on
actual time incurred
for Software Bugis
nuanpawer tates
et
Price includes 20%
sency ant
should be invoiced on
uctial time incurred
for Software Engines
CODIFIED AGREE!
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CONRO9
CCNST2
Intiuoduce AGN Lid as en APS.
Client with a Direct
Interface to ICL Pathway.
Equipment mainten
we
ISDN Rental
Adininisteation and support
Houoduce ESP as an APS
Client wit
Inierface to ICL P
Equipment
ISDN Rental
Adimnisteation and support
“Page 17 af S32
Upon connection an
AON Lid asan APS
Client which was
dented to be 11/03/02
Upon connection on
AON Lid as an APS
Client whieh was
deemed to be 11/03/02
Upon connection on
AON Ltd as an APS
Client which was
deemed to be 11/03/02
Upon connection of
Pasan APS Client
which was deemed to
be 07/03/02
Upon connection of
ESP as an APS Clien
which was deemed to
be 07/03/02
Upon connection of
as an APS Client
which was deemed
Annually in 1295.82
vance
Annually in £830.91
advance =
Anmuatly in £3,006.00
arrears
Annualiy in £295.82
advance
Annvrally int 1830.91
advance
Annually in 13,006.00
arrears
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Subject to RPE
Not Indexed
ihject te RPL
Subject to KE
Not Indexed
Subject to BPE
manpower rates
enanpower rates
Price inclades 20%
contingency anul
should be invoiced on
actual time incurred
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be 07/05/02 fur Software Engineer
manpower rates
CCNBOS Introduce National Savings as :
an APS Client with a Direet
Interface to I
Pathway
Equipment maintenance Upon connection of Annually in £295.82
National Savings asa advance
direct APS Client
jek ta REL
ISDN Ren Upon connection of Annually in £830.91 indexed
National Savings asa advance
direct APS Cl .
Aduumistration and support Annually in £3,006.00 Subject to RPI Prive includes 20%
. National Savings as a areas contingency and
direct APS CI should he invoiced on
manpower rates
CCN937 Introduce First Rate as au APS
Client with a Direet
Interface to ICL Pathway
Equipment miaintenaace Upon connection of — Aunualty in £295.82 Subject to RPT
First Rate asa AUS advance:
Client which was
deemed 10 be UI/06/02
ISDN Rental Annually in £830.91 Not tadexed
advance
Client which was
deen .
Administration and support Upon connection of Annually in £3,006.00 Price includes 20%
Fust Rate as an APS arrears contingency and
Clint which was . should be invoiced on
deemed to be 01/06/02 . actual time incurred
for Software Engineer
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PART C: NETWORK BANKING SERVICE CHARGES
17.
17.1
171A
i712
17.2
Charging Mechanism
NETWORK CHARGES
Types of Outlet
There are seven Outlet caregories referred to in this paregraph 17 for network charging purposes, as
follows
(a) Bronze Service Outlet:
(b) Silver Part Time Service Outlet that seeks to use a Fixed Connection for each Banking
Transaction (for which a Request is generated) occurring in that Outlet in the periods 08:30 to
10:30 Monday, 08:30 to 09:30 Tuesday and 08:30 to 09:30 Thursday. For the purposes of
this paragrapa 17, each such Outlet is referred to as “Type A”;
(c) Silver Part Time Service Outlet, that seeks to use a Fixed Connection for each Banking
Transaction (for which a Request is generated) occurring in that Outlet between 08:30 to
12:30 on Saturday. For the purposes of this paragraph 17, each such Outlet is referred to as
“Type B”;
(a) Silver Daytime Service Outlet that seeks to use a FRIACO Fixed Connection;
{e) Silver Daytime Service Outlet that seeks to use a non - FRIACO Fixed Connection;
() Silver 24 Hour Service Outle: that seeks to use a FRIACO Fixed Connection; and
(g) Silver 24 Hour Service Outlet that seeks to use 2 non - FRLACO Fixed Connection.
‘The allocation of Outlets berween the categories identified in paragraph 17.1.1 of this Schedule A12
shall be made in accordance with paragraph 2.6 of Schedule NO1 and subject to the additional
constraint that the number of Silver Daytime Service Outlets seeking to use a FRIACO Fixed
Connection in each calendar month shall not be less that 6000. There are no other limits or
constraints upon the number of Outlets in each category imposed by this paragraph £7 for charging
purposes.
Network Implementation Phase
The communications network required to support the NBS shall be impiemented during the period I
April 2002 to 31 January 2003 (inclusive) (the “Network Implementation Phase").
the communications network during the Network Implementation
The Contractor's Charge!
Phase shall be in accordance with the following tabie:
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Hem
Unit Charge
Number of
units
‘Total Charge:
during Network
Inplemen
Phase
Payments due
Bronze Service Guiler
Charges
427,777.78 per inonth inthe
Network Implementation Phase
P asouns
£250,000.00
Payments of the Ui
unther af anits spec
targe for the
Hare due in
accordance with paragraph 23. of this
Schestule A1?
Silver Daytiine Service
Outlets (FRLACO)
(@)_ 155,555.56 per neath in the
Network Lapplementation
Phase; phus
(o
£81 per month fur each of the
1,350 FRIACO Ports
provided in the
Inuplementation Phase, being
4 monthly Charge of
£121,500.00
work
Fmouths
1,000.00; plus
£1,093,500.00
Payments oF the Unit Charge far 0
1 of units spec
we with paragraph 23. of this
Schestle A12
Tnstallation of
communication links to
Data Centies
£166,500
One
11 466,500
Payment due on 1 July 2002.
£2,010,000
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17.3 Network Service
17.3.1 The full communications network required to support the NBS shall be available from 1
February 2003 until expiry of this Codified Agreement or termination, if earlier.
With effect from I February 2003, the Contractor's Charges (fixed and variable elements)
for the provision of the communications network shal] be calculated by the Contractor (to
reflect the monthly allocation of Outlets between categories pursuant to paragraph 17.1.2) in
accordance with the foliowing table:
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‘Outlet Type Fixed Monthly Charges [Variable Mouthly Charges
Bronze Service Outlets. £°£25,000 per month for all such Outlets, irrespective of the uumber of I 2.5p per Banking Transaction initiated in such Outlets
them,
Silver Part Time Service Outlets I £52.80 per month foreach Type A Outland 2.5p per Bunking Transaction initialed in such Outlets ouigide
(ype A und Type BY £52.80 per month for each Type 8 Oattet the tines that Fixed Connections are: duc to he used in suctt
Outlets (Type A and Type 1, as applicable).
Silver Daytime Service Outlets I £50,000 per month for all such Outlets; pls either of the Jollowing 2.5p per Ranking Transaction initiated in such Outlets ov
whichever is applicable: . { the times that
ixed Connections are di
(a) £81 per monih per Outlet, if the total umber of such Outlets is I Outlets.
between 6000 and 10,000, or
(b) £79 per month per Outlet, if the total number of such Outlets i
‘ i
to be used in such
exceeds 10,000,
“The Charge in (a) or (b) above (whichever applies) shall be applic
to each of the Outlets making up the total number.
ine Service Outlet, I £280 per month for each such Outlet 2.5p per Banking Transaction initiated in such Oullets outside.
using non -FRIACO Fixed the times that Fixed Connections are due to be used in such
Connections i Outlers:
Service Outlets I £260 per month for each such Outlet 7 “I No a
using FRIACO Fixed
Connections
Silver 24 Tow Service Outlets I £520 per month for each such Outlet ~~ TNo charge.
using non- PRIACO Fixed
Comections
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17.3.3 ‘The fixed elements of the Charges calculated in accordance with the table above shall become
due for payment in accordance with paragraph 23 of this Schedule Al2. The amount due for
paytnent dy POCL in respect of the variable elements of those Charges shall accrue due for
payment on a daily basis, the daily increment reflecting the number of Banking Transactions
initiated each day.
17.3.4 Banking Transactions shall not be taken into account when calculating EPOSS Transaction
volumes for the purposes of paragraph 5.9 o Schedute Al2.
17.4 implementation of network infrastructure
‘The Contractor's Charge for implementing the NBS communications network infrastructure
shall be the fixed sum of £1,196,291.00, payable in monthly instalments commencing January
2002 as set out in Annex 6 to this Schedule Al2.
17.5 Network Operating Charges
The Contractor's Charge for operating the NBS communications network, shall be the fixed
sum of £5,032,188.00, payable in monthly instalments commencing August 2002 as set out in Pa
Annex 6 to this Schedule Al2 .
17.6 Network Hardware and Software
The Contractor's Charge for Hardware and Software required for the NBS communications
network shall be the fixed sum of £1,107,653.00, payable in ovo instalments as set out in 4
Annex 6 to this Schedule A12. The first such instalment shall become due on I April 2002 and
the second instalment shall become due on 1 July 2002, as specified in that Annex.
177 Communications Network
4.
[fat any time the parties consider that Energis Communications Limited (“Energis") may
become insolvent:
17.7.1° they shail enter into good faith discussions to consider the appropriate course of action; and
17.7.2. the Contractor Shall prepare a strategy document (the “Energis Strategy Document”) for f
approval by POCL (such approval not to be unreasonably withheld). The Energis Strategy
Document shall address steps to be taken by the parties for the replacement (or otherwise) of
Energis as subcontractor where, as a result of an Insoivency Situation, Energis ceases to fuifil
. its obligations to the Contractor in respect of the communications network used in connection
with the NBS and the Existing Services
17.8 If as a-result of an Insolvency Situation Energis fails to comply with its contractual cbligations
to the Contactor and/or Energis ceases to provide the elements of the communications network
it has contracted with the Contractor to provide:
178.1 the parties shall implement such provisions of the Energis Strategy Document as may be
applicable in the circumstances;
1 shall use all reasonable endeavours as would be used by a party negotiating on
wunt to procure on the best possible commercial terms a supplier or suppliers t0
17.8.2 the Contract
its own ac
replace Energis in providing the elements of the NBS communications network formerly
provided by Energis (but shall not be required to enter into a contract with a supplier or
suppliers save to the extent the parties agree to the appointment of a substitute supplier or
suppliers in accordance with paragraph 17.8.4 below);
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17.8.3 the Contractor shall! disclose to POCL:
fa) all such information relating to the charges proposed by any prospective
replacement supplier; and
(>) a breakdown of the Energis charges in respect of the communications network
current at the time of the Insolvency Situation
as the Contractor is permitted by the third party and Energis (as the case may be) to disclose
(the Contractor having used all reasonable endeavours to procure that it is permitted by the
third party and Energis to disclose to POCL such charging information); and
the parties shall agree through the Change Control Procedure:
(a) _ whether or nota substitute supplier or suppliers is to be appoinied in respect of
provision of the NBS communications network;
(b) any resultant changes in the Contractor's Charges which are to be paid by
POCL in respect of the NBS communications network (whether due to the costs of
terminating the contractual arrangements with Energis, ransition to a substitute supplier
or suppliers, the level of charges payable to the substitute supplier or suppliers or
otherwise and having regard to the proportion of such costs and charges which relate to
the Existing Services); and
(c) any changes required to the Codified Agreement.
17.9 The Contractor shall not be liable for any failure to achieve the NBS Service Levels or its
obligations in respect of the NBS to the extent that it can show that the failure was due to
ergis’ ceasing to comply with its obligations to the.Contractor and (where applicable}
transition to new supplier or suppliers.
17.10 Ifand for se long as either party, acting reasonably, considers that Energis may become
insolvent the Contractor shall use its continuing reasonable endeavours to procure that Energis
consents to the release of the information referred to in Paragraph 17.8.3 (b) of this Schedule
AJ? in the event of an Insolvency Situation of Energis.
17.11 In the event that the parties agree through the Change Control Procedure that a replacement
supplier will not be appointed in respect of the NBS communications network the Contractor
shall be reieased from its obligations in respect of provision of the NBS network
communications link and its obligations to achieve NBS Service Levels which can not be
achieved as a resulk of the communications network no longer being supplied and/or Ene:
ceasing to compiy with its obligations to the Contractor due to an Insolvency Situation, such
release to be documented through the Change Control Procedure.
1712 Nothing in paragraph 17 of, this Schedule A12 shall:
{7.12.1 act to reduce or amend the obligation of the Contactor to provide the Existing Services on the
terms of this Codified Agreement notwithstanding any insolvency of Eaergis; or
act to reduce or amend the liability of the Contractor under this Codified Agreement including
without limitation in relation to the POCL Services, the NBS, the Existing Services or any
Service Levels other than as set out in Paragraphs 17.9 and [7.11 of this Schedule A12.
17.13 The occurrence of an bisolvency Event of Energis shail not of itself entitle the Contractor to
increase its Charges in respect of the Existing Services. .
17.14 For the purpose of paragraph 17 of this Schedule A12:
1714.1 “insolvency” in relation to Energis means:
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17.14.2
18
18.4.1
13.1.2
18.1.3
‘Charging Mechanism
(a) the commencement of any procedure with a view to the winding-up or re-
organisation of Energis (other than for the purpose of 2 solvent arnalgamation or
reconstruction);
{b) the appointment of an administrator, receiver, administrative receiver or trustee
in bankruptcy in relation to Energis or all or substantially all of its assets:
() the holder of any security over all or substantially all of the assets of Energis
taking any step to enforce that security; or
(@ _ allor substantially all of the assets of Energis becoming subject to attachment,
sequestration, execution or any similar process; and
“Insolvency Situation” means actual, intended or potential insolvency.
DESIGN, DEVELOPMENT, TESTING AND IMPLEMENTATION OF THE NBS
T&M Work
‘The raies which shall be used to calculate:
(2) the Contractor’s Charges for T&M Work including, without limitation, the following
work: .
() __cesign, development and testing of the NBS:
(ii) : development of software to support the NBS communications network;
(iii) PIN Pad development; and
(iv) remote PIN Pad key management development, and
{b) for the purposes of the T&M Budget for each T&M Work task in the NB Project Plan,
shall be as set out in the following table:
Professional Service Grade I__ Rate per working day
Software Engineer
Project Manager
Consultant 1 €1,002.75
Consultant 2 = I £1,323.00
Senior Management 1 E1312.00
Subject to paragraph 18.1.3 of this Schedule A12, the Charges based on the table above shall
be calculated on the basis that 2 working day is equivalent to § hours work by one individual.
on whichever day of the week or at whatever time of day that work takes place. Having
calculated the number of working days worked by an individual (by dividing the total number
of hours worked by that individual by 8) the charges due in respect of any remaining period of
less than 8 hours shall be the charge for the working day reduced pro rata.
All Contractor personnel who are identified in the organisational charts provided to POCL in
as holding manager or director positions or as
accordance with paragraph 3.2 of Schedule »
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being within the Comtractor’s Business Consultants Group shall be charged at no more than §
hours per day (including days worked on weekends) and POCL shall not be charged overtime
in respect of those personnel.
18.1.4. Subject to the T&M Budget, Contractor personnel other than those identified in paragraph
18.1.3 of this Schedule A!2 may be charged to POCL for extended day working where such
working is necessary to achieve the dates for achievement of tasks set out in the NB Project
Plaa, °
18.1.5 Subject to paragraph 18.2.3 of this Schedule A12, the Contractor shall be entitled to invoice
POCL and POCL shall pay for T&M Work up to the T&M Budget in respect of such work (as
reallocated between tasks or increased in accordance with the provisions of Schedule NOs)
specified in or derived from the NB Project Plan.
18.1.6 To the extent that a Default by the Contractor causes additional T&M Work to be carried out
by the Contractor which would not otherwise have been necessary (at any Level in the NB
Project Plan) that work shall be carried out at the Contractor's cost.
18.1.7 . Each of the rates specified in the table in paragraph 18.1.1 shall be subject to increases with
effect from I January 2002 and annually thereafier during the term of this Codified Agreement.
Such increase shall reflect the percentage increase in Retail Price Index as measured by
comparison to the Retail Price Index of twelve months earlier (the percentage increase in
Retail Price Index to be applied shall be taken to two decimal places).
18.2. T&M Work Payment Dates and Retention
18.2.1 The following events (each an “NB Event’) relate to payments due to the Contractor for the
provision of the NBS:
(a) NB Event 1 occurs upon the achievement of NBS Stage Progression from the NBS
Testing Stage to the Full E2E Testing Stage, as detined in paragraph 3.2.1 of Schedule
NO2
(b) NB Event 2 occurs upon achievement of NBS Acceptance as defined in 3.1 of Schedule
NO2, but cannot in any event occur before NB Event 1.
(c) NB Event 3 occurs upon the installation (for the first time) of the Software used for NB
Event 2 (as updated at the time of installation) in all automated Counter Positions,
mobile configurations (as described in row § of Annex 5 to Schedule A12}) Admin
Positions and ‘trolley based solutions where the NBS is to be made availabie in
accordance with paragraph 2.3 of Scheduie NOt.
{8.2.2 The target dates for each NB Event (each a “Target Date") and other commercial dates are set
out below. References in other provisions of this Schedule Al2 to such Target Dates shail, be
construed as references to such Target Dates as adjusted in accordance with the applicable
provisions of Schedule NO4 unless the original Target Date is expressly referred to, References
to the Rate Reduction Date in this Codified Agreement shall be construed as references to the
initial Rate Reduction Date given below, as adjusted in accordance with the applicable
provisions of Schedule N4.
(a) The Target Date for NB Event : is 11th October 2002.
(b) The Target Date for commencement of NB Pilot (Soft Launch) is 13th January 2003.
(c) The Target Date for NB Event 2 is 7 February 2003.
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(d) The Target Date for NB Event 3 is 31st March 2003
(e) The initial Rate Reduction Date is 11th October 2002.
POCL shall retain a proportion of the value of ail payments for T&M Work due to the
Contractor as follows:
(a). Prior to NB Event I the proportion retained by POCL shall be 20% of the value of
payments due to the Contractor for T&M Work carried out prior to NB Event i, One
half of the amount retained sha'l be allocated to Retention Pot 1, one quarter shall be
allocated to Retention Pot 2, he remaining quarter shall be allocated to Retention Pot 3
(b) Between NB Event I and NB Event 2, the proportion retained by POCL shali be 10% of
the value of payments due to the Contractor for T&M Work carried out between NB
Event 1 and NB Event 2. One half of the amount retained shall be allocated to
Retention Pot 2, the remaining half shall be allocated to Retention Pot 3.
(c) Between NB Event 2 and NB Event 3, the proportion retained by POCL shall be 5% of
the value of payments due to the Contractor for T&M Work carried out between NB .
Event 2 and NB Event 3. The amount retained shall be allocated to Retention Pot 3. :
18.2.4 The sums heid in each Retention Pot by POCL shall become due and payable to the Contractor *
as follows:
(a) upon the occurrence of NB Event 1, the sum held in Retention Pot I shall become due .
and payadle to the Contractor;
(b) upon the earlier of occurrence of NB Event 2 and the date 3 calendar months after the
commencement of NB Pilot (Soft Launch), the sum held in Retention Pot 2 shall
become due and payable to the Contractor;
(c) upon the occurrence of NB Event 3, the sum held in Retention Pot 3 shall become due
and payable to the Contactor, save that POCL shall be entitled to withhold one tenth of
the value of Retention Pot 3 for each Medium Severity NBS Acceptance Incident still
outstanding at that time, and POCL shall be entitled to withhold a further one tenth of
the value of Retention Pot 3 should there be any Low Severity NBS Acceptance
Incidents outstanding at that time;
(@ the sum withheld under (c) above in respect of each Medium Severity NBS Acceptance
Incident shai] become due and payable to the Contractor once that incident is rectified:
(e) the sum withheld under (c) above in respect of all Low Severity NBS Acceptance
Incidents shall become due and payable to the Contractor once ail such low severity
incidents have been rectified; and
(f) the Contractor shail be entitled to invoice POCL (and POCL shall pay) for each sum
heid in a Retention Por, atier that sum becomes due and payable in accordance with (a)
to (e) above.
18.3 T&M Work rate reduction
In the event that NB Event 1 has not occurred on or before the Rate Reduction Date, the
Contractor shall from that date reduce by 50% the rates (set out in paragraph 18.1 of Schedule
A12) used co calculate the amounts to be paid by POCL for T&M Work, and thar 30%
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18.6
18.7
19
19.1
reduction shall remain in force until such time as NB Event I occurs. For the avoidance of
doubt:
(a) the Contractor may revert to the rates in paragraph 18.1 of Schedule Al2 for T&M
Work undertaken after the actual date of achievement of NB Event 1: and
(b} the $0% reduction prior to the actual date of achievement of NB Event I is an absolute
teduction and the Contractor shall not be entitled to any payment to make up the
difference berween the 50% and the fuil rates.
Charges for correction of Acceptance Incidents
Following NB Event 1, the Contractor will be entitled to charge POCL for the correction of
NBS Acceptance Incidents outstanding at NB Event I until the T&M Budget for NB Event {
plas the T&M Budget for the Level 2 product tinalisation tasks identified in the NB Project
Plan which are due to take place after NB Event 1 are exhausted, and the Contractor shall
thereafter correct any remaining NBS Acceptance Incidents which were outstanding at NB
Event 1 at its own expense. - :
Payment of T&M Budget underspend
In the event that NB Event I is achieved on or before the Rate Reduction Date, then the
Contractor shall, upon rectification of ali NBS Acceptance Incidents outstanding at NB Event
1, be entitled to 2 sum (which shall be paid by POCL) equal to 25% of the underspend on the
aggregate T&M Budget for all tasks in the NB Project Plan due to be completed on or before
NB Event 1. Such underspend shail be calculated as the difference between that T&M Budget
for NB Event I and the aggregate of the sums due to be paid tothe Contractor for TM Work
to achieve NB Event and the sum due to be paid to the Contractor to achieve the rectification
of all NBS Acceptance Incidents outstanding at NB Event l
T&M Work Discount
POCL shall be entitled to a discount against the Contractor's Charges for T&M Work carried
out in 2002 equivalent (in total) to a sum not exceeding £8,000,000.00. The proportion of that
discount that shall be deducted from the Contractor's T&M Work Charges in each month of
2002 shall be as set out in Annex 6 to this Schedule Al2. Any such discount unused at the end
of 2002 shall cease to,be applicable. °
NBS Implementation Charges
The Contractor's Charge for NBS Deployment shall be the fixed sum of £3,026,012.00,
payable in monthly instalments commencing January 2002, as set out in Annex 6 to this
Schedule A12.
NBS OPERATING CHARGES
NBS Customer Service Charges
The Contractor's Charge for operating and managing the NBS shall be the fixed sum of
£9.2'8,330.00, payable in monthly instalments commencing January 2002 as set out in Annex 6
to this Schedule A12.
Audit Record Queries
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20.2
20.3
a.
‘Charging Mech
The Contractor's Charge for dealing with Audit Record Queries and Old Format Queries
(subject to and in accordance with paragraph 7.3 of Schedule NO{) shalt be the fixed sum of
£792_434.00, payable in monthly instalments commencing March 2003 as set out in Annex 6 to
this Schedule A12 .
If POCL exercises its option pursuant to paragraph 7.3.6 of Schedule NOI to vary the
maximum number of Audi: Record Queries and Query Days which the Contractor is required to
carty out, the Contractor's Charge specified in paragraph 19.2.1 of this Schedule A12 shall be
varied pro tata to reflect that revised maximum, with effect trom the same date that that revised
maximum becomes effective.
HARDWARE AND SOFTWARE PROCUREMENT
Hardware and Software Charges (non Data Reconciliation Service)
The Contractor’s Charges for the provision of Hardware and Software required to operate the
NBS (other than that required to operate the Data Reconciliation Service) shail be the fixed
sum of £2,062,818.00, payable in instaiments as set out in Annex 6 to this Schedule Al2. The
first such instalment shall become due on I April 2002 and each subsequent instalment
thereafter shall become due on the firs: day of the month to which it relates, as specified in that
Annex,
Hardware and Software Charges (Data Reconciliation Service)
The Contractor's Charge for the provision of Hardware and Software required to operate the
Data Reconciliation Service shall be the fixed sum of £2,808,072.00, payable in instalments as
set out in Annex 6 to this Schedule A12. The first such instalment shall become due on 1 April
2002 and each subsequent instalment thereafter shall become due on the first day of the month
to which it relates, as specified in that Annex.
Phase 2 Hardware upgrade
If POCL gives Phase 2 Notice to the Contractor pursuant to paragraph 12.2 of Schedule NO
the following Charges (which are additional to those set out in paragraphs 20.1 and 20.2 of this
Schedule Ai2) shall apply:
(a) If the date specified in the Phase 2 notice for commencement of Phase 2 (the
“Commencement Date") is between I September 2003 and 31 May 2004 (inclusive) the
Contractor's Charges for upgrading NBS Hardware to support Phase 2 Contracted
Volumes shatl’be the sum of
() £404,452.00, which sum shall become due for payment 5 calendar months prior
to the Commencement Date; plus
(ii) £1,059,743,00, which sum shall become due for payment I calendar month prior
to the Commencement Date. . .
(b) If the Commencement Date is between I June 2004 and 31 March 2005 (inclusive) the
Contractor’s Charges for upgrading NBS Hardware to support Phase 2 Contracted
Volumes shall be agreed under the Change Control Procedure and shail be consistent
with prices generally offered in the United Kingdom (at the time the Phase 2 Notice is
en) for products of the type required for that Hardware upgrade, provided on similar
terms.
OPERATIONAL CHARGE DISCOUNT
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POCL shail be entitled to a discount against the Contractor's Charges (specified in paragraphs
17.5 (network operating charges), 19 (NBS operating charges) and 24.4 (PIN Pad
Implementation Service (maintenance charges)) of this Schedule 412) equivaient (in total) toa
sum not exceeding £6.000,000.00. The proportion of that discount that shall be deducted from
such Charges in each month commencing April 2002 shall be as set out in Annex 6 to this
Schedule A12:
w
8
te
OTHER NBS CHARGES
charged for by the Contractor on a time and material basis using the rates specified:
‘The elements of the NBS or services associated with the NBS set out in the tabie below shall be
Reference
Summary (for
information purposes
only)
‘Applicable rates and basis of Charges
NOI,
10.3.
Schedule
paragraph
1
Co-operation and
assistance (following
NB Go Live } with
developing POCL’s
network banking
automation security
policy
Rates specified in the table in paragraph 18.1
of this Schedule A12.
Charges to be calculated by dividing the total
number of hours worked by each individual by
8 (such 8 hour period constituting a working
day to which the relevant day rate shall apply)
and in respect of any remaining period of less
than $ hours worked by an individual, that day
rate shall be reduced pro rata
I NOL,
Schedule
; paragraph
1104.5
Co-operation and
assistance in respect of
security breaches and
threats
Rates specified in the table in paragraph 18.1
of this Schedule A12
Charges to be calculated by dividing the total
number of hours worked by each individual by
3 (such 8 hour period constituting a working
day to which the relevant day rate shall apply)
and in respect of any remaining period of less
than 8 hours worked dy an individual, that day
I rate shall be reduced pro rata
N09;
lll
Schedule
paragraph
Co-operation and
assistance with business
continuity and fail-over
testing of End to End
Banking
Rates specified in the table in paragraph 181
of this Schedule A12
Charges to be calculated by dividing the total
number of hours worked by each individual by
8 (such 8 hour period constituting a working
day to which the relevant day rate shail apply)
and in respect of any remaining period of less
than § hours worked by an individual, tha: day
rate shall be reduced pro rata
Network
Banking
Transter
Service
I The service set out in
Schedule N6 to be
provided upon
termunation of the
NB/PIN Pad Services or
Rates specitied in the table in paragraph 18.1
of this Schedule A 12.
Charges to be calculated by dividing the total
aumber of hours worked by each individual by
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I the Codified Agreement, I § (Such § hour period constituting a working
as applicable I day to which the relevant day rate shall apply) t
{ and in respect of any remaining period of less .
than 8 hours worked by an individual, that day I
rate shall be reduced pro rata
22.2 The Charges set out in this part C of Schedule A12 include the Contractor's charges for icons
used in NBS software in the Release known to the parties as “BI3". Following Release BI3 the
Comtractor's Charges for any additional icons which may be required shall be as set out in the
CCD entitled “Horizon [con Service Prices” (CS/PDN/Q19) version 1.0, to be agreed between
the parties . ’
22.3 The Contractor's Charges in respect of non-T&M Work agreed pursuant to CCN 970a shall be
as specified in the table below:
Applicable charge
Description
and basis for
charging
1 Equipment for preparation of a rig room at the £ 146,300 payable on .
Contractor's premises (including electrical and air the date of delivery of
conditioning equipment, network ports, racking and such to the Contractor
cabling). by the relevant third
party supplier
DIT to NBE test rig together with operating software
* Additional Hardware including a primary domain
controller, agent and KMS server, MIS client, 1
correspondence server, KMS workstation, 3 counter
configurations, DRS workstation, authorisation and
confirmation agents and host.
2 I Equipment for upgrade of the DIT to NBE test rig (to £ 77,400 payable on
include addition of a DWH Hoss, a primary domain the date of delivery of
coatroller. RDMC, KMS admin, Test Director, VPN and I such to the Contractor
7 counter configurations). by the relevant third
party supplier.
3 I 2MB comms link from Warwick (NBE site) and £ 18,700 payable on
operation of said link until 31 March 2003. implementation of
such link
_I
Ali T&M Work carried out pursuant to CCN 970a shail be invoiced and payable in accordance
with paragraphs 18 and 23 of partC of this Schedule A212,
23 PAYMENT OF NBS AND NBS RELATED CHARGES
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we
fee)
Unless expressly stated to be due on a particular dave, the amount due for payment by POCL in
respect of each monthly Charge or monthly instalment of a Charge set out or referred to in this
Part C shail accrue on daily basis commencing the first day of that month, the daily increment
being a sum equivalent to the monthly Charge or instalment in question divided by the number
of days in that month,
w
o
ce)
All Charges set out or referred to in this Part C which becorne due for payment in each month
shall be invoiced monthly in arrears in accordance with Schedule A10 and shall be paid by
POCL.
Each fixed Charge (or portion thereof) stated in part C or part D of this Schedule A12 :0 be due
for payment on a date prior to the date of approval of CCN830 shall become due for payment
on the date of approval of CCN$50 (notwithstanding the earlier date specified). Within two
weeks after the date of approval of CCN850, the Contractor shail submit invoices in respect of
those Charges (net of any applicable discount to be allowed in accordance with paragraph 21 of
this Schedule A12), as adjusted in accordance with paragraph 23.4 of this Schedule A12.
ie)
ua
rey
o
&
‘The fixed Charges referred to in paragraph 23.3 shail be adjusted by deducting from them all
amounts paid or payable (for the services or equipment to which those fixed Charges relate)
under invoices submitted under the Network Banking CCNs. Subject to paragraphs 22.2 and
23.5 to 23.9 of this Schedule A12, apart from being obliged to pay (without prejudice to
paragraph 10 of Schedule 410) valid invoices submitted under the Network Banking CCNs,
POCL shall have no furthier obiigation under the Network Banking CCNs to pay for the
services or equipment to which those fixed Charges relate and no further invoices in respect of
those services or equipment shall be submitted under the Network Banking CCNs.
we
o
&
‘The provisions in this paragraph 23.5 shail apply to charges for T&M Work carried out under
the Network Banking CCNs during the period 12 April 2001 to 31 December 2001 and to all
Charges for work carried out under CCN 754 and CCN829, and any provisions to the contrary
previously agreed by the parties, including those in such CCNs are cancelled,
23.5.1 In this section 23.5, “SRS CCNs” means CCN 754¢ and CCN 829, and “CCN Date”
means the date of approval of CCN$50.
The total aggregate Charges for work carried out under the SRS CCNs shall be
£2,186.928, of which £1.518,270 (less the payments already made) became payable to
the Contractor by the CCN Date. The-balance of £668,658 shall become payable to the
Contractor upon commencemeat of the NB Pilot (Soft Launch). °
we
bed
ia
ia
As at CCN Date POCL had paid a total of £1,543,919 to the Contractor in respect of
the SRS CCNs and the Contractor shail, within 14 days of CCN Date, issue a Credit
Note to POCL for £25,649, being the difference berween the amount paid and the
amount payable by the CCN Date.
23.5.4 The total aggregate Charges for T&M Work carried out under the Nenwork Banking
CCNs during the period 12 April 2001 t 31 December 200! (inclusive) shall be
£3, 124,898, of which £2.499,918 (less the payrnenis already made) became payable to
the Contractor by CCN Date and the balance of £624,980 is allocated 30% to
Retention Pot 1, 25% to Retention Pot 2 and 25% to Retention Pot 3 under the
mechanism described in parayraph 18.2.3 (a) of this Schedule A12.
As at CCN Date POCL had paid e total of £2,541.576 to che Contractor in respect of
T&M Work carried out under the Network Banking CCNs during the said period and
the Contractor shall, within 14 days of CCN Date, issue a Credit Note to POCL for
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£41,658, being the differeace between the amount paid and the amount payable by the
CCN date.
23.6 Save as set out in paragraph 23.5, the Contractor waives all rights to receive payment from
POCL in respect of all work carried out under SRS CCNs at any time and all T&M Work
carried out under the Network Banking CCNs during the period !2 April 2001 to 31 December
2001 (inclusive).
23.7 Notwithstanding anything to the coarrary in the provisions of the Network Banking CCNs, the
total aggregate Charges for T&M work carried out under the Network Banking CCNs during
the period ! January 2002 to 21 Apri! 2002 (inclusive) shall be calculated or re-caleulated if
already invoiced (as the case may be) in respect of the Network Banking CCNs using the rates
and on the basis set out in paragraph 18 of this Schedule Al2.
23.8 in calculating or recalculating (as the case maybe) the Charges for T&M Work under the
Network Banking CCNs in accordance with paragraph 23.7 of this Schedule A12, the
Contractor shai! apply any discount applicable under paragraph 18.6 of this Schedule A12. If
having applied that discount a credit balance is due to POCL, that balance shail be carried
forward and applied against the Contractor's Charges in the next invoice fo be submitted in
respect of T&M Work; and so on (subject to paragraph 18.6 of this Schedule A12) until that
balance is exhausted.
23.9 The Contractor's Charges for T&M Work carried out between 22 April 2002 and the date of
approval of CCN850 (inclusive) shall be calculated in accordance with paragraph 18 of this
Schedule A12.
PART D: PIN PAD, PIN PAD SERVICE AND PAYPOLE CHARGES
24. PIN PADS
24.1 PIN Pad Hardware Procurement
24.1.1 The Contractor's Charges for procuring PIN Pad Units in accordance with paragraph 3.1 of
Schedule G12 shall be as follows:
\ Unit Unit price . Total number Total Charge
I I procured (to be (fixed):
delivered in
batches):
PIN Pad £221.3290 38,000 £8,429,502.00
Y Cable £44444 38,000 £168,387.20
Smart card £0.3333 38,000 £12,665.40
reader cover
' Cable swap £0.3333 38,000
i
I TOTAL
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24.1.3
i
4
iv
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The Charges for each batch of PIN Pads, cable straps, Y cables and/or smart card reader covers
(making up each PIN Pad Unit) delivered 10 POCE shall become due for payment upon such
delivery.
If POCL gives notice to increase the number of PEN Pads Units to be procured by the
Contractor pursuant to paragraph 3.2 of Schedule G12, the Contractor's Charges for each
additional PIN Pad Unit procured shail be as set out in the table in paragraph 24.1.1 above.
The Charges for each batch of PIN Pads, cabie straps, Y cables and/or smart card reader covers
(making up each such additional PIN Pad Unit) delivered to POCL shall become due for
payment upon such delivery.
If POCL gives notice to increase the number of PIN Pads to be held as OBC stock pursuant to
paragraph $5.2 of Schedule G12, the Contractor’s Charge for each additional PIN Pad Unit
procured shall be the sum of £274.00, which sum shall become due for payment upon delivery
of that PIN Pad Unit to the Contractor. The Charge for each PIN Pad specified in this
paragraph 24.1.3 is subject to the proviso that notice is given to increase the number of PIN
Pad Units held for OBC purposes by no more than 1000 on each occasion that such notice is
given. For the avoidance of doubt, the Charges specified in this paragraph 24.1.3 shall be in
addition to any Charges agreed in respect of PIN Pad related services set out in the Operational
Business Chanye Catalogue
24.2 PIN Pad Paypoles
‘The Contractor's Charges for procuring Paypoles ia accordance with paragraph 3.1 of Schedule
G12 shail be as follows:
Unit charge: Total number procured I Charge (fixed):
(to be delivered in j
batches):
Paypole £37 37,000 £1,369,000.00
I Paypole boxes (for I 20.97 37.000 £35,890.00
I delivery of
I Paypoles)
I Total Charge (fixed): £1,404,890.00 I
I
i - j
The Charges for each batch of Paypoies (and boxes) delivered to POCL shall become due for
payment upon such delivery
If POCL gives notice to increase the number of Paypoies to be procured by the Contractor
pursuant to paragraph 3.2 of Schedule G12, the Contractor’s Charge for each additional
Paypole procured shall be the sum of £37.97 (including box), which sum shall become due for
payment upon delivery of that Paypole to POCL.
{f POCL orders further Paypoles in accordance with paragraph 6.5 of Schedule G12 (on 100
days’ notice), the Contractor's Charge for each additional Paypole procured (including box)
shalt be the sum of £40.47, which sum shall become due for payment upon delivery of that
Paypole to POCL. The Charge for each Paypole specified in this paragraph 24.2.3 is subject
to the proviso that each such order for is for no more than 1000 Paypoies. .
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243
rs)
iw
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‘Charging Mechan
PEN Pad Implementation Service Charges (other than maintenance)
The Contracior’s Charge for the PIN Pad implementation Service (other than the maintenance
element of that service) shali be as follows;
(a) The fixed sum of £993,290.00, payable in monthly instalments commencing October
2001 as set out in Annex 6 to this Schedule A12
(b) — Inrespect of each No Fault Found PIN Pad described in paragraph 4.5 of Schedule
G12 (where a charge is payable in accordance with that paragraph) which is returned to
the Contractor in accordance with paragraph 4.3(D) of Schedule G12, the sum of
£72.50.
(cs) In respect of each PIN Pad installation completed by the Contractor in the circumstances
described in paragraph 4.13 of Schedule G12, (where a charge is payable in
accordance with that paragraph), the sum of £68.50,
PIN Pad implementation Service (Maintenance) Charges
The Contractor's Charge for maintaining PIN Pads (following their deployment by POCL in
accordance with Schedule G12) shall be the fixed sum of £2,$68,324.00, payable in monthly
instalments commencing May 2002 as set out in Annex 6 to this Schedule A12.
PAYMENT OF PIN PAD CHARGES
Unless expressly stated to be due on a particular date, the amount due for payment by POCL in
respect of each monthly instalment of a Charge set out or referred to in this Part D shall accrue
‘on daily basis commencing the first day of that month, the daily increment being a’sum
equivalent to the monthly Charge or instalment in question divided by the number of days in
that month.
All Charges set out or referred to in this Part D which become due for payment in each month”
shall be invoiced monthly in arrears in accordance with Schedule ALO and shall be paid by
POCL.
Each fixed Charge (or portion thereof) stated in this part D of Schedule Al? to be due for
payment on a date prior to the date of approval of CCNS50 shail become due for payment, be
adjusted and invoiced in accordance with paragraphs 23.3 and 23.4 of this Schedule A12.
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Roll Out Progrimmne
Parts
[ Week Commencing I Number of Outlets (ine. live
triaty
‘Already rolled out I 299
23/08/99 26
30/08/99 1
06/09/99 a7
13/09/99 o 80
20/09/99 _ 158, -
I 27/09/99. 18 _
I 04/10/99 203,
[11/10/99 203
18/10/99 . 203
25/10/99 203
en) eee
[awry o a
[sii iio9 a 7
99 0
I 2971 1/99. 0
06/12/99 _ 0 ____I
13/12/99 oo a
“20/1299, 0
I 27/12/99. i
63/01/00 o
10/01/00, o
17/01/00 6 _
24/01/00 120
310100 180)
7702/00 __ 250 —
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Week Conu Number of Outlets (ine. live
trial)
14/02/00 ~ 306
21/02/00 306
28/0200 306,
‘06/03/00 306
13/03/00 306
20/03/00 306
03/04/00
10/4700,
17/04/00.
2470/00.
OK/05/A00_
15/05/00
22/05/00.
29/05/00.
05/06/00
12/06/00,
I 19/06/00 i:
26/06/00
03/07/00
10/07/00,
31/07/00.
07/08/00.
1708/00
71/08/00
2ei03!00
04/09/00.
LAA)
18/09/00
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‘k Commencing Nuusber of Outlets (inc. tive.
ti
25/09/00. 288
I 02/10/00
9/10/00 287
“16/19/00 [287
23/19/06 287
[30/10/00 287,
96/11/00 287,
I 1371 700) 287
20/11/00. 287
27/41/00 287
04712700 “[os7
L/12/00
Lovool
o/or/ot 287
15/01/01 287
22/001 287 _
29/01/01 287
05/02/01 287
[12/02/01 273 ___I
19/02/00 259
26/20 — 120
95/03/01 108
Sub total 17170
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Outlets tu be Rolled Qutunder
‘Operational Business Change
Week Commen
Number of Outlets (ine. live
12/05/01
Ty/OO1
26/000
02704701
09/04/04
[erwin
23/08/01
30/04/01
Fo7isiot
[ia/osior
21/05/01
28/05/04
‘04/06/01
L106701
‘Sub total
[National Roll Out Toral
Annex 2 ( Schedule AIZ
‘Transaction Volumes
OBCS volumes are volumes through Horizon only and are inchuted in the Orderbook Transactions. All others are totals, whether through Hovizou or not,
“Charging Mec!
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‘Orderbook Transaeiions Tae 798 We Ie 2319 73 00
Ginwcheque Transsctions 0) 320 489 a9 ina 08 oo
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FEROS wl APS: 13370 404013029728 12680 1B ow
Yorat isis “72088 “ApS 13353 oo
ones 15864530270 SRBL 28D oo
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Xv
3 TO SCHEDULE
Transaction Metries 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: I chargeable transaction per tanscash item. For the avoidance of doubt, there will be no
chargeable transaction associated with the fee payable on the transcash item.
Postal orders: 1 chargeabie 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 vaiue (e.g. the 27p of a
postal order of value £35.27), these stamps will be counted as a chargeable transaction in accordance wiih 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 buy:
i x £2.00 and 1x £5.00 cards this would be 2 chargeable transactions.
Saving stamps: I chargeable transaction per client, per customer session regardless of the quantity and
combination of saving stamp values sold. For example, if ¢ customer buys I 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 I 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 postai 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 ! 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
° 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.
. An adjustment factor, to apply in al! 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 I transaction per line, i.e. I item of each of 2 different
lines = 2 transactions, 2 of the same line = I transaction.
Entry of sales not wansacted on the POCL Service Infrastructure: i.e. postshop, vending, lottery etc. Charged as
] transaction per batch entry for each product (e.g. 60 lottery ticket sales and 60 vending items = 2 transactions).
Res “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 wansaction.
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Premium Mails Services: Each item requiring separate entry will count as I transaction (eg. posting 3 catapost
packages which require separate recording). Where items are entered as multipies (e.g, posting 2 parcels of the
same weight with recorded delivery to the same zone) these will count as a single transaction.
Scales, premium services, and postal order transactions are additional to any related sale of postage stamps, but
no more than I postage stamp sale will be recorded per customer session regardless of the use of those siamps.
Order Book Transactions: Each encashed foil shall count as a separate transaction.
: Each Girocheque encashed shall count as a separate transaction.
Girocheou
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AS 4 TO SCHEDULE Al2
Management of Site Prepuration and Modification Costs
L 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 {nfrastructure Costs” means the total costs incurred under the
infrastructure programme (excluding payments made or :o be made by POCL pursuant to paragraph 3 of
this Annex).
2. Contributions
21 Of the first £34 mullion of the Modified Total Infrastructure Costs, the Contractor will pay £29 million
and POCL will pay £5 million.
2.2 The £5 million which POCL is required to pay pursuant to paragraph 2.! 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
‘st standard sub-post offices) relating to site preparation and modifications, together totalling
144.
lars
ie
If the agreed forecasts of the Modified Total Infrastructure Costs exceed £34 million, POCL will pay the
next £4 miilion, such payment to be phased pro rata to the number of Outlets installed.
2.4 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,
Modified Total Infrastructure Costs are:
ff, on the NR Completion Date,
w
2.5.1" less than or equal to £34 million, the Contractor will pay POCL by way of refund £4 million;
greater than £34 million but less than or equal 1o £38 million, the Contractor will pay POCL
by way of refund an amount equal to £38 mullioa less the Modified Total Infrastructure Costs;
greater than £38 million but less than or equal to £39 million, the Comtractor will pay to
POCL by way of refund an amount equal to £39 million less the Modified Total {nfrastructure
Costs; and
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 Toral Infrascracnure Costs.
Any payment to be made by the Contractor to POCL pursuant to this paragraph shail be made within 30
days of the NR Completion Date.
3. POCL Excess Costs
a
Records
The Contractor shall keep and make available appropriate records to verify:
(a) those costs of the infrastructure programme which are te be bore by POCL; and __
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(b} the Contractor's forecasis of the Modified Total Infrastructure Costs referred to in paragraph
2.3 of this Annex.
we
in
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
POCE shall bear such costs in accordance with paragraph 13 of Schedule A12. (Without prejudice to
POCL’s obligation to bear such costs, an estimated cost to POCL of £i.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 Ourlets 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
we
33.1 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:
(i) one counter position - £2,500 per counter;
fai) two counter positions - £1,800 per counter; and
(iii) three or more counter positions - £1,200 per counter
then the Contractor shail carry out the modification work in accordance-.with the Roll Out
Programme. :
3.3.2 In respect of any Ouuet 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 prompily notify POCL in writing of the Financial Accounting
Division (“FAD”) code, the name and the focation 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 :he 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 Outlet with:
a
ue
(a) 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 that Outlet is to:
(i) 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 preparaijon;
(ii) have its number of counter positions reduced to two; or
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(iii) be modified as is; and
(c) exactly one or two counter positions, determine whether that Outlet is to be:
(i) closed;
(ii) relocated to new premises or refurbished by POCL or its sub-contractors so
that such refurbished premises shall 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.
3.34 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)Ciii) 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(2) 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 Contactor failing to notify POCL promptly
pursuant to paragraph 3.3.2(a) of this Annex; and
(b) paragraphs 3.3.3(b)(i), 3.3.3(c){i) or 3.3.3{c)(ii) of this Annex, POCL shall provide c
Pathway with sufficient notice as is consistent with the operational requirements of the
infrastructure programme.
3.3.5 In respect of Outlets to which paragraph 3.3.2 of this Annex applies, the parties have assumed
that: 7 .
: &
{a) all four counter position Outlets will be modified,
(b) 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
(c) the numbers of one or two counter position Outlets modified pursuant to each sub- &
paragraph of paragraph 3.3.3(c) of this Annex shal! be equal.
3.3.6 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 savinys that may arise as a result of any of the assumptions in paragraph
5 of this 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 Our of Hours Work at Standard Sub-Post Offices
3.4.1 Of the costs of site preparation aborss, suspends and revisis 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 shail bear such of those costs as are specified in paragraph 3.4.2 of this Annex.
The costs referred to in paragraph 3.4.1 of this Annex which are to be borae by POCL are:
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{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 che 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 wil! 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
largest 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”.
we
uw
Other excess site preparation costs
POCL shall bear those costs of out of hours work and revised (at POCL's 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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CODIFIED AGREEMENT
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ANNEX 5 to Schedule Al? - PHYSICAL. TECHNICAL & SERVICE LIMITS
Row, SERVICE
I LIMIT
[ CONDITIONS
OPS.
7
1 Number of Outlets
and geography
18,250 maximum at any one
time during the term of the
Codified Agreement, subject
to the rates of change
contained in row 2 of this
table and the limit on counter
positions in row 3.
GB & Norther Ireland, excluding:
Channel Islands
Isle of Maa
BFPO
Other territories
Includes Head Office Counter Positions as
described in row 12 below.
2. Post Offices:
* relocated or 1.6% per annum
opened,
* closed (and not 1.0% per annum
relocated)
3. {I Counter positions 39,390 maximum This includes counter positions in training
ceritres, without a separate limit for these. It
also includes Head Office Counter Positions
as described in row 12 below.
a. I Horizon 40,467 maximum Including: workstations, screens, slip/teceipt
configurations,
including those
installed in back
office locations.
printers and keyboards/MSR/SCR. The limit
of 40,467 includes a float of 77 Horizon
configurations held in reserve for Operational
Business Change purposes, therefore the
maximum number of Horizon configurations
that can be installed at any one time is
40,390.
3. I Single position
gateway
configurations
Within the overail limit in row
4 above, a maximum of 7,615
The limit of 7,615 includes a float of i5
single position gateway configurations held in
reserve for Operational Business Change
purposes, therefore the maximum number of
single posision gareway configurations that
can be installed at any one time is 7,600.
I In no event shall the combined number of,
I single position gateway configurations and
multi-position gateway configurations
} (whether installed in Outlets or held as float
for Operational Business Change), including
all Head Office Counter Positions, cause the
limit shown in row 1 of this table to be
L exceeded.
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RESTRICTED CONTRACTS
CODIFIED AGREEMENT
Row. SERVICE
LIMIT
CONDITIONS }
6 Multi-position
gateway
configurations
Within the overall limit in row
4 above, a maximum of
10,670
In addition to the single position
configurations in row 5 above. The limit of
10,670 includes a float of 20 multi-position
gateway configurations held in reserve for
Operational Business Change purposes,
therefore the maximum number of multi-
posilion gateway configurations that can be
installed at any one time is 10,650.
In no event shall the combined number of
single position gateway configurations and
multi-position gateway configurations
(whether installed in Outlets or held as float [
for Operational Business Change), including
all Head Office Counter Positions, cause the
limit shown in row 1 of this table to be
exceeded.
7 I Spare flat screens
350 maximum
These 350 will be deployed as required by
POCL from time to time.
8. Mobile
Configurations
Within the overall limit in row
5 above, a maximum of
[CCN632b limit] at any one
time during the term of the
Codified Agreement
This relates to computer based counter
configurations which are designed to be
removed and stored away from the service
position (not to be confused with standard
computer configurations on crolleys or in
vans)
9. A4 Printers:
¢ Laser or LED
(light emitting
diode}
* Inkjet
4,000 maximum or more at
the Contractor’s option
18,250 minus the number of
Laser and LED printers
{f the number of Outlets is increased beyond
18.250 in accordance with the limit and
conditions in row I of this table POCL may
procure an equivaient number of additional
printers as Optional POCL Services, she
pricing of equipment to be by reference to the
pricing of Optional Products. ‘
10. Users to be trained
during Roll Out
72,000 maximum
Programme j
iW Documentation: ©
° Releases 2 per annum
© Emergency M4, Ipp, 12 per annum \
updates a
12, Head Office Counter I Within the overall limit in row I The number of Head Office Counter Positions
Positions 4 above shall count towards the totals in respectively
rows 5 and 6 above.
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CODIFIED AGREEMENT SCHEDULE A12 RESTRICTED CONTRACTS
ANNEX 6 to Schedule A12- NBS - FINED MONTHLY CHARGRS AND DIS
IMPLEMENTATION OF NETWORK INFRASTRUCTURE (Paragraph 17.4) }
Ae May su aug Sep oat Now bee Jan Fe Mar SUBTOTAL TOTAL
boot2 : - - - : = £60,049 G64.a90 CDOKD 181,447
20023 £70,075 ET9S7S 09.8 —HO.BOACIGO.SHT EO, BR, ND I <£100595 «£76765 175,025 £29,306 21,014.04
08-5 . : : - : : oe £1,196,205
NETWORK OPERATING CHARGES (Paragraph 17.5)
Ape May Jun ut aug Sep oct Nov bee Jan. Feb Mar SUBTOTAL TOTAL
002-3 - : - ~ £50,995 £186,304 C1¥5.904—£72.A4s £93,290 99.200 £89,200 cITASs1 —case,552
004 £17893) EI78931 EVB.9I - £178,991 e176! cy7e901 - ErASa— Sa7ega1 $178,994 cvve.93s 62,147,477
004-5 £161,038 £161,098 £161,038 £161.038 £161,038 _ 161,038 _€161,038 _ £161,038 _ £161,035 _£761,038 £162,036 £167,038 _£1,932,159
NETWORK HARDWARE AND SOFTWARE (Paragraph 17 6)
ape. May Jun su aug Sep oct Nov Dec Jan-Feb Mar SUBTOTAL TOTAL
0023 £02,771 - ~ £1044,g02 - : : : : : £3,107,653
004-5 - : : : - £1,107 05
NBS lMPLEMENTATION CHARGES (Paragraph 18.7)
ap May’ dua wu aug Sep oat Nov. Dec Jane Mar SUBTOTAL TOTAL
roor.2 oo : : - : - = onga7 £170,107 24a.4g0 — r466.562
002-3 RIS.179 g92962 ERI} ERSTAOS — 291029 £190,909 £149,985 £417,295 £109,000 = £292.20
0034 - : - - =. er - : - eIn2a7
0045 - . - - : — : - = £30264
fuss CUSTOMER SERVIGE CHARGES (Paragraph 19.1)
i apr May un su aug Sep ot Nov Dec dana Mar SUBTOTAL TOTAL
faoot2 - : - = crak e7843 7,883 £16,707
0023 kg kaTHD TAD £218.60 E7082 «£81678 £04,074 £06,240 £160,505 £271,870 £320,108 £920,104 £1,678,701
00-4 CS8.984 sks.t41 saHORM 188.58 edn STH EA 600 £349,009 £240,009 951.795 £962,010 915.022 cB15424 C4.112,286
cons 170,801 aenam__c2moeei _czmaamy ,—_exeness emai coment _ezeaan1_cosgent" exenger cosinor tezinzsl
£207,982 _ £263,881
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[AUDIT RECORD QUERIES (0 SUPPORT 500 RETRIEVALS PER ANNUM) (Paragraph 19.2.1)
I Ape May sun Jul Aug Sep Oct Nov Dec Jan Feb Mar SUBTOTAL TOTAL
2001-2 . . . . . - .
2002-3 : . . : . : - . + £93,998 8,338
103-4 £33,938 £39,398 £33,338 £93,338 £39,338 £39,338 £38,338 £33,338 £99,998 £33,098 £33,938 £33,338 £400,051
2004.5, £30,004 £30,004 _£30,004_ £30,004 ___£30,004 _£30,004__ £30,004 __ £30,004 £30,604 £30.04 £30,004 £30,004 __£360,045__£793,434)
HARDWARE AND SOFTWARE CHARGES (NON DATA RECONCILIATION SERVICE) (Paragraph 20.1)
Apr May Jun Jul Aug Sep Oct Nov Dec TOTAL
1002-3 £930,341 - - - £121,918 - + £1,010,559 an
003-4 . . . - - . . : . .
1004-5 __ _ . . - ee _ . - £2,062,81
HARDWARE AND SOFTWARE CHARGES (DATA RECONCILIATION SERVICE) (Paragraph 20.2)
Apr May Jun Jul Aug Sep "Oct Nov Dec Jan Feo Mar = SUBTOTAL TOTAL
001-2 - . . . : . : . . :
002-3 £1,274 .896 . ~ £95,220 + £1,429,993 = 5 = £7,963 - 2,808,072
003-4 : - - - - - - : :
004-§ : - - : - 5 : = £2,808,07:
INPAD IMPLEMENTATION SERVICE CHARGES (OTHER THAN MAINENANGE) (Paragraph 24.3(a))
Apr May sun Sul Aug Sep Oct Nov Dec Jan Feb Mar SUBTOTAL TorAt,
1001-2 : - - : £2,508 £99,674 £48,203 £79,074 £107,193 286.028 £363,366.
1002-3 262,118 £83,151 £50,796 £56,863 £S6,B6S £62,530 £59,697 296,853 £48,799 £36,360 £17,659 17,859 607,788
003-4 £14,530 £7,607 : - . : - - : - - . £22,137
woos-s __ : : - — a se - - : = £993,29
"INPAD IMPLEMENTATION SERVICE (MAINTENANCE) CHARGES (Paragraph 24.4)
‘Ape May Jue Jul Aug Sep Oct Nov Dec san Feb Mar SUBTOTAL TOTAL
boot-2 - . - - - .
2002-3 + £1,029 £1,029 £1,029 £1,029 £1,029 e72.119 P72119 £72,199 = 72,199 £72119 £72,119 £437,861
003-4 £84472 £84,472 64.472 £84,472 £84472 £84,472 £84,472 £84,472 £84,472 £91,347 £91,347 91.347 1,034,293
£2,568,32I
2004-5 £91347 £91,947 £91,347 £91,347 £91,347 291,347. fo13a7_ £913 e91.347, .347__£1,096,170
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CODIFIED AG DULE AI PRICTED CONTRACTS
-ERATIONAL CHARGE DISCOUNT (Paragraph 21)
Apr May un Jul Aug Sop Oct Nov Pec dan Fab Mar SUBTOTAL TOTAL
001.2 - - - - . : . : . .
0023 caga02 60.233 «f80,999.ken.aIa emda ee. Fa Hse HS.I8S 69.908 £9.33 £999,996
003-4 £250090 £250,000 £250,000 £289,000 £250,000 £250,000 £250,000 &750.G00 £250,000 £75000 £250,000 £250,000 £3,000.000
004-5 £165,657 £100,067 £165,607 _£165,607 £166,657 £166,007 £196,057 __£105,657_F168,667 £165,657 £196,657 _£169,967_f7,000,008 _£6.000.00
‘AM WORK DISCOUNT (Paragraph 18.6) I
Apr May Sun Jul aug Sep ont Nov (Dec dan Mar SUBTOTAL TOTAL
001-2 - - - : : : = 9H0, 163 es46.708£1,379.409 ]
0023 £940 972 £398.48 £820.230 £773,124 £677,390 £1.058,705 F759.491 718.479 800.321 - : + £6:620:591
Looa.s : : : : : : : : . : : : = caon0c0)
SUBTOTAC~ NETWORK BANKING MONTHLY OPERATING FEE
\ Ae May un wut ano sep Dec Jan Fear SUBTOTAL TOTAL
1008-2 . - . - : £98293 £736,200 £905,259 £996,008 £1,028.082
002.8 (282637 €322523 261390, e5am.US8 e587.008 £596,097 foaeer F902.255 Esse.352 ESaaOT £6267,367
003-4 £99855 997.409 £965.325 £05,925 £988,115 £412,557 £208,595 I £497.227 £368,638 £369,040 £4,793,000
004.5 £99,904 £409,705 _f309.504 _Casa.s01__¢399}501__¢399.008 £309.60 £290,908 309.906 £299,008 _£4,790,52 616,607.67
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CODIFIED AGREEMENT SCHEDULE A13 RESTRICTED CONTRACTS
SCHEDULE A13
GUARANTEE
(Clause 1004)
Version Reason for Change Frozen/issue
Reference date
1.0 Original baseline 28 July 1999
1.2a CCN533 to postcode on page 3, plus adding
document control footer
1.2 Baseline copy of 1.2a 30 November
1999
4.0 To Introduce Network Banking Service 26 June 2002
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DATED [ ] 1999
ICL PLC
-to-
POST OFFICE COUNTERS LTD
e
DEED OF GUARANTEE
e
@
e
e
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CODIFIED AGREEMENT SCHEDULE A13 RESTRICTED CONTRACTS
THIS DEED is made the [ ] day of [ } 1999
BETWEEN
(1) ICL PLC whose registered office is at 26 Finsbury Square, London EC2A 1SL (“the
GUARANTOR’) in favour of
(2) POST OFFICE COUNTERS LTD whose registered office is situated at Gavrelle
House, 2-14 Bunhill Row, London EC1Y 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.
(C) POCL would not have entered into the Codified Agreement without a satisfactory
guarantee being provided by the 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:-
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CODIFIED AGREEMENT SCHEDULE A13 RESTRICTED CONTRACTS
1. If the CONTRACTOR fails fully and punctually to perform its obligations under the
Codified Agreement or commits any breach of its obligations under the Codified
Agreement
which is not remedied in accordance therewith, the GUARANTOR
unconditionally undertakes that upon demand by POCL in accordance with Clause 3
hereof it shall:
Guarantee
1.1 subject to the provisions of Clause 810 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 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 result of the Default of the
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CODIFIED AGREEMENT SCHEDULE A13 RESTRICTED CONTRACTS
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 POCL 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 Codified Agreement than it has under the Codified
Agreement.
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 POCL, 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 shail 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.
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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 generality 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.
5. This Deed of Guarantee shall be a continuing security and accordingly it shall:
5.1 not be discharged by any partia! performance (except to the extent of
such partial performance) by the CONTRACTOR of its obligations under the
Codified Agreement, and
§.2 extend to cover the unperformed part of the obligations of 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 to obtain
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 obligations 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 jurisdiction, such provision shall be severed and
the remainder of the provisions hereof shail continue in full force and effect as if this Deed
of Guarantee had been executed with the invalid, illegal or unenforceable provision
eliminated.
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.
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12.1 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:
(a) is given by an entity acceptable to POCL which has a financial condition at
least as goad as that of the GUARANTOR as at the date of this Deed of
Guarantee; and
(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
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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 Clause shall be treated as a Default by the
CONTRACTOR entitling POCL to terminate the Codified Agreement pursuant to Clause
902.2.2 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:
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in the presence of:
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CODIFIED AGREEMENT SCHEDULE A13 RESTRICTED CONTRACTS
PART C
Letter to be provided by Fujitsu Services Holdings pic
Dear Sirs
We refer to the following:
« The Codified Agreement (the “Codified Agreement”) dated 28 July 1999 (as amended)
between Fujitsu Services (Pathway) Limited (then named ICL Pathway Limited)
(‘Pathway") and Post Office Limited (then named Post Office Counters Limited)
(POL);
« The Deed of Guarantee (the “Guarantee”) dated 3 August 1999 between Fujitsu
Services Holdings Limited (then named ICL pic) and POL
“We understand that Pathway (our subsidiary) and POL are about to agree to implement
changes and amendments to the Codified Agreement by way of a Change Control Note
{as defined in the Codified Agreement) (the “Network Banking CCN"), whereby Pathway
will provide a network banking service to POL, and in consequence of which, various
amendments and additions are to be made to the terms of the Codified Agreement.
As you know, it is our belief that the Guarantee will continue in full force and effect in
relation to the Codified Agreement, as amended pursuant to the Network Banking CCN,
particularly bearing in mind Clause 4.1 of the Guarantee which provides that we shall not
be discharged or released from the Guarantee by any amendment to the Codified
Agreement.
Nevertheless, in consideration for your agreeing to amend the terms of the Codified
Agreement pursuant to the Network Banking CCN we confirm and agree that:
e we will not be discharged or released from the Guarantee by the amendments and
additions made to the Codified Agreement by the Network Banking CCN; and
* once the Network Banking CCN is entered into, the provisions of the Guarantee shall
apply as though the reference to the Codified Agreement in Recital A of the Guarantee
were to the Codified Agreement as amended pursuant to the Network Banking CCN.
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The fact that we are providing this letter on this occasion shall not be taken to mean that
any action by us is necessary to cause the provisions of the Guarantee to apply to the
Codified Agreement as amended from time to time.
Yours faithfully
for and on behalf of FUJITSU SERVICES HOLDINGS PLC
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CODIFIED AGREEMENT SCHEDULE Ai3 RESTRICTED CONTRACTS
PART D
Letter to be provided by Fujitsu Limited
Dear Sirs
We refer to the following:
« The Codified Agreement (the “Codified Agreement’) dated 28 July 1999 (as amended)
between Fujitsu Services (Pathway) Limited (then named ICL Pathway Limited)
(‘Pathway") and Post Office Limited (then named Post Office Counters Limited)
(‘POL’):
« The Deed of Guarantee and Indemnity (the “Guarantee”) dated 28 July 1999 between
Fujitsu Limited and POL
We understand that Pathway (our subsidiary) and POL are about to agree to implement
changes and amendments to the Codified Agreement by way of a Change Control Note
(as defined in the Codified Agreement) {the “Network Banking CCN"), whereby Pathway
will provide a network banking service to POL, and in consequence of which, various
amendments and additions are to be made to the terms of the Codified Agreement.
As you know, it is our belief that the Guarantee will continue in full force and effect in
relation to the Codified Agreement, as amended pursuant to the Network Banking CCN,
particularly bearing in mind Clause 2 of the Guarantee which provides that we shall not be
discharged or released from the Guarantee by any amendment to any Agreement (which
defined term includes the Codified Agreement).
Nevertheless, in consideration for your agreeing to amend the terms of the Codified
Agreement pursuant to the Network Banking CCN we confirm and agree that:
* we will not be discharged or released from the Guarantee by the amendments and
additions made to the Codified Agreement by the Network Banking CCN; and
¢ once the Network Banking CCN is entered into, the provisions of the Guarantee shall
apply as though the reference to the Codified Agreement in the definition of
“Agreements” in Recital 7 of the Guarantee were to the Codified Agreement as
amended pursuant to the Network Banking CCN.
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The fact that we are providing this letter on this occasion shall not be taken to mean that
any action by us is necessary to cause the provisions of the Guarantee to apply to the
Codified Agreement as amended from time to time.
Yours faithfully
for and on behalf of FUJITSU LIMITED
e
e
@
e
e
e
6
e
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26 JUN 2002
CODIFIED AGREEMENT
SCHEDULE A13
GUARANTEE
(Clause 1004)
Version Reason for Change Frozen/issue
Reference date
4.0 Original baseline 28 July 1999
4.2a CCN533 to postcode on page 3, plus adding
document control footer
1.2 Baseline copy of 1.2a 30 November
1999
4.0 I To Introduce Network Banking Service “I 26 June 2002
Guarantee
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CONTRACTS
DATED[ ] 1999
ICL PLC
-to-
POST OFFICE COUNTERS LTD
DEED OF GUARANTEE
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THIS DEED is made the [ ] day of [ }.4999
BETWEEN
{1) ICL PLC whose registered office is at 26 Finsbury Square, London EC2A 1SL (‘the
GUARANTOR’) in favour of
(2) ‘post OFFICE COUNTERS LTD whose registered office is situated at Gavrelle
House, 2-14 Bunhill Row, London EC1Y 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.
(C) POCL would not have entered into the Codified Agreement without a satisfactory
guarantee being provided by the 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:-
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4. If the CONTRACTOR fails fully and punctually to perform its obligations under the
Codified Agreement or commits any breach of its obligations under the Codified
Agreement which is not remedied in accordance therewith, the GUARANTOR
unconditionally undertakes that upon demand by POCL in accordance with Clause 3
hereof it shall:
41 subject to the provisions of Clause 810 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 to POCL the due performance by the
CONTRACTOR of the CONTRACTOR's obligations under the Codified
Agreement; and
1.3 as a separate and incependent 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 result of the Default of the
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CONTRACTOR thereunder as if the Codified Agreement were directly
entered into by the GUARANTOR and POCL
PROVIDED THAT in no event shail the liability of the GUARANTOR to POCL 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 shail have no greater rights under this Deed of Guarantee in relation to the
CONTRACTOR’s obligations under the Codified Agreement than it has under the Codified
Agreement.
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 POCL, 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.
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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 generality 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. .
5. This Deed of Guarantee shall be a continuing security and accordingly it shail:
54 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 of 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 to obtain
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. Ali 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 obligations 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 jurisdiction, 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.
11. This Deed of Guarantee shall be govemed 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.
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12.1 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
shail 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:
(a) _ is given by an entity acceptable to POCL which has a financial condition at
least as good as that of the GUARANTOR as at the date of this Deed of
Guarantee; and
(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
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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 Clause shall be treated as a Default by the
CONTRACTOR entitling POCL to terminate the Codified Agreement pursuant to Clause
902.2.2 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
BY cece eee c es ee sees ceeeecneeeesenereereneeeeri® :
Name:
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in the presence of:
NAMO?..cececeecceeetseeeneeerseeseenee
Tithe ieee cceeccceeeeesereeeereeeaseteeteceeeteenenetnes
&
&
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PART C
Letter to be provided by Fujitsu Services Holdings pic
Dear Sirs
We refer to the following:
* The Codified Agreement (the “Codified Agreement”) dated 28 July 1999 (as amended)
between Fujitsu. Services (Pathway) Limited (then named ‘ICL Pathway Limited)
(“Pathway”) and Post Office Limited (then named Post Office Counters Limited)
(POL");
* The Deed of Guarantee (the “Guarantee”) dated 3 August 1999 between Fujitsu
Services Holdings Limited (then named ICL pic) and POL
We understand that Pathway (our subsidiary) and POL are about to agree to implement
changes and amendments to the Codified Agreement by way of a Change Control Note
(as defined in the Codified Agreement) (the “Network Banking CCN”), whereby Pathway
will provide a network banking service to POL, and in consequence of which, various
amendments and additions are to be made to the terms of the Codified Agreement.
As you know, it.is our belief that the Guarantee will continue in full force and effect in
relation to the Codified Agreement, as amended pursuant to the Network Banking CCN,
particularly bearing in mind Clause 4.1 of the Guarantee which provides that we shall not
be discharged or released from the Guarantee by any amendment to the Codified
Agreement.
Nevertheless, in consideration for your agreeing to amend the terms of the Codified
Agreement pursuant to the Network Banking CCN we confirm and agree that:
* we will not be discharged or released from the Guarantee by the amendments and
additions made to the Codified Agreement by the Network Banking CCN; and
* once the Network Banking CCN is entered into, the provisions of the Guarantee shall
apply as though the reference to the Codified Agreement in Recital A of the Guarantee
were to the Codified Agreement as amended pursuant to the Network Banking CCN.
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The fact that we are providing this letter on this occasion shall not be taken to mean that
any action by us is necessary to cause the provisions of the Guarantee to apply to the £:
Codified Agreement as amended from time to time.
Yours faithfully
for and on behalf of FUJITSU SERVICES HOLDINGS PLC
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PART D
Letter to be provided by Fujitsu Limited
Dear Sirs
We refer to the following:
e The Codified Agreement (the “Codified Agreement”) dated 28 July 1999 (as amended)
between Fujitsu Services (Pathway) Limited (then named ICL Pathway Limited)
(‘Pathway”) and Post Office Limited (then named Post Office Counters Limited)
(‘POL’);
* The Deed of Guarantee and Indemnity (the “Guarantee”) dated 28 July 1999 between
Fujitsu Limited and POL
We understand that Pathway (our subsidiary) and POL are about to agree to implement
changes and amendments to the Codified Agreement by way of a Change Control Note
(as defined in the Codified Agreement) {the “Network Banking CCN”), whereby Pathway
will provide a network banking service to POL, and in consequence of which, various
amendments and additions are to be made to the terms of the Codified Agreement.
As you know, it is our belief that the Guarantee will continue in full force and effect in
relation to the Codified Agreement, as amended pursuant to the Network Banking CCN,
particularly bearing in mind Clause 2 of the Guarantee which provides that we shail not be
discharged or released from the Guarantee by any amendment to any Agreement (which
defined term includes the Codified Agreement).
Nevertheless, in consideration for your agreeing to amend the terms of the Codified
Agreement pursuant to the Network Banking CCN we confirm and agree that:
* we will not be discharged or released from the Guarantee by the amendments and
additions made to the Codified Agreement by the Network Banking CCN; and
* once the Network Banking CCN is entered into, the provisions of the Guarantee shall
apply as though the reference to the Codified Agreement in the definition of
“Agreements” in Recital 7 of the Guarantee were to the Codified Agreement as
amended pursuant to the Network Banking CCN.
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The fact that we are providing this letter on this occasion shall not be taken to mean that
any action by us is necessary to cause the provisions of the Guarantee to apply to the 4
Codified Agreement as amended from time to time.
Yours faithfully
for and on behalf of FUJITSU LIMITED
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CODIFIED AGREEMENT
26 JUN 2002
SCHEDULE Al
RESTRICTED CONTRACTS
SCHEDULE A15 - REQUIREMENTS I
Version Reason for Change Frozervissue date
Reference
Lo Onginal baseline 28 July 1999
lla ig CCN8Id to R819; CCN239a to R493;
CCN26 la to R545; CCN262 to R830; CCN263a to R831;
CCN264 to R891; CCN280 to R914; CCN281 to R9I4;
CCN289 to R547; CCN3 10a to R544; CCN349 to R509;
CCN350 to R545; CCN353 not to R945; CCN384a to
489; CCN387 to R956, CCN4 ila to R543; CCN430 to
LR871
Ite I Removing the effect of CCN2392 on Ra
i I document reference from CCN280, R914; applying
i _.CCN437 to R915
Mit I Baselined copy of I.1b 18 Oct 1999
i 12a I Applying CCN323a to R465, R473, R475, R547, R549,
R550, R552, R553, R554, R913; CCN472 to R818:
CCN540 to R834; ; CCN487b to R915; CCN3560 to R891
1.2 Baseline copy of 1.2a 30 November
1999
l3a Applying CCN473c to R81S (inciuding insertion ofnew I 23 December
paragraph and renumbering of following paragraph); 1999
CCN566a to ROIS
L3 I Baseline copy of 1.3 30 March 2000
2.0a Applying CCN679b to R471
2.0 Baseline copy of 2.0a 12 January 2001
4.0k New Schedule to introduce Network Banking Service 20/06/02
4.0 To Introduce Network Banking Service 21/06/02
quipment...
12.
Services U.
1, REQUIREMENTS...
Requirement 463 - POCL Service Infrastructure.
Requirement 464 - POCL Service ‘infrastruc re - OPS:
ising OPS and TMS...
Requirement 465 - POCL ‘Service Infrastructure - Ops:
Appear rance of the OPS. Ec uipment?
Requiremen: 466 - POCL Service Infrastructure - OPS
Consumables
Requirement 467 - POCL Service Infrastructure - OPS:
Links from OPS to TMS
Requirement 468 - POCL Service Infrastructure - OPS:
engineering visits
Requirement 469 - POCL Service Infrastructure - OPS:
Technics! Document
Requirement 470 - POCL Service Infrastructure - OPS.
TMS Technical Documentation ...
Requirement 471 - POCL Service Infrastructure - OPS.
Requirement 472 - POCL Service Infrastruc!
Messagi ng.t
Requirement 473 - POCL Service Infrastr
Requirement 474 - POCL Service Infrastructure - OPS:
Requirement 475 - POCL Service Infrastructure - OPS
Horizon OPS Sivle Guide.
Requirement 476 - POCL Service Infrastructure - OPS
Release control
Requirement 477 - POCL Service Infrastructure - OPS.
Asset registe:
Requirement 478 - POCL Service Infraseructur
OPS:
Basic TMS Fac:
REQUIREMENTS
Page I of S4
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Lita. Requirement 479 - POCL Service Infrastructure - OPS: Contro! and Monitoring of TMS
links 12
Lis. Requirement 480 - POCL Service Infrastructure - OPS: Logical Discreteness of TMS..... 12
1.19. Requirement 481 - POCL [Implementation - Documentation: Process and Procedures
Documentation. 12
tation Standards for
1.20. Requirement POCL Implementation - Documentation: Docum
12
Requirement 484 - POCL implementation - Documentation:
Requirement 485 - POCL Implementation - Documentation:
Requirement 486 - POCI. Implementation - Documentation:
Availabilix vof PDs. see 43
Requirement 259 - POCL Implemeniation - Installatior Removal g of CExi ¢ Equipme:
Requirement 490 - POCL fmplementation - Installation: Installation within Normai
Business Hours ......
4.28
‘Requirement 491 - POCL Implementation. - Installation: Completion of Internal
Legislation cose
1.30. Requirement 393. - POCL Implementation - Installation: Remo a.
Relocated / Refurbished Outlet .
L3h equirement 494 - POC.
14
Requirement 495 - POCL implementation - Installation: Provision of Equipment st Counter
15
Requirement 496 - POCL Implementation - Installation: Installat
uted by POCL
Requirement 497 - POCL Implementation -{n:
15
Re:
15
Requirement 499 - POCL Implementation - Integration: Timing of Installation
Requirement 500 - POCL Implementation - Rell Out: Confirmation of Permission:
Modifications...
1.38, Requirement 5
Implementation - Installation: Response to Network Change
of Equipment at Any
irement 498 - POCL Implementation - Integration: Migration of Existing Products and
lementation - Roll Out Planning and Agreement of Site
16 : :
139. Requirement 502 - POCL Implementation - Roll Out: Survey Activities to Avoid
Disruption to Servi 16
140. Requirement 503 Modifications to Avoid Disruption to
Services 16
LAL. Requirement 304 - POCE Implementation - Rol! Out: Use of Existing Equipment...
142. Requirement 507 - POCL [mplementation - Roll Out: Installation 19 Avoid Pressure
Periods 16 .
1.43. Requirement 50§ - POCL Implementation - Roll Out: Suspension...... 16
1.44. Requirement 509 - POCL. Implementation - Roil Out: $.
145. Requirement 3i0 - POC Implementation - Roll Our:
Types of Outlet vo oo
36. Requirement 51 - POCL implementation -Roli Out: Installation to avoid disruption io
7
Requirement 512 - POCL Implementation - Roli Out: Overriding Constraints to Speed of
Our 17
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1.48 Requirement 513 - POCL Implementation - Rol! Out: POCL’s Agreement to Equipment
Upgrades 17
149. Reguirement 514 - POCL Implementation - Roll Out: Mechanism for Determining that
Qutiets are Ready to Go Live
1.50. Requirement 516 - POCL Implementation - Roll Out: POCL Rights to Amend Rol! Out
Program: savneee vee 18
LSL Requirement 317 POCE Impiementatior Outlet Mod ications to be
Completed in One Visit... . oronesonnsssensogutnonsesstvesessansetssseecessseees LQ
1.52, Requirement 518 - POCL Imptementatior Roii Out: Outlet Survey to be Completed in
One Visit 18 .
1.33. Requirement 519 - POCL [mp!ementation - Operational Services: Instaldtion at Previously
Uneauipped Counter Positions... ve we LB
154. Requirement 320 - POCL Implementation - Supporting Services: Availability from Day
One 19 .
153. Requirement 521 - POCL Imp‘ementation - Supporting Services: Help Desk Services”
Single Point of Access. aoe 19
1.36. Requirement 3 POCL Implementation - Supporting Services: Help Desk Telephone
Number 19
1.57. Requirement 523 - POCL. Implementation - Supporting Services: Levels of Support Service 19
1.58. Requirement 524 - POCL Implementation - Supporting Services: Help Desk Hardware
Support 19
1.59 Requirement 525 - POCL Implementation - Supporting Services:
support services . eevee seceeecneteee
1.60 Requirement 526 - POCL Implementation - Supporting Services: Help Desk Resolution of
Reported Incidents .... - 20°
161 Requirement 527 - POCL Implementation - Supporting Services: POCL Help Desk
1.62 Reauirement 528 - POCL Implementation - Supporting Services: Help Desk Re-Routing of
Calls 20
1.63. Requirement 529 - POCL Implementation - Supporting Services: Help Desk Compliance
with POCL Help Service Behavioural Standards...
20
1.64. Requirement 530 - POCL. Implementation - EPOSS Functionality Ava ty of Services20
1.63. Requirement 531 '- POCL [mplementation - Training: Acceptable Standards in Key
COMpELEN cies... ees ee cecseeeseccsesesseesseeeseeessieestscsseesaessnsssdecannsesneceseeeunsessegnuersstesniisssscesseecsneeneecstensaee 20
-POCL implementation - Training: new Procucts and Product Changes?!
-POCL Implementation - Training: Non Interference with Data Transfer
ls
1.66. Requirement
1 Requirement
or Integrity 1
168. Requirement 534 - POCL Implementation - Training: Suitability for Different User Groups21
1.69. Requirement 536 - POCL Service Infrastructure ~ OPS: Equipment General Requirements? 1
1.70. Requirement 537 - POCL Service Infrastructure - SMS: System Management.
LZ Requirement 538 - POCL Service Infrastructure - SMS: Svnchronisation of Time..
Requirement 539 - POCL Service Infrastructure - SMS: Reference Data Handling
Requirement 540 - POCL Service Infrasyucture - OPS: Equipment Environmental
Considerations
ly
feos fo
ved hes
L74 Requirement 541 - POCL Service Inf
1.75. Requirement 542 - POCL Service {nfrasiructure - OPS: Continued Si Supoort of Operating
Systems, Middleware and Applications Software
1.76. Requirement 543 - POCL Applications - AP:
L777. Requirement 544 - POCL Applications - APS: Chents/Client Service Types
LIS, Requirement 345 - POCL Applications - APS: Documentation ....
1.79. Requirement 546 - POCL Applications - APS: General Constraints ....
1.80. Requirement 547 - POCL Applications - APS: Data Capture and Validation
LSL. Requirement 548 - POCL Applicauions:- APS: Transaction Committal
1.82. Requirement 549 - POCL Applications - APS: Transaction Reversal ...
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RESTRICTED CONTRACTS
1.83. Requirement 550 - POCL Applications - APS: Update of APS Tokens
1.84 Requirement 551 - POCL Applications - APS: Receipti
Ls. Requirement -POCL Applications - APS: Transaction Collection / Delive:
1.86 Requirement - POCL Applications - APS: Client Data Collection and Distributio
L.87 Requirement 354 - POCL Applications - APS: Fallback and Recovery.
188 Requirement 555 - POCL Service Infrastructure - OPS: Capabilities on Initial
implementation ... cececeeesenesee cose ceeseeeeseeseneneeneeees
1.89 Requirement : POCL Service infrastrucmre - OPS: Flexibility ........
1.90. Requiremen: 258 - POCL Service Infrastructure - OPS: Equipment Capacity
Lt Requirement $59 - POCL Service Infrastructure - OPS: Extent.
1.92. Reauirement 560 - POCL Service Infrastructure - OPS: Technolo:
1.93. Requirement 561 - POCL Service infrastructure - OPS: Licence Indemniti
1.94. Requirement 691 - POCL Applications - EPOSS: Inventory Managemen 31
Requirement 692 - POCL Applications - EPOSS: Methods of Payment. 31
Requirement 693 - POCL Applications - EPOSS: Receiptin:
Requirement 694 - POCL Applications - EPOSS:
Data Capture
Requirement 695 - POCL Applications - EPOSS:
Stock Unit Conirol .
Requirement 696 - POCL Applications - EPOSS:
Reportin.
Requirement 697.- General - Audit: Access
Requirement 698'- General - Security: Policy.
Requirement 699 - General - Audit: Trail
Requirement 799 - POCL Applications - AP:
ol
ken Issue
Requirement 800 - POCL Applications - EPOS
: Serve Customers (A)
Requirement 801 - POCL Applications - EPOSS
Product Stvles....
Requirement $02 - POCL Applications - EPO;
Value Stock Manag:
Requirement $03 - POCL Applications - EPO’
Data Resilience...
Requirement 804 - POCL Applications - EPO:
ansaction Log / Inspection
Requirement 805 - POCL Applicati
dit / Event Log and Inspection
Requirement 806 - POCL Applic:
Set Date and Ti
Requirement $07 - POCL App
ansfers between Stock Units
Requirement 808 - POCL Applications - EPOSS:
Qutiet Balance
Requirement 809 - POCL Applications - EPOSS:
Customer Session
Requirement 810 - POCL Applications - EPOSS:
Transaction Rules
Requirement -POCL Applications - EPOSS:
Data Transmssion...
Requirement $i 2 - POCL Applications - EPOSS
Transaction Reversal
Reauirement $13 - POCL Applications - EPOSS:
Revaluarion of Value Stock
Requirement $14 - POCL Applications - EPOSS:
Enter Cash on Hand ..
Requirement 815 - POCL Applications - EPOSS:
s Dormant Stock Unit
Requirement - POCL Applications - EPOSS.
Requirement 817 - POCL Applications - EPOSS:
Reference Data
Requirement $18 - POCL Applications - EPOSS:
Requirement §19 - POCL Applications - EPOSS:
The Outlet Trial/Final Cash Account
Requirement §20 - POCL Applications - EPOSS:
Fallback and-Recover.
Requirement $2] - POCL Applications - EPOSS.
Business Rules
Requirement 822 - POCL Applications - EPOSS:
Interface with Inventory Management .
Requirement -POCL Applications - EPOSS:
Data Management
Sire ye fee ete [ete tet ic
Reauirement $24 - POCL Applications - EPOSS:
Weighing Scales.
Requirement §25 - POCL Applications - EPOSS:
Serve Customer (B)....
30. Reauirement 826 - POCL Service infrastructure -
OPS: Future Fiexibihtv for Sharing of
Specialist Peripherals ....
113i Requirement
~POCE Service Intra:
ructure -
OP:
47
1.132. Requirement $28 - General - Security: Data Secur
I
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Requirement 829 - General - Security: Prosecution support
Requirement 830 - General - Security: Contingency Plans
Requirement $31 - End to End Service - POCL Interface:
Requirement - POCL Applications - EPOSS: Business Processes
Requirement $33 - POCL Applications - EPQSS: Training Mod:
Requirement $34 - POCL Applications - EPOSS: Transitional
Requirement $35 - POCL Applications - EPOSS: EPOSS Reiated...
Reauirement $36 - POCL Applications - EPOSS: Service Development
Reauirement $37 - POCL Applications - EPOSS: Reporting...
Requirement $38 - POCL Applications - EPOSS: General
Requirement 839 - POCL Applications - EPOSS: Reta’
Requirement $69 - POCL Service Infrastructure - Service Levels: Transac:
System (TMS)... coesineeecaneesens soneesen
Requirement $70 - POCL Applications - EPOSS: Transaction .
Requirement 871 - POCL Applications - EPOSS: General Service Level
Requirement $80 - POCL Applications: Specification of Transaction Data from. Outlet t to
56
Requirement $90 - POCL Applications - APS: Reconciliation ...
Requirement $9i - End to End Service - Reconciliation Requirements
Requirement $94 - General - Management Information Requirem:
Requirement 895 - General - Securitv: bregular Encashment Pattems....
1.152. Requirement 896 - POCL Implementation- Documentation: Access to Doc:
Electronic Means seseee
3 Requirement 898 - Order Book Control Service (OBCS) - General Require,
Requirement 899 - OBCS - Stop List Maintenance...
55. Requirement 900 - OBCS - Order Book Processin:
156. Requirement 901 - OBCS - Order Book Processin:
7, Requirement 902 - OBCS - Transaction Times ..
entation by
Bar-Coded Order Books...
: Non-Bar-Coded Books.
58 Requirement 903 - OBCS - General Service Levels.....
159 Requirement 905 - POCL Implementation - User Supp:
160. Requirement 906 - POCL Implementation - Roll Out; .
(for Transaction Accuracy
161, Requirement 9i1 - End to End Service - Integrity Across Changes.
912 - POCL Service Infrastructure - SMS: Portable Appliance Testin:
163. Requirement 913 - Implementation - Service: Level Agreement: POCL User Documentation65
164 Requirement 914 - Implementation - Service Level Agreement: Operational Svstems Help
esk 69
it
1
1
1
1
1
i
1.162. Requireme:
1
it
D.
1.165 Requirement 915 - Implementation - Service Level Agreement: Training Service: 4
1.166. Requirement 918 - Genera! - Communications...
1.167. ° Reguirement 921 - POCL Service Infrastructure - Security: OPS Secure ‘Time-out
1.168 Requirement 922 - POCL Service Infrastructure - OPS: Noise Emissions ..
1.169. Requirement 925 - Joint Implementation - Operational Ti eptance Testing
Requirements
L170. Requiremeat 926 - Roli Out: Generic Requirement. -
Requirement ta Protection...
Requirement 941 plementation - Rol! Out: Post Office Roll Out .
Requirement 945 - implementation - Service Level Agreements: Installation of POCL
e infrastructure .... bees
Requirement 929 - POCL Inwlementation - Training ..
Requirement 95) - General - Service Architecture Design Document:
Requirement 952 - POCL Service Infrastructure - OPS: APS and NBS Key Management 79
Requirement 953 - POCL Service Infrastructure - OPS: Coneurrenc
Requirement 956 - OBCS - OPS Interface: ESNCS to OBCS.
Requirement 960 - POCL Applications - EPOSS: Zero-Value Transaction
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Li8o Requirement 971 - POCL Implementation - Farnborough Requirement
Lisi. Reauirement 972 - Implementation - Rol] Out: Strategv.....
1.182 Requirement 973 - End to End Service
83
4. REQUIREMENTS -
LA. Requirement 463 - POCL Service {ufrastructure - OPS: Additional
Requirements for OPS Equipment
1.1.1. The Contractor shall supply samples of all elements of the POCL Service
infrastructure , excluding NBS related elements and PEN Pads, used to provide OPS
for purposes other than (i) Rolf Out and (ii) live use in POCL Premises as part of the
Operational Services. Examples of these purposes include:
a) testing by POCL;
b) training;
c) demonstrations and marketing.
1.1.2. The Contractor shall provide specimens of ail elements and proposed elements of the
POCL Service Infrastructure excluding NBS related elements and PEN Pads used to
provide OPS from time to time to undergo destructive safety testing.
1.1.3. POCL shail notify the Contractor from time to time of how many samples are
required for the purposes of testing such eiements of the POCL Service Infrastructure
at Operational Trial. They shall not in total exceed the equivalent 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), shal! be
subject to a process approved by a date consistent with the Project Pian,
1.1.4. Unless testing demonstrates a breach of the relevant standards in Schedule AQ2. the
number of specimens for destructive testing purposes shal! 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.
1.1.6. PEN Pads are not part of Operational Trial.
{Pathway DN: Above provision deleted, because it is not relevant with PIN Pads
being delivered to ROMEC. Schedule G12 provides for a supply of PIN Pads for
spares and OBC to be delivered by POCL to Pathway, not vice versa]
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14.
14.1.
1.4.2.
in
in
to
in
i
1.6.
16.1.
Requirement 464 - POCL Service Infrastructure - OPS: POCL’s Agreement to
Offer Services Using OPS and TMS
Services which utilise OPS or TMS shail only be provided subject to the agreement
of POCL. 7
Requirement 465 - POCL Service [nfrastructure - OPS: Appearance of the OPS
Equipment
The livery of the elements of the POCL Service Infrastructure to 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 Horizon OPS Style Guide for Post Offices.
‘he effort required to maintain the appearance of the Equipment to a level reasonably
acceptable to POCL shail be minimal
Requirement 466 - POCL Service Infrastructure - OPS: Consumables
The Contractor shall supply detailed specifications of all the consumables used by the
OPS. The Contractor shal] provide estimates of the likely consumption of 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 all 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.
Within OPS it shall be possible to identify whether data 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 Service 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 Outlet to serve Customers,
even where Outlets have a single Counter Position and/or extremely limited physical
space.
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L7.
Requirement 469 - POCL Service Infrastructure - OPS: Technical
Documentation
1.7.1. 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.
1.7.2. All changes to such documentation shall be subject to the Change Control Procedure.
1.8. Requirement 470 - POCL Service Infrastructure - OPS: TMS Techaical
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 shail be suitable to aliow POCL to procure applications which utilise
TMS. These procurements shal! 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 messages to all or a subset of
Outlets by use of the Message Broadcast Service set out in Schedule G01.
1.9.2. 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 .
1.10.1. Data capture within Ops shall be accurate and robust.
1.10.2. The integrity and security of data held within the OPS shall be protected at ai! times.
Full logs of Events within OPS shall be maintained and an audit trail of interactions
with, and actions within, OPS shall be maintained.
1.10.3. The integrity and security of data held within OPS shall not be compromised by any-
Incident nor when OPS is re-established following any Incident. _
1.11, Requirement 473 - POCL Service Infrastructure - OPS: User Access
1.11.1. Any remote access to OPS shall be restricted to Users specifically authorised by
POCL and shail only take place via TMS.
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1.11.2.
1.113.
11.4.
L.1Ls.
Access to OPS and POCL Services offered via OPS to staff working in the Outlets
shall be controlled by a mechanism, conforming to the Horizon OPS Style Guide,
offering multiple access levels and providing specific identification of each User.
It shall be possible to restrict the functionality available at an Outlet, to permit (inter
alia) some POCL Services not to be offered ai all Outlets.
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 controi.
There shall be a secure and reliable mechanism for Users to suspend and resume
access to OPS and POCL Services offered via OPS. This shail not be unduly onerous
or time consuming for Users.
Requirement 474 --POCL Service Infrastructure - OPS: Health, Safety, and
Legal Obligations
The Contractor shal] comply with all health, safety and legal obligations specified in
Schedule A02
Requirement 475 - POCL Service Infrastructure - OPS: Horizon OPS Style
Guide
The Contractor shall draw up the Horizon OPS Style Guide and agree this with
POCL by a date consistent with the Project Pian. Any POCL Services to be offered
via the OPS shall be provided in accordance with the Horizon OPS Style Guide.
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 facilities.
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 al! Applications and be easy to adapt to facilitate the introduction of new
Applications.
1.14, I Requirement 476 - POCL Service Infrastructure - OPS: Release control
1.14.1, The following requirements shall be met in connection with the distribution and
subsequent activation of each Release
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1.14.2
1.14.3.
1.144.
114.6,
3.14.7,
The following shall be approved by POCL before any Release, this approval not
being unreasonably withheld:-
a) the contents of any Release:
b) the upgrade path for any Release;
c) the timing of the distribution of any Release;
d) the timing of the activation of any Release.
The Contractor shall provide proof of sufficient and satisfactory pre-testing of each
Release, including the following aspects:
a) at individual component (unit test) level:
b) of all components of the Release, both changed and unchanged, working together
(system test);
c) of ali components in combination with different hardware and software
combinations which may be encountered when the Release is in live; nor
use hereunder. 7
raining,
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.
The implementation of any Release shail not cause any significant disruption to
Users, shall not disrupt the normal working environment of Users and shall not
require significant involvement from Users.
The implementation of any Release shall not cause any corruption to data held by or
on behalf of POCL.
The Contractor shall maintain a detailed record of all Releases and where they are
deployed.
Requirement 477 - POCL Service Infrastructure - OPS: Asset register
The Contractor shall mairitain a detailed list of all physical comiponents 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 elemenis of the POCL Service
Infrastructure installed at any location.
Requirement 478 - POCL Service Infrastructure - OPS: Basic TMS Facilities
TMS shail link into each instance of OPS that is to be used for live work.
TMS shall provide links into other computer systems as required to support POCL.
These systems inctude:-
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a) Client systems operated on behalf of Clients; and
b) other POCL systems, including without limization TIP and NBE.
1.16.3. TMS shall provide Data File coliection and Data File delivery Services.
a) It shall be possible to collect Data Files from or deliver Data Files to any computer
system attached to TMS.
b) The collection or delivery of Data Files shall be triggerable by any of:
. User action;
. tume;
. in response to a message from an attached computer system or generated within
TMS.
¢) The collection or delivery of Data Files shall be retried automatically, under
parameter control, in the event of any failure.
) 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 which shall be passed from one 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)
bb} Where TMS is unable to deliver a message it shall notify the originating computer
system, except for NBS related elements where the originating sysiem is the NBE
subject to the provisions of the CCD entitled “NBE-Horizon AIS”. .
¢) TMS shail include the following processing capabilities:
. 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 Data Files;
. generating controi totals through access to the contents of Data Files;
. reconciliation of control totals;
. produce reports summarising financial transactions.
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1.16.5. The Contractor shail maintain a full audit trail of all TMS activity.
1.16.6. The Contractor shail ensure that any transfer of Data 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 le
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 shall only al'ow 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 6
established. ~
L.17.4. The POCL Infrastructure Services shall report any attempt to establish a link which is
rejected. The Contractor shall provide these reports to POCL on request.
1.18. Requirement 480 - POCL Service Infrastructure - OPS: Logical Discreteness 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
e erie 6 x]
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 a comprehensive set of PPDs for compieting
Transactions underaken in Outlets. For Existing Services, the related PPDs shail be
provided before training for such services commences. For NBS, the related PPDs
shall be provided by the date specified in the NB Project Plan..The PPDs shall also
include the definitive procedural instructions for Transaction support processes at
Ouilets e.g. accounting, balancing, Value Stock taking, and details of what to do in Ad
emergency situations e.g. failure of the POCL Service f
1.19.2. In essence the PPDs shal! provide full details of completing all automated procedures
in all Outlets.
e
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.
: e
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1.21. Requirement 484 - POCL Implementation - Documentation: Availability of
PPDs
1.21.1, The Contractor shal! 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. The PPDs shall be updatable and updated, in line with any Service Levels agreed
between the parties from time to time, (or if not agreed, then within a reasonable
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
1.24.1. The Contractor shal! carry out the survey of Outlets to ascertain what modifications
are needed to install the POCL Service Infrastructure in respect of Roll Out.
1.25. Requirement 488 - POCL Implementation - Installation: Installation and
Acceptance of the Office Platform
1.25.1. In respect of Roll Out, the installation and acceptance of the elements of the POCL
Service Infrastructure used to 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. In respect of Roll Out, the Contractor shall, on completion of implementation at an
~ Outlet and using an agreed process, disconnect and move existing automated
equipment as specified by POCL, and identified during the relevant site survey, to a
singie location in mainiand UK agreed with POCL.
1.26.2, Such existing automated equipment shall be limited to the PC configurations that
support ECCO and / or ESNS at 15th May, 1996.
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1.28.
1.28.1,
1.29.1.
1.30.
1.30.1.
imine
Requirement 490 - POCL Implementation - Installation: Installation within
Normal Business Hours
In respect of Roll Out, installation at an Outlet shall be carried out at ti
accordance with the CCD entitled “Installation Strategy”.
Requirement 491 - POCL Implementation - Installation: Completion of Internal
Modifications
In respect of Rol! Out, the Contractor shall carry out internal office modification
work at all POCL Premises in accordance with Clause 406 of the Codified
Agreement.
Requirement 492 - POCL Implementation - Instailation: Moditicatious -
Compliance with Legislation
The Contractor shall ensure that ail staff and sub-contractors carrying out
modification work shall conform to all legislative requirements.
Requirement 493 - POCL Implementation - Installation: Removal / Fitting of
Equipment at Relocated / Refurbished Outlet
Subject to limitations defined in Annex 5 to Schedule AL, the Contractor shall, as
an Optional POCL Service,:
a) be responsible for the removal / 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 Ouitleis open plan), and shali if necessary provide extra Equipment;
and
b) if requested by POCL, equip new sites / relocated sites in line with POCL's
evolving network strategy from time to time.
Requirement 494 - POCL Implementation - Installation: Response to Network
Change Requests
The Contractor shall respond within a timescale (which shall be agreed between
POCL and the Contractor before commencement of Roll Out of the POCL Services),
to network change requests supplied by POCL, in accordance with Service Levels.
This requirement covers provision and installation of equipment in new and relocated
POCL Premises as wel! as the movement/ reconfiguration of equipment within ©
existing POCL Premises.
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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 A1?2, 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
1.34,
Equipment at Any Site Designated by POCL
The Contractor shall install the Equipment at any site designated by POCL which
may include training centres,
Requirement 497 - POCL Implementation - Installation: Installation by the
Contractor in Outlets
The Contractor shail install the POCL Service Infrastructure necessary for OPS in
Outlets.
Requirement 498 - POCL Implementation - Integration: Migration of Existing
Products and Systems
For Roll Out, the Contractor shall migrate existing POCL Products and POCL
systems from current POCL 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.
For Roll Out, 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. : .
Requirement 499 - POCL Implementation - Integration: Timing of Installation
Installation of the POCL Service Infrastructure shai] not take place in respect of Roll
Out until the support services are available.
Requirement 500 - POCL Implementation - Roll Out: Confirmation of
Permissions for Modifications
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.
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1.38. Requirement 501 - POCL Implementation - Roll Out: Planning and Agreement
of Site Visits
1.38.1, The Contractor shail 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 in respect of Roll Out. 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
office and retail operations - inchiding any existing computer, telecommiunications
and other systems at the Outlet. ‘5
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.
141. Requirement 504 - POCL Implementation - Roll Out: Use of Existing
Equipment «e
L.4t.1. The Contractor shail utilise existing POCL equipment as specified in Schedule A09.
1.42, Requirement 507 - POCL Implementation - Roll Out: Installation to Avoid
Pressure Periods ©
1.42.1, For Roil Out, unless otherwise agreed with the Horizon Implementation Manager and
/ or 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 : e
Contractor and POCL on an annual basis (such agreement not to be unreasonably
withheld or delayed).
1.43. Requirement 508 - POCL Implementation - Roll Out: Suspension
. - e
1.43.1, POCL may suspend the Roll Out programme if the Contractor fails to meet any of the
Service Levels.
e
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1.44,
1.44.1.
1.47.1.
1.48.
1.48.1.
Requirement 509 - POCL Implementation - Roll Out: Siting of Equipment in
Outlets
The siting of the elements of the POCL Service Infrastructure other than P[N Pads in
each Outlet shall be in accordance with the processes set out in the Horizon Counter
Infrastructure Rollout - Survey Requirement Specification document.
PIN Pads shall be installed after Roll Out as a separate service, in accordance with
Schedute G12 .
Siting of PIN pads will be decided by POCL
Requirement 510 - POCL Implementation - Roll Out: Common Planning Base
for All Types of Outlet
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 franchised post offices).
Requirement 511 - POCL Implementation - Roll Out: Installation to avoid
disruption to services
The Contractor shall carry out all instailation activities with minimum degradation of
post office and retail operations - including any existing computer,
telecommunications and other systems at the Outlet.
Requirement 512 - POCL Implementation - Roll Out: Overriding Constraints to
Speed of Roll Out
Roll Out of the POCL. Service Infrastructure and POCL Services shall be undertaken
as quickly as possible subject to the over-riding requiremeni to:
a) maintain service and Client continuity;
) maintain the quality of service delivery to Clients and Customers;
¢) appropriate support systems - including training - being in place;
d) avoidance of damage to POCL's brand, reputation and integrity;
) 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.
Requirement 513 - POCL Implementation - Roll Out: POCL’s Agreement to
Equipment Upgrades
The Contractor shall only upgrade the Equipment at Outlets with the prior approval
of POCL. This approval shall not be unreasonably withheld
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wy
nm
Requirement 514 - POCL Implementation - Roll Out: Mechanism for
Determining that Outlets are Ready to Go Live
For Roll Out, 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 withhold
agreemeni 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.
Requirement 516 - POCL Implementation - Roll Out: POCL Rights to Amend
Roll Out Programme
POCL reserves the right to request amendments to the Roil Out Programme, in
accordance with the Change Control Procedure, as necessary to protect its Service
Levels. :
Requirement 517 - POCL Implementation - Roll Out: Outlet Modifications to
be Completed in One Visit
For Roll Out, 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, arrangements to complete such work over more than one day will be
subject to mutual agreement between the Contractor, the Horizon Implementation
Managers and / or Outlet Managers, but such agreement shall not be unreasonably
withheld.
Requirement 518 - POCL Implementation - Rot! Out: Outlet Survey to be
Completed in One Visit
In respect of Roll Out each Outlet survey shal! be compieted in one visit to the
Outlet. : ,
Requirement 319 - POCL Implementation - Operational Services: Installation
at Previously Unequipped Counter Positions
Subject to the limits in Annex 5 to Schedule Al2, the Contractor shall provide and
install the POCL Service Infrastructure used for OPS at Counter Positions not
previously so automated as directed by POCL. This shall include PIN Pads once the
national deploymeni of PEN Pads has commenced in accordance with Schedule Gi2.
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1.34.
Requirement 520 - POCL Implementation - Supporting Services: Availability
from Day One
1,354.1. In respect of Rofl Out the Contractor shall ensure that ail the support services shall be
available before activation of the POCL Service Infrastructure in each POCL
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) to all Users who have access to the POCL Service Infrastructure;
b) to cover the operation of interfaces with the POCL Service Environment;
¢) to provide support for ail other belp desks linked to the Help Desk facility
provided by the Coniractor.
1.58. Requirement 524 - POCL Implementation - Supporting Services: Help Desk
Hardware Support
1.58.1. The Hetp Desk Service shall deal, without limitation, with calls relating to the
. Hardware. This shall include, but is not exclusive to:
a) fault diagnosis;
b) maintenance call out;
c) caretaking advice;
_ G) configuration management.
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1.59,
Requirement 525 - POCL Implementation - Supporting Services: Help Desk
Additional support services
The Help Desk must be able to provide access for Users to additional support
1.59.1
services (including training facilities and training materials for Existing Services,
operational support documentation, and consumables) by the commencement of Roll
Out and shail provide such access thereafier when requested to do so by POCL.
1.60. I Requirement 526 - POCL Implementation - Supporting Services: Help Desk
Resolution of Reported Incidents _
1.60.1. All reported Incidents shall be resolved in line with Service Levels.
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 that are not pertinent to it shall be re-routed to
the appropriate point as per Service Leveis.
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. . . :
1.64. “Requirement 530 - POCL Implementation - EPOSS Fuuctionality Availability
of Services
1.64.1. Deleted
1.65.. Requirement 531 - POCL Implementation - Training: Acceptable Standards in
Key Competencies
1.65.1. For Rolf Out and for the Existing Services, training shall be provided to 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
taining 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.
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1.66.
1.66.1.
1.67.1
1.68.
1.68.1
1.69.
1.69.1.
1.69.2.
1.70.
1.70.1.
Competence shall be measured by a method agreed between POCL and the
Contractor by a date consistent with the Project Plan.
Requirement 532 - POCL Implementation - Training: new Products and
Product Changes
For Roll Out and the Existing Services, the Contractor shall train all appropriate staff
in the handling of new Products 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.
Requirement 533 - POCL Implementation - Training: Non Interference with
Data Transfer or Integrity
if the POCL Service Infrastructure has a facility to operate in dummy training mode,
it shall not interfere with the transfer or integrity of POCL Data.
Requirement 534 - POCL Implementation - Training: Suitability for Different
User Groups
For Roll Out and the Existing services, the Contractor's training solution shall take
account of Users’ experiences in term of automated products and platforms (ECCO+,
APT, ALPS) and their differing abilities to lea. 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.
Requirement 536 - POCL Service Infrastructure - OPS: Equipment General
Requirements
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.
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 Tokens etc. as appropriate.
Requirement 537 - POCL Service Infrastructure - SMS: System Management
The Contractor shail carry out system management of all the POCL Services in a
consistent and coherent manner to ensure the following:
a) activities within the POCL Services, including TMS, OPS, OBCS, APS,EPOSS
and NBS are co-ordinated such that, for example, changes and faults can be
tracked across Service boundaries;
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2) changes to the POCL Services can be made speedily and accurately.
1.71. Requirement 538 - POCL Service Infrastructure - SMS: Syachronisation 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 Banish Summer Time).
For the avoidance of doubt, the POCE Services and the NBE may not have the date
and time synchronised.
1.71.2. SMS shall permit Transactions to be processed using local time and/or GMT, and ail
the relevant elements of 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. SMS shall maintain Reference Data necessary to the operation of 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 implement 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: _
a) use of CFCs;
b)energy'consumption; ”
c) recyclability of components;
d) recyclability of consumables;
e) waste minimisation;
£) use of sustainable resources;
g) disposat of displaced equipment and waste;
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h) making appropriate use of recycled materials.
1.73.2. The Contractor shall adhere to relevant environmental legisiation such as the
Environmental Protection Act 1990 and publication “Waste Management: The Duty
of Care - A Code of Practice’.
1.74. Requirement 541 - POCL Service Infrastructure - TMS: Scaleability
1.74.1. TMS shall be scaleable to meet POCL’s business needs from time to time.
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. .
1.78. I 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 jife of the elements of the POCL Service Infrastructure on which such
Software is utilised 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 Kev for the electrical industry;
e) magnetic stripe card;
£) British Gas Quantum Smart Token;
g) bar coded documents ~
h) British Gas Trading SPM Smart Token.
1.77. I 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 listed
in Appendix A of the document Automated Payments System Client List,
PCL/PRD/APS/001,
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The Contractor shal! provide the APS such that Clients or APS Client Service Types
(which conform to generic APS) may be added to, modified or 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 sha!l provide technical assistance to support POCL’s relationship
with Clients and potential Clients.
1.77.5. The Contractor shall develop and maintain the APS in a 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 technical and overview documentation describing the APS is set out in the
following documents which are entered on the list of Contract Controlled
Documents: : .
a) Automated Payments Service Overview, reference AP/SER/001
b) AP Client Take on Process, reference AP/PRD/00i
1.78.2, 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
1.78.3. AP Client Specification contents shall include: .
1. Client identity and overview
This section identifies the Client for whom a specific 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
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.
3. Transaction data
. Contents;
. Validation;
. Sorv/Substitution/Customisation;
. Batching:
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. Transfer.
4. Other daia
. Contents;
. Validation;
. Availability.
5. Client service levels
1.78.4. All AP Client Specification documents will be the subject of the Change Control
Procedure and will be entered on the list of Contract Controlled Documents when
approved.
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 shail make the APS available at all Counter Positions, subject to the
limits contained in Annex 5 of Schedule A12, and at such other places where the
POCL Service Infrastructure exists.
1.79.3. The Contractor shall ensure that the availability of each APS Client Service Type at
each Outlet is individually 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 capiured correctly, robustly, accurately,
securely and as defined in the AP Client Specifications. Each AP Client Specification
added from time to time will be iritroduced as a Contract Controlled Document
through the Change Control! Procedure.
1.80.2. 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 Automated Payments Generic Rules;
) Token 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 Specification or Token
Technology Specification.
1.80.4. The APS shall display User instructions specific to a Client Service Type as
identified in the relevant AP Client Specification.
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1.81. Requirement 548 - POCL Applications - APS: Transaction Committal
L.81.1, The APS shall coramit the Transaction when:
a) monies have been accepted; or
b) a Transaction has been reversed; or
c)a Token has been issued; or
a) a Smart Token bas 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 committed Transactions if eligible for Reversal
as defined in: :
a) POCL Automated Payments Generic Rules;
b) Token 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 wnte data to APS Tokens in accordance with the rules identified in
the appropriate Token Technology Specification, AP Client Specification and POCL.
‘Automated Payments Generic Rules.
1.84. Requirement 551 - POCL Applications - APS: Receipting
1.84.1. The APS shal! 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 Transaction receipt produced for an APS Reversal Transaction shall identify it as
a Reversal and identify the original (reversed) Transaction.
1.84.4. {n the event of printer failure the APS shall provide information to enable a manually
completed receipt to be produced.
1.84.5. The APS shaij enabie individual Outlets to produce bilingual 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 maintain and deliver committed Transactions to POCL and Clients in
accordance with the following:
a) POCL Automated Payments 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 Chent
Specification, Token Technology Specification and POCL Automated Payments
Generic Rules. .
1.86.2. 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 Automated Payments
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.
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 inpul (Recovery) of the details of Customer
Transactions performed whilst the OPS was unavailable.
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1.88.
1.83.1.
1.88.2.
The APS shail provide facilities to enable data Recovery to be achieved swiftly and
in an auditable way.
The APS shall enable data Recovery to be achieved with minimal impact to
Customer service. .
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).
The APS shall facilitate the over-nding of certain validation rules for recovery
Transactions, as specified in the POCL Automated Payments Generic Rules.
- POCL Service tafrastructure - OPS: Capabilities.on Initial
Requirement 555
“Implementation
fn each Outlet, at each automated Counter Positions, from Roli Out at such Outlet,
OPS shall:
a) support the reading of track 2 from magnetic stripe cards complying with ISO
7811 parts 1-4;
’) support the reading from and writing to Smart Tokens complying with:
“ISO 7816 parts I and 2;
+ and /or [SO 7816 paris 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 (¢.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;
a) support 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
in each Outlet from Roll Out at such Outlet EPOSS shall:
&) support printing on manually fed pre-printed forms at the counter, for example
Girobank summary forms G4631, G4632 and G4633;
') support printing on cheques and other forms at the counter;
¢) support printing of existing Client reports at the counter, This shal! include
printing in large fonts and printing with 90 degree rotation;
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1.88.3
G) support the connection of electronic weighing scales (which shal! not be supplied
under the Codified Agreement) to the POCL Service Infrastructure. As a
minimum, connections shall include Avery Berkel type D104 and A702. It shall
be possible to share a set of weighing scales between two or more Counter
Positions at which the BOCL Service Infrastructure has been instalied;
@) support the printing of reporis necessary to meet existing Client commitments;
£) support the printing of cash accounts and plain paper summaries;
g) support the printing of 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;
h) 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 Sojution to this
Requirement. As a minimum, code 128, EAN 8, EAN 13 and code 39 shall. be
printable;
i) support the printing of one dimensional bar-codes at the back office, if such
. support is provided for in the Solution to this Requirement. As a minimum, code
128, EAN 8, EAN 13 and code 39 shall be printable.
In each Outlet, from Roll Out at such Outiet and deployment of PIN Pads at such
Outlet, OPS shall: °
a support the connection of PIN PadS
b support from those PIN Pads the reading from and writing to Smart Tokens which
comply with:
* ISO 7816 parts 1, 2 and 3;
. :
and be capable of supporting fulure applications complying with:
© ISO 7816 part 4.
The functionality described in “b” above is ndt used by the Existing Services on the
NBS and is intended for use in future services which may be agreed under the Change
Control Procedure
1.89. I Requirement 557 - POCL Service [nfrastructure - OPS: Flexibility
1.89.1. OPS and the eiements of the POCL Service Infrastructure on which OPS is provided
shal! have the flexibility for additional peripheral equipment to be added in the
future, including input devices and printers.
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1.89.2. POCL shal! have the option to add up to three types of additional peripheral equipment
one of which shall be PEN Pads.
1.89.3.. POCL shall have the option to require OPS to support the reading of OCR to
interpret code lines on bills etc. If such option is exercised, the Charges for such
Service shall be as set out in the Solution to this Requirement.
1.89.4. POCL shali have the option to require OPS to support the reading 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. Requirement 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
Outlets 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, OBCS 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 be used within the
POCL Service Infrastructure, without approval by POCL. :
1.92.3. ‘The specification of the equipment being used and installed within the POCL Service
Infrastnicture shall be reviewed by the parties at times reasonably agreed by-them, to
ensure that the most appropriate technology is deployed.
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1.94,
1.94.1.
~ 1.94.2.
1.94.3.
Requirement 561 - POCL Service Infrastructure - OPS: Licence Indemnities
The Contractor shal! 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.
Requirement 691 - POCL Applications - EPOSS: Inventory Management
EPOSS shall support cash management by denomination and Stock management by
Stock [tem.
EPOSS shall support the recording of Transfers of cash.and Stock into and out of the
Outlet.
EPOSS shall provide a facility to allow the authorised update of cash.and Stock held
in an Outlet via the OPS. ;
Requirement 692 - POCL Applications - EPOSS: Methods of Payment
EPOSS shall accept single or multiple Methods of Payment as settlement.
EPOSS shall allow the implementation of new types of Methods of Payment,
including without limitation debit cards and EFTPOS.
The Contractor shall indicate their proposals to implement an EFTPOS Service
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 of such a facility;
b) indicative volumes for EFTPOS at iSth May 1996 were:
. between 30 and 50 million EFTPOS payments per annum;
+ - 70% above the floor limit (£13 working assumption) and so needing
authorisation;
a) the main Transactions for which EFTPOS will be used are expected to be:
. motor vehicle licence renewals (34%), bill payments (38%, about half BT and
half others);
. television licence, payments (11%) and payment for purchases from PostShops
(5%), all estimates: .
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. 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;
bb) business arrangements have not yet been finalised but the current assumptions are
for:
. a single Merchant Acquirer;
. on-line authorisation and batch Transaction submission to be via TMS;
. reconciliation of EFTPOS payments on the EPOSS Transaction log with an : s
electronic data stream version of the daily bank account updates;
. signed receipts may be stored in the Outlets, remitted to Distribution Centres or
‘dispatched to a central facility (which the Contractor may wish to offer);
. POCL expects to need to retrieve receipts in order to prove Transactions at
- 0.2% or between 60,000 and 100,000 per annum at above volumes.
1.95.3. 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 anon VAT receipt for Customers to
support a specific POCL Service e.g. APS.
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 required in designated
Outlets.
1.96.5. EPOSS shall-allow production of additional (duplicate) receipis 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 / “Till” function to record al! 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.
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1.97.4,
1,98.
1.98.1.
1.98.2.
1.98.3.
1,98.4.
1.98.5.
1.98.6.
1.98.7.
1.98.8,
1.98.9.
1.98.10.
1.98.11.
EPOSS shall be event driven so that both data capture and the recording of POCL
Services are dynamic (e.g. the swiping of a magnetic stripe card initiates the
Transaction)
EPOSS shall have the facility to read data from any input device supplied as part of
the POCL Service Infrastructure used in providing OPS.
Requirement 695 - POCL Applications - EPOSS: Stock Unit Control
EPOSS shall provide the facility to adjust cash and Stock levels within a Stock Unit
to reflect the actual levels on hand.
EPOSS shall provide each Outlet with the flexibility to set up Stock Unit(s)
according to the local working practice requirement.
Within EPOSS there shall be a Stock Unit management facility at Outlet level-to
change Stock Unit options and assignments.
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 Transactién Vouchers for a POCL Outlet Accounting
Period.
EPOSS shall allow a User or group of Users to be ‘accountable for a Stock Unit, so
that each Outlet has at least one Stock Unit, but there can be other Stock Units,
effectively operating independently.
Each Stock Unit can in turn be tied to both a User or group of Users or a single Till
or group of Tills
EPOSS shail allow each Stock Unit to be Balanced individually. The Stock Unit may
be Balanced more than once within a POCL Outlet Accounting Period. Cash and
Stock Items shall be entered by denomination or Stock Jiem level. This applies
whether or not multiple Tills are linked to a single Stock Unit.
At the end of the POCL Outlet Accounting Period an Outlet Balance is struck with
the details provided by the Balanced Stock Units.
An Outlet brings to account manual voucher Transactions including Transaction
Vouchers, automated voucher Transactions including Transaction Vouchers, reports
the Suspense Account position and the Stock and cash totals within the approved
Cash Account format.
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 previous POCL Outlet Accounting
Period.
EPOSS shall provide a secure mechanism for controlling access to a Stock Unit.
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1.99.
1.99.1.
1.99.2.
1.99.3.
1.99.4.
1.99.5.
1.99.9.
1.160.
1.100.1.
1.100.2.
1,100.3.
_ holdings
Requirement 696 - POCL Applications - EPOSS: Reporting
EPOSS shall allow production of a daily Report that shows, at Outlet level, the cash
ndividual 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?
EPOSS shall support the summarisation of daily and weekly Transaction Vouchers at
Stock Unit level.
EPOSS shall support a reporting facility to print on Client cut sheet stationery where
the Client requires it (including without limitation Girobank daily summaries).
The Contractor shal! be aware that Girobank is only an example - POCL needs to
keep the flexibility to print on other cut sheets e.g. tax discs/cheques in due course.
The format of all styles of receipts shall be agreed by POCL and the Contractor by a
date consistent with the Project Plan. A bilingual Welsh/English version is required
in designated Outlets.
EPOSS shal! allow production of duplicate receipis and they shall be marked as such.
EPOSS shall support a reporting facility to print on Client cut sheet stationery to
support Girobank and the Postmaster’s Daily Record (PDR) surumarisation.
EPOSS 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.
EPOSS shal! allow reporting to be previewed on Screen.
Requirement 697 - General - Audit: Access
The Contractor 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.
The Contractor shall permit POCL or POCL’S 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
aécounting aspects, of the POCL Services.
Such access shall be provided on reqiest 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.
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1.100.4.
1.100.5.
1.101.
1.1081.
1101.2.
The Contractor shal] implement audit recommendations in accordance with
provisions of the change control procedures.
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.
Requirement 698 - General - Security: Policy
The Contractor shall minimise and control liabilities to itself and POCL.
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;
¢) security education and training;
4) reporting security incidents;
e) physical security control;
£) virus control;
g) business continuity;
h) control of Software;
i) safeguarding POCL records:
1.101.3.
1.102.
1.102.1. An
j ) information classification;
k) compliance with data protection and other legislation;
1) information exchange control;
m) Contractor's sub-contractors and suppliers;
n) compliance with security policy;
o) the management of fraud and risk during service operation.
The Contractor shall be compliant with ISO: 17799.
Requirement 699 - General - Audit: Trail
audit trail shall be maintained during periods of POCL Service operation
including fallback and Recovery.
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1.102.2. The audit trail shail record al! Data File transfer, messaging and processing, whether
as a result of manual or automated action.
1,102.3. The information recorded shall be sufficient to identify the action, by whom it was
undertaken, when it was undertaken, why it was undertaken, where it was undertaken
and the resulting outcome.
.102.4. 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.
-102.5. The audit trail shal! provide information to allow the original Transaction to be
recreated,
.102.6. The content of the audit trail shal! be agreed with POCL by a date consistent with the
Project Plan.
1,102.7. Subject to Clause 801, audit trail records for Existing Services shall be retained for a
period consistent with Companies Act requirements, or for a period of at least
eighteen (18) months, whichever is longer.
For NBS, audit trail records shall be retained for 7 years.
.102.8. The audit trail shal! be available for inspection by POCL or their representatives as
listed in paragraph 2.1 of Schedule A03.
. 102.9. The audit trail shall have a level of security such that it cannot be altered or deleted.
102.10. The integrity of the audit trail shall be continued during periods of partial or
complete service loss or failure..
102.11. The audit trail shall comply with Requirement 829.
1,102.12, Technological changes to the POCL Services or the POCL Service
Infrastructure shall not render the audit trail unusable.
1.103. Requirement 799 - POCL Applications - APS: Token Issue
-103.1. The Contractor shall provide a facility that permits the issue at Outlets of
replacement APS Tokens and APS Tokens for new Customers, as directed by POCL.
1.104. Requirement 800 - POCL Applications - EPOSS: Serve Customers (A)
-104.1. EPOSS shall support the recording of all Transactions between.the Customer and the
User.
1.104.2. EPOSS shall allow the selection of Customer Sessions to allow for:
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1.1043.
1104.4.
1.104.5.
1.105.
1105.1
1,105.2.
1.10:
a
3.
1.106.
1,106.1.
=) normal Customer service; or
b) a Refund; or
c) a Reversal.
EPOSS shall uniquely identify a Customer Session and each Transaction within the
Balancing Period.
EPOSS shall allow Customer Session completion to be implemented in a way to
encourage a ‘one Customer one session’ rule.
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.
Requirement 801 - POCL Applications - EPOSS: Product Styles ,
EPOSS shall support the current range of business pérformed within Outlets e.g.
a) Value Stock;
b) Method of Payment;
c) a counter shortage known as a "loss";
d) a counter overage known as a "gain";
e) a POCL Product;
£) an inpay supported by a Client voucher (receipt);
g) an outpay supported by a Client voucher (payment).
EPOSS.shall support the Customer Transaction by price type as follows:
a) fixed price - where the price is held by EPOSS; or
) 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.
Where necessary Composite Products shall be declared at individual denomination or
item level by the User as part of the Balancing activity.
Requirement 802 - POCL Applications - EPOSS: Value Stock Management
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
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1.106.2
Associated Fee are sold for cash the Stock of the former is decreased and that of the
cash is increased.
EPOSS shail allow 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 2 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
1.108.1. A journal of all Transaction data shall be available to allow the User to refer back to
a previous Transaction.
1.108.2. 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 Transaction Id.
1.108.4. The Transaction log shall be easily accessible to the User for the resolution of
enquiries.
1.109. 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 audivEvent log for any Balancing Period in the current
POCL Outiet 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 Outlet Accounting Period so that, without Limitation ali
attempts to access a Stock Unit can be detected.
1.09.4. 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 shall be accurately maintained and remain in step
with Greenwich Mean Time and/or British Summer Time as appropriate.
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1111.
Lunt
1112.2.
Requirement 807 - POCL Applications - EPOSS: Transfers between Stock
Units
EPOSS shall atlow the movements of Value Stock Items and Methods of Payment
into and out of Stock Units within 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.
1.111.3. Each movement is entered to the current Balancing Period for the Stock Unit.
1.112. Requirement 808 - POCL Applications - EPOSS: Outlet Balance
1.112.1. EPOSS shall provide a facility to reconcile Non-value Stock Stock Items with unique
serial numbers.
1112.2. 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);
¢) number on hand at close of POCL Outlet Accounting Period (plus); .
cd) number issued/spoilt/retumed.
1.112.3. EPOSS shall provide a Suspense Account facility where items that cannot be cleared
operationally during one POCL Outlet Accounting Period can be identified and
carmied forward to the next. .
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 shal! maintain.
a) a running record of all Transactions performed;
b) the current balance;
c) the accounting sense (pay ouv/take in);
) settlement details.
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1.113.2. Multiple Transactions for the same Customer shall be logically grouped into a single
1.114.
Lidl.
1,114.3.
Customer Session.
Requirement 810 - POCL Applications - EPOSS: Transaction Rules
EPOSS shall allow the Refund or Reversal of a Transaction according to Client and
POCL accounting and business mules as agreed between the parties from time to time.
EPOSS shall enable cenain Transactions not to be refundable or reversible to comply
with any changes to the Client and POCL accounting and business rules as agreed
with POCL from time to time.
=POSS shall be able to validate Transaction details against Reference Data.
EPOSS shall provide the ability to Rate Shop against a value input for a fixed price
POCL Product.
Requirement 811 - POCL Applications - EPOSS: Data Transmission
1.115.
115.1. EPOSS shall ailow TMS to pass all recorded information to authorised remote
locations (e.g. TIP).
1,115.2. 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 is automatically updated. .
1.116. Requirement 812 - POCL Applications - EPOSS: Transaction Reversal
1.116.1. 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, NBS) or disallowed in Reference Data supplied by POCL to the Contractor
from time to time.
1.116.4. EPOSS shall permit Users to enter a 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 - EPOSS: Revaluation of Value Stock
1,117.1. EPOSS shall allow revaluation of fixed price Value Stock Stock Items and Methods
of Payment when the price changes.
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1,117.2.
L.AL7.3.
. 1117.4.
4,117.5.
1.118,
LALS8.t.
1118.2.
1.118.3.
1,118.4.
1,118.5.
1118.6.
LALS.7.
(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 Stock 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
Products (and thence reported on designated Cash Account lines). Thus the
requirement for maintaining an equal and opposite effect on the Stock Unit is
maintained.
EPOSS shall allow efficient revaluation of multiple Value Stock Stock Items of the
same generic type e.g. postal order fees. .
EPOSS shall ensure that only Value Stock Stock Items allowed in Reference Data
provided by POCL to the Contractor from time to time can be accessed.
Requirement 814 - POCL Applications - EPOSS: Eater Cash on Hand
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;
}) as part of the Stock Unit Balancing process.
The dialogue to record the information screen may be common for both activities to
avoid unnecessary duplication when Balancing.
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. .
The EPOSS shail 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 is advised of any discrepancy to war of potential errors
and (in Balancing) the implied balancing loss or gain.
A zero cash holding is declared by using the function in the normal way and
confirming zero entries.
EPOSS shail allow the last known declaration to be carried forward for Cash Flow
reporting purposes where no activity has occurred to change the last known cash
position. This is required to cater for rest days including Outlets that shut on
Saturdays etc.
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1118.8
In Outlets that Team Work EPOSS shall allow cash declaration across ail the Tills
that contribute to the Stock Unit position.
1.119. 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 ils most
recent final Balance.
1,119.3. 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 to producing the Cash Account for that
POCL Outlet Accounting Period.
1.19.4. 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 rolling period of 18 months, shall be
maintained as available for retrieval and review (but not amendment).
1.120.2. On retrieval all Records shall be packaged in weekly batches as a complete POCL
Outlet Accounting Period cycle.
1,120.3. Outlets require record retrieval on demand for the previous two (2) complete POCL
Outlet Accounting Periods. Older records shall be made available ai 24 hours notice.”
1,120.4. EPOSS shail 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 facility. within EPOSS shall have an associated User authority level (clerk,
supervisor, manager). EPOSS shall also. provide reasonabie safeguards against
accidental or deliberate access by other than the normal means to Sofiware or data.
1.120.7. 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: Discousiting
1.1211. EPOSS shali allow discounting for all discountable POCL Products. A list of
discountable POCL Products shall be maintained in Reference Data supplied by
POCL.
1.21.2, EPOSS shall allow discount by an entered percentage for the last Transaction or for
all discountable POCL Product Transactions in the Customer Session.
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i)
=)
1.123.
1.123.1.
. EPOSS shall allow discount by an entered value for the last Transaction or for all
discountable POCL Product Transactions in the Customer Session.
Requirement 818 - POCL Applications - EPOSS: Reference Data -
. 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.
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 warmed by EPOSS at the start of the next POCL Core Day that a change has
been made.
. Reference Data to support local products will be controlled centrally in the same
manner as for national products.
. 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.
. Changes to the internal reporting structure within current principles shall be possible
by Reference Data rather than by Software update.
. EPOSS shall support, through POCL Reference Data, the introduction and
maintenance of a POCL Product in line with agreed Client requirements and POCL
accounting practices.
. EPOSS shall be a robust Service, including features to:
a) check internal consistency, reporting errors, warning of non critical errors and
preventing critical errors;
b) refuse deletions if there is dependent business data which would lead to
inconsistency of data within the POCL Service Infrastructure;
c) make Reference Data available at the counter terminals;
d) check Reference Data consistency and report exceptions.
Requirement 819 - POCL Applications - EPOSS: The Outlet Trial/Final Cash
Account
EPOSS shail 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 shal! be 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.
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1.123.2.
1123.3.
1,123.5.
1.123.6.
fe)
=
ia
1124.4.
A Report shall be available in each Outlet that maps Reference Data of POCL
Products to the appropriate line(s) of the Cash Account table(s).
EPOSS shall provide a facility to input Cash Account details including week end date
and week number. Under certain authorised circumstances an authorised Outlet may
produce one Cash Account to span a2 or 3 week period and this must be managed by
EPOSS. 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.
. EPOSS shall support the production of the Cash Account in printed and electronic
formats. The printed Cash Accounts shall include a 2D bar code. The electronic Cash
Accounts shall be transmitted to TIP.
EPOSS shall allow Users to.produce trial Outlet Cash Accounts.
EPOSS shall provide a facility to move forward into the next POCL Outlet
Accounting Period once a final Cash Account has been produced.
Requirement 820 - POCL Applications - EPOSS: Fallback and Recovery
. EPOSS shal! provide a means of controlling User access to its data, processes, and
functions (see also requirement 816).
. EPOSS shall include faliback 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.
For the avoidance of doubt, fallback procedures shal] not be provided for NBS to
allow local processing where connection to the NBE has failed.
. EPOSS shail 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 swifily and in an auditable manner. _
EPOSS shall back up Stock Unit and Outlet data in order to support the ability to
retum to a recent known position for fallback and Recovery. Depending on the
specific solution, there may be times within the Cash Account cycie (pre/post Cash
Account roll over) when local control of back up is required.
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1.124.5.
1124.6.
1.124.7.
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.
EPOSS shall ensure that the committal process for a Transaction is robust and
consistent across all Transaction types so that an interruption does not result in an
unrecoverable error.
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
1.124.8
1.127.
1,127.1.
committed Transactions have to be re-entered,
EPOSS shall warn the User where there is the possibility that data are corrupt.
Requirement 821 - POCL Applications - EPOSS: Business Rules
. EPOSS shall be flexible enough to provide the ability to define the Transaction range
available at specific Outlets, including:
a) preventing specific Transactions from being available locally (by Outlet);
b) declining to use specific non-mandatory Transactions locaily (by Outlet);
c) modifying specific POCL Products, where allowed in Reference Data provided
from time to time to the Contractor by POCL, for specific Outlets.
. EPOSS shall be flexible enough to introduce new functionality as agreed with POCL.
. EPOSS shall provide facilities to:
a) prepare EPOSS Transaction data and EPOSS processed data for export to; and
b) import data from other systems outside the POCL Service Infrastructure.
Requirement 822 - POCL Applications - EPOSS: Interface with Inventory
Management OO
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.
Requirement 823 - POCL Applications - EPOSS; Data Management
EPOSS shall make Transaction and process data captured through EPOSS available
to any POCL Service delivere: ‘ough the medium of the OPS and specified by
POCL as requiring access to data.
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1.127.2. EPOSS shail 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.
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 soon as it has finished with them.
1.129, Requirement 825.- POCL Applications - EPOSS: Serve Customer (B)
1.129.t. 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. Multipie
Transactions for the same Customer shall be logically grouped into a single Customer
Session.
1,129.4. Data shall be automatically recorded in EPOSS if captured during another POCL
Service e.g. APS, OBCS or NBS.
1.129.5. Within a Customer Session EPOSS shall maintain:
a) a running record of all Transactions performed;
b) the current balance;
cc) the accounting sense (pay out/take in);
G) settlement details.
1.129.6. EPOSS shall accept single ‘or multiple Methods of Payment as settlement.
1.129.7. EPOSS shall provide the flexibility to allow the implementation of new Methods of
Payment including EFTPOSS and debit cards.
1.129.8. EPOSS shall allow a Customer Session to be suspended and then recalled for
completion later. In between the User shall be able to continue to enter and complete
further sessions as required. A Customer Session cannot.and shall not be suspended
at a Counter whilst a Banking Transaction is in progress.
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1.129.9. EPOSS shall provide a Void Transaction facility. EPOSS shall enable the use of this
facility for certain Transactions to be prohibited according to defined Client and
POCL accounting and business rules.
1,129.10. EPOSS shall allow the Refund or Reversal of a Transaction with access
maintained at User level. Note that certain Transactions shall not be refundable or
reversible to comply with Client and POCL accounting and business rules.
1429.11 Some POCL Products are linked and shall remain so within a Transaction,
including for Refund/Reversal or voiding 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. 7
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 cades and to add functionality to accept data from other approved peripheral
devices.
1.129.13. EPOSS shall 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
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 shal! support such connection, to
specialist peripherals in such a way that the specialist peripherals may be accessed by
one, two or more terminals. This capability shall not be applicable to PIN Pads.
1.130.2. In such a case it shall be possibie to restrict access to a subset of the terminals in each
Outlet.
1.131. Requirement $27 - 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 extemal 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;
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b) go lists;
c) other authorisation types:
in relation to such POCL Products.
1.13.3. 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, 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.
1.133. Requirement 829 - General - Security: Prosecution support
i.133.1. The Contractor shall comply with all prosecution support obligations specified in
Schedule A02
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. There shal! be no fallback Transactions for NBS. As
specified in the N Schedules there shall be a process for recovery of incomplete
transactions in the event of counter failure.
1.134.2. The Contractor shall ensure that the contingency plans for 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 shall 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 three distinct parts:
a) Initial testing before commencement of Roll Out of Existing Services;
b) Initial testing of NBS prior to live operation of NBS as set out in Schedule N09.
c) Regular testing
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1134.7.
1134.9.
The contingency plans shali include without limitation the following:
a} prevention measures;
b) preparedness measures;
c) contingency measures;
d) Recovery of normal service;
€) contact lists.
. The contingency plans, the scheduling of regular tests and the review of such tests
shall be subject to joint periodic review by the Contractor and POCL during a
quarterly Service Management Review meeting or separately as the result of an
action agreed at one of the quarterly Service Management Review meetings.
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, F08, G10, HOS,
K08 and N08 shall continue to appiy.
Requirement 831 - End to End Service - POCL Interfaces
. 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:
a) interfaces 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;
¢) interfaces between Outlets, TMS and Clients;
d) 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 data via TMS as
specified on an individual Client basis by POCL;
¢) interface between POCL SAPADS and TMS:;
f) Interface between POCL Service infrastructure and NBE.
. The POCL Interfaces documentation shall cover: data content in logical groupings,
physical 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 exisiing interfaces shall be made available to the Contractor
within three (3) months after 15th May, 1996,
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1.135.3. The POCL Interfaces documentation shall not initially cover further potential
interfaces in respect of:
a) EFTPOS;
b) reconciliation and exception reporting;
c) operational management information;
da) performance monitoring;
) inspection of Transaction and Event logs for audit and security purposes;
£) [not used];
g) transitional arrangements in relation to 'cash account processing’.
. The format of each interface shall be.specified in a Contract Controiled Document. -
Such specifications for interfaces added from time to time shail be introduced
through the Change Control Procedure.
Requirement 832 - POCL Applications - EPOSS: Business Processes
. The Contractor shail agree with POCL, before commencement of Roll Out of
EPOSS, the overall business processes at the counter such that:
@) the capture of data at the Outlet is complete, accurate and robust e.g. a unique
Transaction reference;
b) any transfer of data is secure, complete, accurate and robust;
¢) whether operating normially 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 829); 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 appropriate;
£) the Method of Payment is recorded at the point of sale;
g) the access control system allows segregation of responsibilities. A log of Users
and the functions to which they have access shall be available to Outlet managers;
h) a back up of.all Transactions shall be taken each day;
i) User and device are uniquely ident fied within each Outlet,
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4) data shall undergo a balancing procedure to enable a final review and
authorisation;
kc) Transaction data shall be made availabie to other services as agreed in each AP
Client Specification and the “Pathway to TIP Application Interface Specification”,
and other POCL Services;
1) Transaction data not delivered in accordance with the above shall be clearly
identifiable;
m) all Transactions can be reconciled to an appropriate supporting voucher and where
necessary these vouchers are to be available for central validation of amounts
collected;
n) an up to date record of cash and Value Stock on hand shall be maintained and
current balances can be reporied;
o) 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 shali be produced automatically when required and all
Transactions shall be included since the last summary was completed;
gq) items posted to Suspense Accounts can be identified for future investigation;
x) information to show compliance with the relevant legislation, including without
limitation 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. EPOSS 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 - POCL Applications - EPOSS: Transitional / Contingency
Arrangements .
1,138.1. The Contractor shall ensure that contingency arrangements are available for all
Outlets both during and after Rol! Out of EPOSS to such Outlets.
1,138.2. [not used}
1.138.3. To provide contingency cover during and after Roll 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.
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1,138.4.
1.139.
1,139.1.
1.139.2.
1.140.
1,140.1.
1.140.2.
1.140.3.
The element of the POCL Service Infrastructure at every Outlet shail be capable of
printing a 2 dimensional bar-code on any plain paper summary.
Requirement 835 - POCL Applications - EPOSS: EPOSS Related
Benefits encashment and other Automated Transactions shall 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;
d) Transaction times are kept to a minimum.
EPOSS shall be capable of providing summaries of any type of Transaction for
comparison with physical Records contained within the Outlet. For example EPOSS
shall be able to:
a) summarise the quantity of tax discs on hand;
b) summarise the quantity of milk Tokens on hand;
c) list and total cheques accepted by value;
. As Transactions become automated the relevant summaries shall be enhanced to
include details of items issued/on hand, by individual serial number.
Requirement 836 - POCL Applications - EPOSS: Service Development
PostShops ate currently equipped with an EPOS 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.
Where an Agent ma! 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.
For each Transaction processed at a Counter Position through the POCL Service
Infrastructure the following information shall be captured: .
@)} value of each Transaction;
b) volumes of Transactions;
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c)a unique code for each POCL Product across all Clients (e.g. breakdown by
denomination of Royal Mail stamps sold);
G) source (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;
hh) 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 preclude their inclusion.
1.141. Requirement 837 - POCL Applications - EPOSS: Reporting
1.141.1. EPOSS shall 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); 7
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;
£) reconciliation Reports for Non-value Stock Stock Items e.g. milk Tokens, tax
discs; .
g) Reports on Transfers of cash and Value Stock;
h) ad hoc Reports for management information purposes.
1.141.2. EPOSS shall be able to deliver Reports at the User's discretion, subject to POCL and
Client ruies on frequency of despatch and POCL Outlet Accounting Periods. Client
Reports shail be produced on a daily or weekly basis. Where operationally
appropriate, several weekly Reports shall be produced during a POCL Outlet
Accounting Period.
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1.142. Requirement 838 - POCL Applications - EPOSS: General
1.142.1. EPOSS shall have the facility to allow input of Transaction 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
dtems, value recorded for information only.
1,142.2. 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 Functionality
1143.1. 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; —
¢) coupon management;
@) multibuys;
e) promotions;
£) marketing;
g) reporting.
1.144. Requirement 869 - POCL Service Infrastructure - Service Levels: Transaction
Management System (TMS)
1.144.1. POCL is not concemed with the performance of individual elements of the POCL
Services per se. The primary concern is with the overall performance of the POCL
Services as they impact upon POCL’S own systems, Clients, staff, Agents and
Customers. Therefore, targets for the level of internal performance between POCL
Services shall not be set by POCL. However internal POCL Service 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). :
1144.3. 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 no event later than 9 (nine) months after commencement
of national Rollout.
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1.144.4. For the TMS the Contractor shall specify the performance requirements and
tolerances by a ‘date consistent with the Project Plan for:
a) hours of operation of TMS;
b) response time required between TMS and OPS;
c) the number of outages of TMS, identifying types of outages monitored;
d) the availability of TMS.
* 1,144.5. The Contractor shali report against all performance requirements 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.
1.145. 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 interaction
with peripheral devices) involved in each Transaction. In all cases the response of
EPOSS to any peripheral input shall be instantaneous.
1.145.2. Summarisation and balancing activities, including processing and printing, shall be
optimised and avoid re-processing when data are changed during accounting.
1.145.3. The Contractor shal! conduct performance benchmark tests against each of the
different transaction types stated in the Schedule F08 of the Codified Agreement and
identify their performance characteristics. The performance benchmark process is
defined in document CS/PRP/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 monthly and quarterly Service Management Review
meet The meeting shal] 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.
w
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1.146.
1.146.1.
1,146.2,
the Transaction are deemed to be in the first batch transmission and so on.
1.146.3
1.147,
1147.1.
1.148.
1148.1
1.148.2.
1,149,
1.149.1.
Requirement 871 - POCL Applications - EPOSS: General Service Levels
EPOSS shail 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 G10
Transaction data shall be forwarded to POCL central systems (e.g. TIP) 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
shail be included in a subsequent transmission. :
Data which are included in the first batch transmission to take place after the time of -
The Service Levels for these are defined in schedule G10.
Batch transmission times shall be agreed for each’ POCL central system in Schedule
G10.
Requirement 880 - POCL Applications: Specification of Transaction Data from
Outlet to TIP
Transaction data from the Outlet to TIP (via TMS) shall be as specified by POCL. &
(See Requirement 831.)
Requirement 890 - POCL Applications - APS: Reconciliation
The APS shall ensure and demonstrate that all committed Transactions have
successfuily passed from the Outlets to POCL and/or Clients.
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.
Requirement 891 - End to End Service - Reconciliation Requirements
1. GENERAL REQUIREMENTS
The Contractor shal] ensure that all captured data are complete and accurately
reflected in the appropriate outward interfaces:
4) this applies to Transaction data of all types and. modes (including normal working,
fall-back and Recovery, and to normal usage, amendment, reversal, and so forth)
and to Stock and cash levels: and
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bp) this applies to Reference Data changes, both local and as received from POCL as
follows:
. from ESNCS for OBCS stop lists;
. otherwise from the POCL Reference Data System except for any specific
transient arrangements;
c) this applies equally at all levels and across POCL Service components.
1.149.2. The Contractor shail synchronise data flows and storage, and shall:
@)-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;
c) where a single datastream is "switched" to more than one recipient:
. 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 to 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 level data are held, maintained or transferred at more
than one levei.
1.149.4. The Contractor shall perform daily operational cut-over reconciliations for any on-
line interfaces with external systems.
1,149.5. The Contractor shall report reconciliation results to POCL, including any
discrepancies and any doubtful items, and report progress on resolution of
outstanding items in relation to:
a) interfaces between POCL Service components and POCL’S systems:
_) external interfaces between POCL and Clients (to enable them to maintain their
commercial relationships); .
c) interfaces between POCL Service components.
1,149.6. The 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 !.6, dated 16 April 1996. For new interfaces such
integrity controls shall be agreed through a process which is defined in the documents
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Business Requirements Definition (reference PA/STD/003) and New Service
Introduction (reference PA/PRO/Q07). £
1.149.7. The Contractor shal! control the implementation of configuration changes, including
changes to Reference Data, including:
a) checking and reporting the implementation of changes against instruction;
b)} maintaining the integrity of other reconciliation processes across configuration
changes;
1.149.8. The Contractor shall meet all reconciliation requirements in contingency situations as
well as normal working.
1.149.9. Service Leveis for all reconciliation requirements are as follows:
a) full reconciliation with 100% of items demonstrably accounted for;
b) provision of the ability to reconcile by agreed processes at detailed level,
including 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 shal] make all reasonable endeavours to resolve any doubtful items
and errors promptly.
2. POST OFFICE OUTLET RECONCILIATION REQUIREMENTS
1.149.10. 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.
Y.149.11, 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 shall also be sustained in fall-back and
* during Recovery after any Service Failure.
1.149,12. The requirements in this section (2) shal! be satisfied instantly.
3 TMS RECONCILIATION. REQUIREMENTS
1.149.13 The Contractor shall provide operational control reports on operations,
including polling and any loss of communications.with Outlets or with other POCL
Service components. In particular these reports shall include a daily report of Outlets
which have not been polled.
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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.
1,149.15. The Contractor shall ensure that information provided to POCL via TIP makes
explicit what Transaction data have been sent to Clients.
For the avoidance of doubt, for NBS this requirement shall! be met by the reports set
out in Network Banking End to End Reconciliation Reporting (CS/SPE/011).
4. COMMERCIAL RECONCILIATION REQUIREMENTS
1.149.16. The Contractor shall provide information to enable reconciliation of POCL Services
with Charges. €
1.149.17. The Contractor shall act, and be scen to be acting, on behalf of POCL in
reconciliations with other parties, and provide the necessary information for POCL to
exert appropriate management control over operations performed on their behalf. The
Contractor shall ensure in so doing that the commercial relationships between POCL
and third parties are not compromised.
1.150. Requirement 894 - General - Management [nformation Requirement
1,150.1, 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.
nv
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 shall provide data to enable resource, network, productivity and
cash management. A process for reviewing the type of Management
Information data to be provided shall be agreed by. a date consistent with the
Project Pian.
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.
1.130.2. These data shall include without limitation: °
a) Outlet, User and Stock Unit registration / deletion and mutual association;
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b) log-on / off
¢) completion of summaries and returns / reports, roll-over to new Balances and/or
POCL Outlet Accounting Perods;
G) polling events;
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.
. 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: [rregular Encashment Patterns
1.151.1. 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 shal! 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.
1,153.3. OBCS shall be implemented using TMS and OPS,
1.153.4. The implementation of OBCS shall comply with the Horizon OPS Style Guide.
1.153.5. Help Desk support shall be available to all Users of OBCS
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1,153.6.
OBCS shall be availabie 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 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 number of days following receipt of the recall. OBCS shall calculate the recall date .
in accordance with the OBCS Business Processing Rules.
1,154.3. 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 DSS shall be removed after an
appropriate period.
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 entries.
1,154.6. The maximum size of a stop list update shall normally be 100,000 entries. In the
event that an update of greater size is needed special arrangements shall be made.
1.154.7. The minimum size of a stop list update shall be 0 (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
L.155.1. {not used].
1,155.2. OBCS 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 shal! be scanned, validated and checked against the stop list:
a) when the order book is received atthe 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 shail be a clear
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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’.
. When an order book is received at the Outlet from the Issuing Authority, OBCS shall
prompt the Counter Cierk to scan the bar-code, and OBCS shall check it against the
stop list. The electronic record of the Transaction shal] be transmitted to the DSS
computer system within a Data File.
Or
Oo
ue
a) 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) [f there are three consecutive failures to read the bar-code OBCS shal! 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.
&) The maximum number of order books received in an Outiet on a POCL Core Day
is expected to be approximately 600.
1.155.6, 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 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 :
a) The maximum number of order books issued at any one Outlet in a POCL Core
Day is expected to be approximately 100, but it should be bome 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 shall 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 2 bar-code as not conforming with the specification agreed
with POCL, OBCS shall instruct the Counter Clerk to impound the order book
without payment. The Transaction shail be recorded by OBCS. This transaction
shall be recorded in the summary of non-bar-coded order books.
b) [f the order book is not on the stop list then OBCS shall instruct the Counter Clerk
to-pay normaily 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. _
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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 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 retum it to DSS.
G) 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 shail not be allowed to void or otherwise cancel such a Transaction.
e) If there are three consecutive failures to read the bar-code, OBCS shall prompt the
Counter Clerk io 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 shal! instruct 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.
1.15.8, Details of the interface with the DSS computer system for receiving Transaction
records noted above shall be made available by the DSS by a date consistent with the
Project Plan.
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 enter the number of vouchers to be encashed. A default
number of one shall be presented with the Counter Clerk having the ability to
overnde this.
1.156.3. For each Outlet for each POCL Core Day a single electronic record giving the total
number of 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.
1.137. Requirement 902 - OBCS - Transaction Times
A
<a
{not used]
a
pe]
io
. 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 ,
shail not take more than one (1) second longer than without OBCS; -
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1,158.2.
1.159.
1159.1.
b) in issuing an order book to an Authorised Person, 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;
in making an encashment OBCS Transactions shall not exceed transaction times as
per Schedule HO8.
Requirement 903 - OBCS - General Service Levels ©
.. The siop 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 of updates have not been applied then the
version is deemed one day behind and so on.
On any POCL Core Day:
a) 97 % 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) 160% of Outlets shall be referencing a stop list which is no more than two days
behind.
Transaction data shall be forwarded to the DSS computer system soon afier the
completion of the POCL Core Day on which the Transaction occurred as part ofa
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.
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.
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1.160. Requirement 906 - POCL Implementation - Roll Out:
1.160.1. Outlets shail be provided with new terminals on the day of installation of the POCL
Service Infrastructure in respect of Rol] Out. 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 shail maintain accounting and reporting integrity in the POCL
Services and POCL 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 afier states (e.g. if simultaneous implementation does not occur) 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
n any other POCL Premises as required by legislation.
1.163. Requirement 913 - Implementation - Service Level Agreement: POCL User
Documentation .
1. INTRODUCTION
1,163.1. 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. AVAILABILITY
2.1. Users of the POCL Service Infrastructure
1.163.2. User documentation shall be available to all Users of the POCL Service
~ Infrastructure [00% of the time that the POCL Service Infrastructure is in use.
2.2. Other Users
. 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.
fon
fra)
io
2.3. Contingency/disaster Recovery arrangements
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1,163.4.
1.163.5.
1,163.6.
1163.7.
1.163.8
1.163.9.
User documentation which contains information to Users on contingency / disaster
Recovery arrangements, such as what to do during a Service Failure, shall be
available to all Users during all hours of business.
3. CONTENT OF USER DOCUMENTATION
User documentation shall 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;
c) balancing, inclading Value Stock taking;
d) Stock ordering;
e) Stock acceptance, disposal, destruction, remitting ete.;
£) contingency arrangements e.g. for Service Failure;
g) giving information to Customers e.g. how to obtain a duplicate Motor Vehicle
Licence.disc;
hh) information for specific POCL Products €.g. posting restrictions;
i) performing business Transactions at Remittance Units e.g. Girobank deposits.
4. ACCURACY OF [INFORMATION
All information in User documentation shall be accurate.
5. DESIGN OF USER DOCUMENTATION
5.1. Visual identity
All User documentation shall conform to Design Standards Volume 1: Identity
System [POCL Visual Identity Design Applications Guideline].
5.2. Communications policy
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
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 io 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
* Products/Services.
6.4. Availability
1.163.143. 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
documentation 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
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
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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 all Users of the
_ documentation immediately prior to implementation of that particular change.
7.2. Emergency updates
1,163.18. Emergency updates to PPDs shall be made available to POCL 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.
92. Target for User satisfaction
1,163.21. User satisfaction with User documentation shall be no less than 90%.
9.3. Topics to be covered
“1,163.22. . Topics to be covered by the User satisfaction survey will include areas such as:
a) overall use/effectiveness of User documentation;
b) comprehensiveness of index/indices;
c) accuracy of index/indices;
d) relevance of any cross references;
@) accuracy of any cross references;
£) layout, style and language etc.;
g) readability/size/usefulness of graphics;
_ A) quality and clarity of text.
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1.164. Requirement 914 - [mplementation - Service Level Agreement: Operational
1,164.1.
1,164.2.
1,164.3.
1.164.4
1164.5.
1,164.6
1,164.7.
1,164.8.
Systems Help Desk
1. INTRODUCTION
This requirement documents the key Help Desk Service requirements for the POCL
Services and POCL Service Infrastructure.
2. HELP DESK SERVICE
2.1. General
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 and ‘any other party
authorised by POCL and agreed with the Contractor,
The Help Desk shat!:
a) act as a central point for information on the working state of the POCL Services;
b) keep Help Desk Customers notified of any scheduled interruptions;
c) assist in any negotiations between POCL and their customers and any other party
authorised by POCL and agreed with the Contractor where interruptions to the
POCL Services provided are scheduled;
a) keep Help Desk Customers informed of when the POCL Service will be restored.
The Contractor’s Help Desk Service shall provide first, second and third level
Services. Help Desk contact shall be over the telephone.
The Contractor shall provide the facility to transfer calls which are received and are
outside its area of responsibility. The Contractor shail also provide the facility to
receive transferred calls from POCL help desks and helplines.
2.2. First Level Service
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. .
The first level member of staff who takes the call owns the problem from initial
logging through to resolution to the Help Desk Customer’s satisfaction. The
Contractor shall cater for first level members being off duty.
2.3. Second Level Service
The second level Service shali provide a diagnostics and fixing service for ail
problems which cannot be fixed within five (5) minutes by the first level Service, but
which can be resolved within thirty (30) minutes.
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1,164.9. Calls shail 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
1,164.10. 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 within a standard timescale. .
2.5. Hours of Service
1.164.11. A full Help Desk 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.
1.164.12. The Contractor shail ensure that calls made to the Help Desk outside specified
hours are accepted by Contractor. 7
1.164.13. 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, to provide a first and second level Service outside normal
and extended working hours. :
2.6. Problem Management
1.164.14, The Contractor shall provide a problem management system to record the
problem details such as (but not exclusively):
@) unique problem serial reference, generated automatically by the problem
management'system; I
b) Help Desk Customer contact, address, location and telephone number,
c) date and time problem occurred;
&) date and time problem was reported to Help Desk;
e) Help Desk contact; ,
£) description of the probiem, including frequency of occurrence;
g) serial references of similar faults and previous occurrences;
h) Hardware Equipment involved; serial rumber etc.;
i) Software product and release version; ,
3) assessed impact on Help Desk Customers business;
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k) priority for solution:
1) problem category;
m) estimated elapsed time to solve problem;
n) any change of referral point;
©) date and time of referral.
1.164.15. The Contractor shall update the problems management system with the
following information, as appropriate:
a) date and time of update; *
b) Help Desk 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;
d) date and time problem was cleared;
e) date and time the solution was accepted by the Help Desk Customer;
£) actual elapsed time to solve problem.
1,164.16. The Contractor shall 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 couid be:
Priority Description
1 live working disrupted. Outlet cannot continue normal working;
2 live working disrupted but work around possible;
minor inconvenience. Help Desk provide short term resolution.
we
1.164.18. Throughout the life of the problem the Contractor staff shall monitor 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 procedures
which are defined in the-document Horizon System Helpdesk PPD.
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 _
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1164.21. 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/con figuration 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.
2.9. Training
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 stalf.
2.10.Personnel
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% of 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 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 . .
1,164.28. The Contractor shall resolve at least 95% of calls assigned to second level *
within thirty (30) minutes. The Contractor shall resolve 100% of calls assigned to
second level within forty-five (45) minutes.
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3. SERVICE MONITORING
1.164.29. The Contractor shall produce Service information, in 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 they relate. The following is an example of the
information required:
a) number 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;
e) number of problems / queries assigned to first level that were not cleared within
ten (10) minutes;
£) number of problems/queries with secondary complications (e.g. repeat cails);
g) number of problems/queries escalated;
h) percentage of time full Help Desk Service was available;
i) supplier performance against Service Levels for response;
3) 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;
d) 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. The approach to be taken and the format
and content of the questionnaire shall be discussed between the Contractor and.
POCL at the quarterly Service Management Review meetings. [DN Note that
CCN281 omits the first sentence. However, this would make the remaining
paragraph nonsense as “the approach” and “the questionnaire” would not be
associated with anything. Therefore, [ have retained the first sentence.]
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1.164.353.
1.165.
1465.1.
1,165.2
1.165.3
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.
Requirement 915 - Implementation - Service Level Agreement: Training
Services .
1. INTRODUCTION
This requirement documents the training requirements and key measurables that shall
be used to assess only the effectiveness of the training Service.as a whole, and
applies.to Existing Services. ~
2. TRAINING SERVICES
2.1. General
The training provided shall enable POCL’s staff or Agents to achieve acceptable
standards in key competencies in the use of the POCL Services.
The Training Services shall incorporate the development design and delivery of
agreed training events and support materials.
2.2. Specific Responsibilities
Contractor
a) Design of training events;
b) development of training materials (day to day and maintenance);
c) delivery of training:
. to delegates (as appropriate);
° to trainers; .
@) communication of training activity:
. to delegates;
. to POCL;
. to POCL Regions;
e) management.of training processes:
. training plans;
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. call up notices;
. site selection and preparation;
. provision of appropriate Equipment;
£) management information (training):
. provide defined reports on training completed for agreed periods;
g) Auend 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;
1,165.4.
1.165.5.
1165.6
1.165.7.
c) attend regular training review meetings;
&) identify improvements to training Services as part of the Contractor’s quality ~
review,
3. I KBY MEASURABLES
3.1. Timeliness
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 earlier than seven (7) or later than three (3) POCL
Core Days before live usage of the POCL Service Infrastructure or the relevant
POCL Service by delegates in the case of non-ECCO+ Outlets. However for the Live
Trial, training shall not be delivered more than ten (10) POCL Core Days before live
usage of the Service Infrastructure or the relevant service by delegates. However for
the ECCO+ offices, training shall not be delivered more than ten (10) POCL Core
Days before live usage of.the Service Infrastructure or the relevant service by
delegates.
_ 3.2. Quality
Trainees’ satisfaction with the training venue shall be measured by a training
satisfaction questionnaire and shall achieve not less than 85% satisfaction
The training shall have received a positive rating of not less than 95% as a result of a
training. measurement questionnaire.
3.3. -Cycle Time
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1.165.8. Training shall take no longer than the timescale specified by the Contractor in their
Solution to Réquirements 531 and 534 to enable 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. Conti
fe
ency / Disaster Recovery
1.165.9. Notification of course cancellations shall be issued at the-earliest possible tirne. A
minimum of forty eight (48) hours notice must be provided for 98% of cases.
1,165.10. The Contractor shall cancel no more than 2% of courses.
1.165.11. 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
i y Trans:
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
1165.14. 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.
1.165.17. Regional offices shall be provided by the Contractor with a status report oti.
delegates whose attainment level 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
1,165.19. Call up notices shall provide options as to days and times of attendance for
training,
5. MONTTORING TRAINING SERVICES
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~ 1,165.20. The Contractor shall supply information to POCL in the agreed 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 cailed by either
party.
Note : Meetings timing shall be subject to agreement. These are only indicators.
7, ESCALATION PROCEDURES.
1.165.22. Failures in Service Levels shall be managed and rectified between the
nominated SLA managers of POCL and the Contractor whenever possible.
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
provided shall be progressed through the standard Change Control Procedure.
9, TRAINING SERVICE SLA MANAGEMENT
1.165.25, [Not used]
1.165.26. The SLA shall be managed within the overall framework of Schedules A04 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.
1,167.2. The facility shall allow the User to resume work with the minimum delay consistent
with achieving security in accordance with the provisions hereof.
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1.167.3.
1.167.4.
1.167.5.
It shall be clear that the facility is in use to remove any confusion between a terminal
with the facility activated and a terminal that is available for use by any User.
Under circumstances where the facility has been activated and the User is no longer
able to cancel it, for whatever reason, it shai] be possible with appropriate authority:
a) to complete User and Outlet balances; and
ib) to make the terminal available to another User.
The circumstance where the facility has been overridden by an appropniate authority
sha!l be expressly logged to the audit trail.
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 exceed 60dB(A) measured at a distance of one
metre.
1.169." Requirement 925 - Joint Implementation - Operational Trial: Acceptance
Testing Requirements
1.169.1. The Operational Trial in respect of Roll Out,shall be carried out in accordance with
Schedules LO1, LO2, L03, L04 and L05.
1.170. Requirement 926 - Roll Out: Generic Requirement
1.170.1. All Roll Out plans shall be agreed with POCL. Any changes to functionality of the
POCL Services shal! be implemented only with the prior approval of POCL.
1.170.2. POCL reserves the right to suspend the Roll Out programme if the Contractor fails to
deliver POCL Services to the Service Levels.
1.171. Requirement 938 - Data Protection
1171.1. The Contractor shall comply with all its Data Protection obligations specified in
Schedule AQ2
1,172, Requirement 941 - [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.
1.172.2. Northem Ireland is a discrete area for such Rol! Out purposes.
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1.173. Requirement 945 - Implementation - Service Level Agreements: Installation of
TA731.
1.174.
L174...
1.175.
L.A7S.1.
L.475.3.
1.176.
1.176.1
1,176.2.
POCL Service Infrastructure
The installation of the POCL Service Infrastructure; and the implementation of
POCL Infrastructure Service in relation to Roil Out, and the Service Levels for the
POCL Infrastructure Service shall be as set out in Schedule G06 and G10.
Requirement 949 - POCL Implementation - Training
The Contractor shall be capable of delivering POCL's total training requirement if
required in due course.
Requirement 951 - General - Service Architecture Design Document
The Contractor shall develop and maintain the Service Architecture Design
Document, a document describing the design of the POCL Service Architecture.
. As a minimum the Service Architecture Design Document shall specify:
a) the major components, provided directly or sub-contracted, used in providing the
POCL Services; .
b) the functionality within the major components;
c) the interfaces between the major components;
@) the Service Levels required across the interfaces to meet the objectives of the
overall POCL Services;
) all the interfaces with the POCL Service Environment and with other parties’
computer systems.
The audience for the Service Architecture Design Document 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 a thorough background to the construction of the
POCL Services and the rationale for the approach. It is anticipated that the Service
Architecture Design Doctiment shall be between 200 and 400 pages in length.
Requirement 932 - POCL Service Infrastructure - OPS: APS and NBS Key
Management
The OPS shail support a reliable, secure means for the transfer of encrypted data that
may subsequently be used for cryptographic applications.
in order to use the encrypted dato, a key management system shall be in place so the _
encrypted data can be deciphered without risk of the cryptographic key being
exposed.
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1.177.
1177.1.
4.177.2
1.178.
1178.1,
1.178.2.
1,478.3.
1.178.4.
1.178.5.
Requirement 953 - POCL Service Infrastructure - OPS: Concurrency
OPS shall support concurrent access to POCL Services provided via it.
OPS shall eusure data integrity, ¢.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
POCL) of what front office data are included in the report.
. 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. :
Requirement 956 - OBCS - OPS Interface: ESNCS to OBCS
1 BUSINESS SUPPORTED ACROSS THE INTERFACE
The following business transactions shall be supported across this boundary:
1.1 Transactions initiated by ES}
Order book stops - ESNCS shall provide to OBCS amendments to the currently held
list of order books that shall be stopped and 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);
rder 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 shail calculate the recall date in accordance with OBCS Business
Processing Rules. A recalled Order book shall be impounded upon presentation at a
post office.
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;
Restate full list - ESNCS shail, on request from the Contractor to POCL (acting oa
behalf of DSS), provide a fuli list of all stops and recalls that are currently in force.
This ts 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
. Notification of outcome of 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: oF
a) the order book is acceptable;
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}) the order book is immediately impounded (due to a stop or recall request
previously accepted from ESNCS);
c) the order book bar-code is found to be unreadable and is to be sent by the post
office to a DSS office for re-issue. .
1,178.7. 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 events which siall be one of:
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.
1.178.8. 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 shail be one of:
&) the order book is handed over successfully;
b) the order book is immediately impounded (due to a stop or recall request
previously accepted from ESNCS);
c) 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 shal! 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) no 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 order book is impounded (due to a previous recall request
accepted from ESNCS);
d) one 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 shal! notify ESNCS daily for each
post office of: .
@) the total number of non bar-coded order books presented at that post office;
) the total number of order books impounded without any encashments due to the
bar-code being invalid.
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2 SYSTEM AND SERVICE RESPONSIBILITY
1.178.11. 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-Out, operation and management of all such
resources subject to the approval of POCL on behalf of DSS. The Coniractor shall
provide such connection(s) at sites nominated by POCL on behalf of DSS and which
may change over time.
1.178.12. 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 technica! nature and implementation of the
connection.
1,178.13. 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,
1,178.14. The Contractor's service responsibilities extend to: »
a) transport of ESNCS created Transactions and any associated 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 onthe ESNCS services;
b) provision of responses to Transactions where requested along with delivery to the ©
ESNCS service;
¢) transport of Contractor created Transactions and information from the POCL
* Services to the ESNCS service and notification of their availability if required.
1.178.153. Agreed Service Levels for this.interface are as set out in Schedule HO8.
1.179. Requirement 960 - POCL Applications - EPOSS: Zero-Value Transactions
1,179.1. EPOSS shall allow POCL to record various zero-value Transactions to measure work
done, for example for various Royal Mail and Parcelforce activities and for
distribution of various forms, for example Et} 1s. The measurement 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 in support of Service Level monitoring, for example recording Transaction
times for mail receipts. .
1.179.2. Automated zero value Transactions shall be reported separately. Initially these shal!
be: . .
a) automated payments which fall into two categories:
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. Smart Tokens, where Transactions are recorded (even if zero value) once the
Client has been identified since this implies interaction with the Smart Token;
. swipe-cards or keyed Transactions, where recording of zero value Transactions
is controlled by POCL Product parameters for minimum and maximum values
but where a Transaction can be made void during Customer Service;
b) OBCS order book receipt and issue in Outlets.
1.179.3. Particular aspects are:
a) automated payments shall continue as now;
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 of the polling at Outlets (whether via Famborough or
Contractor facilities). The Contractor and POCL shall agree (such agreement not to
be unreasonably withheld or delayed) a strategy to achieve this requirement as from
the commencement of Roll Out.
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
Famborough.
1,181. Requirement 972 - [mplementation - Roll Out: Strategy
1.181.i. The Contractor shall conform to POCL’S Roll Out strategy, which is as follows:
a) installation will prioritise the following seven (7) major conurbations for Roll
Out: West Midlands; Greater Manchester; Merseyside, Leeds / Bradford; Tyne
and Wear; Glasgow / Edinburgh; Urban South Wales; ”
fb) the M25 Roll Out shalt take place during the second half of the overall Roll Out
Programme: :
1.182. Requirement 973 - End to End Service - Internal [nterface Specifications
1.182.1. The POCL Services may, during the lifetime of the Codified Agreement or at
termination, need to 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,
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1,182.2. For each interface the Contractor shall provide an interface specification covering:
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.
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SCHEDULE Al5 - REQUIREMENTS
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline - 28 July 1999
lla Applying CCN81d to R819; CCN239a to R493;
CCN261la to R545; CCN262 to R830; CCN263a to R831;
CCN264 to R891; CCN280 to R914; CCN281 to R914;
CCN289 to R547; CCN310a to R544; CCN349 to R509;
CCN350 to R545; CCN353 not to R945; CCN384a to
R489; CCN387 to R956; CCN41 1a to R543; CCN430 to
R871
Lib Removing the effect of CCN239a on R493; correcting
document reference from CCN280, R914; applying
CCN437 to R915
ll Baselined copy of 1.1b 18 Oct 1999
12a Applying CCN323a to R465, R473, R475, R547, R549,
R550, R552, R553, R554, R913; CCNA72 to R818;
CCNS40 to R834; ; CCN487b to R915; CCNS60 to R891
1.2 Baseline copy of 1.2a 30 November
1999
13a Applying CCN473c to R818 (including insertion of new I 23 December
paragraph and renumbering of following paragraph); 1999
CCNS566a to R915
1.3 Baseline copy of 1.3 30 March 2000
2.0a Applying CCN679b to R471
2.0 Baseline copy of 2.0a 12 January 2001
4.0k New Schedule to introduce Network Banking Service 20/06/02
4.0 ‘Lo Introduce Network Banking Service 21/06/02
i. REQUIREMENTS
Requirement 463 - POCL Service Infias structure = OPS: I
ipment...
Requirement 464 - POCL Service Infrastructure - OPS:
ervices Using OPS and TMS. os
Requirement 465 - POCL Service Infrastructure - OPS,
Requirement 466 - POCL Service Infrastructure - OPS: Consumable:
Requirement 467 - POCL Service Infrastructure - OPS: Links from O}
Requirement 468 - POCL Service Infrastructure - OPS: engineering visits.....
Requirement 469 - POCL, Service Infrastructure - OPS: Technical Document:
Requirement 470 - POCL Service Infrastructure - OPS: TMS Technical Documentation ...
Requirement 471 - POCL Service Infrastructure - OPS: Messaging facilities.
0. Requirement 472 - POCL Service Infrastructure - OPS: Security of Data and Audit Trail
lL Requirement 473 - POCL Service Infrastructure - OPS: User Access .
2
i
1
1
1 Requirement 474 - POCL Service Infrastructure - OPS: Health, Safety, and Legal
bligations .........4.
1
1
15
1
ao.
Se
i
1
it
1
1
]
1
L.
L.
L
ol
Requirement 47 ‘5 - POCL Service Infrastructure - OPS
Horizon OPS Style Guide
3
4. Requirement 476 - POCL Service Infrastructure - OPS: Release control .
5. Requirement 477 - POCL Service Infrastructure - OPS: Asset register
6. Requirement 478 - POCL Service Infrastructure - OPS: Basic TMS Facilities
1.
L.
in
L.
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1.17. Requirement 479 - POCL Service Infrastructure - OPS: Control and Monitoring of TMS
links 12
118. Requirement 480 - POCL Service Infrastructure - OPS: Logical Discreteness of TMS ..... 12
Lig Requirement 481 - POCL Imple: tion - Documentation: Process and Procedures
Documentation. 12
1.20. Requirement 482 - POCL Implementation Documentation: Documentation Standards for
PPDs 2
L21. Requirement 484 - POCL Implementation - Documentation: Availability of PPDs........... 13
1.22. Requirement 485 - POCL Implementation - Documentation: Updating PPD Information . 13
1.23. Requirement 486 - POCL Implementation - Documentation: POCL’s Approval ...............13
1,24. Requirement 487 - POCL Implementation - Installation: Survey of Outlets by the
Contractor 13
1.25. Requirement 488 - POCL Implementation - Installation: Installation and Acceptance of the
Office Platform
1.26.
emoval / Fitting of Equipment at
14
1.30. Requirement 493 - POCL Implementation - Installation
Relocated / Refurbished Outlet . to
131. Requirement 494 - POCL Implementation - Installation: Response t to 0 Network Change
Requests 14
1.32. Requirement 495 - POCL implementation - Installation: Provision of Equipment at Counter
Positions 15
1.33. Requirement 496 - POCL Implementation - Installation: Installation of Equipment at Any
Site Designated by PO! 1S
1.34. Requirement 497 - POCL implementation - Installation: Installation by the Contractor in
Outlets 15
1.35. Requirement 498 - POCL Implementation - Integration: Migration of Existing Products and
Systems 15
1.36. Requirement 499 - POCL Implementation - Integration: Timing of Installation .
1.37. Requirement 500 - POCL Imple:
Modifications...
tation - Roll Out: Confirmation of Permissions for.
ion - Rol] Out: Planning and Agr ent_of Site
1.38. Requirement 501 - POCL Implem
Visits 16
Requirement $02 - POCL Implementation - Roll Out: Survey Activities to Avoid
tion 19 Servi ” 16
1.40. Requirement 503 - POCL Implementation - Roll Out: Modification to Avoid Disruption to
Services 16
L4l. Requirement $04 - POCL Implementation - Rol] Out: Use of Existing Equipment............16
1.42. Requirement 507 - POCL Implementation - Rol! Out: Installation to Avoid Pressure
Periods 16
1.43. Requirement 508 - POCL Implementation - Rol] Out: Suspension ..
1.44. Requirement 509 - POCL Implementation - Rol] Out: Siting of Equipment in Outlet
L45 Requirement 510 - POCL Implementation - Rol] Out: Common Planning Base for All
Types Of Qutlet ..ccccccceccecssessnesseesssssesnssseseesescessasssarsansnsecsccesssrsesnessssnmsesussneesnecaneesaiannesnesteveevensneeese 7
1.46. Requirement Sil POCL. Implementation - oll Our:
services 17
1.47. Requirement 512 - POCE Inplementauon - Roll Out: Overriding Constraints to Speed of
Roll Out 17
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148. Requirement 513 - POCL Implementation - Roll Out: POCL’s Agreement to Equipment
Upgrades 17
1.49. Requirement 514 - POCL Implementation - Roll Out: Mechanism for Determining that
Outlets are Ready to Go Live.
1.50. Requirement 516 - POCL Implementation - Roll Out: POCL Rights I to Am
: 52. Requirement 518 - POCL Implementation = Roll Out: Outlet Survey to be Completed in
One Visit 18
153. Requirement $19 - POCL Implementation - Operational Services: Installation at Previously
Unequipped Counter Positions...
154. Requirement 520 - POCL Implementation - Support ting Services: Availability from Day
Qne 19
1.55. Requirement 521 - POCL Implementation - Supporting Services: Help Desk Services
Single Point of Access... see .
1.56. Requirement $22 - POCL Implementation - Supporting Services: Help Desk Telephone
Number 19
1.57. Requirement 523 - POCL Implementation - Supporting Services: Levels of Support Service19
L58, Requirement 524 - POCL Implementation - Supporting Services: Help Desk Hardware
Support 19
* 1LS9. Requirement 525 - POCL Implementation - Supporting Services: Help Desk Additional
support services ... .
1,60. Requirement 526 - POCL Implementation - Supporting Services: Help Desk Resolution of
Reported Incidents.......
L6L. Requirement $27 - POCL Implementation - Supporting Services: POCL Help Desk.........
1.62. Requirement 528 - POCL Implementation - Supporting Services: Help Desk Re-Routing of
Calls 20
1.63. Requirement 529 - POCL Implementation - Supporting Services: Help Desk Compliance
with POCL Help Service Behavioural Standards... ..20
1.64. Requirement 530 - POCL Implementation - EPOSS Functionality Availability of Services20
1.65. Requirement 531 - POCL Implementation - Training: Acceptable Standards in Key
Competencies... cee sertesseseee 20)
1.66. Requirement 532 - POCL. Implementation - Training: new 1 Products and Product Changes?
1.67. Requirement 533 - POCL Implementation - Training: erference with Data T; fer
or Integrity... 21
1.68. Requirement 534 - POCL Implementation - Training: Suitability for Different User Groups21
1.69. Requirement 536 - POCL Service Infrastructure - OPS: Equipment Genera! Requirements?!
1.70. Requirement 537 - POCL Service Infrastructure - SMS: System Managemen 21
L71. Requirement 538 - POCL Service Infrastructure - SMS: Synchronisation of Time
1.72. Requirement $39 - POCL Service Infrastructure - SMS: Reference Data Handlin:
1.73. Requirement 540 - POCL Service Infrastructure - OPS: Equipment Environmental
1.74. Requirement 541 - POCL Se
L75. Requirement $42 - POCL Service Infrastructure - OPS: Continued Support of Operating
Systems, Middleware and Applications Software...
176. Requirement $43 - POCL Applications - APS: Tokens.
177. Requirement 544 - POCL Applications - APS: Clients/Client Service Type:
1.78. Requirement $45 - POCL Applications - APS: Documentatio
179. Requirement 546 - POCL Applications - APS: General Constraints .
1.80. Requirement 547 - POCL Applications - APS: Data Capture and Validation .
LL&L. Requirement 548 - POCL Applications - APS: Transaction Committal
1.82 Requirement 549 - POCL Applications - APS: Transaction Reversal ...
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1.83. Requirement $50 - POCL Applications - APS: Update of APS Tokens
1.84. Requirement 551 - POCL Applications - APS: Receipting
1.85. Requirement 552 - POCL Applications - APS: Transaction Collection / Delivery.
1.86. Requirement $53 - POCL Applications - APS: Client Data Collection and Distribution
187. Requirement 554 - POCL Applications - APS: Fallback and Recovery.
1.88. Requirement 555 - POCL Service Infrastructure - OPS: Capabilities on Initial
Impiementatior
1.89. Requirement 557 - POCL Service Infrastructure - OPS: Flexibility ..
1.90. Requirement 55§ - POCL Service Infrastructure - OPS: Equipment Capacity
191. Requirement 559 - POCL Service Infrastructure - OPS: Extent...
1.92. Requirement 560 - POCL. Service Infrastructure - OPS: Technology Refres!
1.93. Requirement 561 - POCL Service Infrastructure - OPS: Licence Indemnitie:
1.94. Requirement 691 - POCL Applications - EPOSS: Inventory Management
1.95, Requirement 692 - POCL Applications - EPOSS: Methads of Payment.
1.96. Requirement 693 - POCL Applications - EPOSS: Receipting
1.97. Requirement 694 - POCL Applications - EPOSS: Data Capture:
1.98. Requirement 695 - POCL Applications - EPOSS: Stock Unit Contro!
1.99. Requirement 696 - POCL Applications - EPOSS: Reporting
1.100. Requirement 697 - General - Audit: Access .
101. Requirement 698 - General - Security: Policy
102. Requirement 699 - General - Audit: Trail...
103. Requirement 799 - POCL Applications - APS: Token Issue.....
104, Requirement 800 - POCL Applications - EPOSS: Serve Customers (A)
105. Requirement 801 - POCL Applications - EPOSS: Product Styles
106.
Requirement $02 - POCL Applications - EPOSS: Value Stock Managemen’
107.
Requirement 803 - POCL Applications - EPOSS: Data Resilience.......... .
108.
Requirement 804 - POCL Applications - EPOSS: Transaction Log / Inspection
109.
Requirement 805 - POCL Applications - EPOSS: Audit / Event Loy and Inspection
110.
Requirement 806 - POCL Applications - EPOSS: Set Date and Time......
ALL.
Requirement 807 - POCL Applications - EPOSS: Transfers between Stock Units .
Requirement 808 - POCL Applications - EPOSS: Outlet Balance...
113.
Requirement 809 - POCL Applications - EPOSS: Customer Session.
Requirement 810 - POCL Applications - EPOSS: Transaction Rules.....
Requirement 811 - POCL Applications - EPOSS: Data Transmission
Requirement 812 - POCL Applications - EPOSS: Transaction Reversal...
Requirement 813 - POCL Applications - EPOSS: Revaluation of Value Stock
Requirement $14 - POCL Applications - EPOSS: Enter Cash on Hand ....
Requirement 815 - POCL Applications - EPOSS: Process Dormant Stock Unit:
Requirement $16 - POCL Applications - EPOSS: Audit...
Requirement $17 - POCL Applications - EPOSS: Discounting
Requirement 818 - POCL Applications - EPOSS: Reference Data
]
l
i
1
1
1
1
l
1
1
1
L112.
1
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1
1
i
i
1
I
1
1
1
Requirement 819 - POCL Applications - EPOSS: The Outlet Trial/Final Cash Account...
Requirement 820 - POCL Applications - EPOSS: Fallback and Recovery
Requirement 821 - POCL Applications - EPOSS: Business Rules .........
Requirement $22 - POCL Applications - EPOSS: Interface with Inventory Manageme:
Requirement 823 - POCL Applications - EPOSS: Data Management
Requirement 824 - POCL Applications - EPOSS: Weighing Scales
Requirement $25 - POCL Applications - EPOSS: Serve Customer (B
Requirement 826 - POCL Service Infrastructure - OPS: Future Flexibility for Sharing of
Speciatist Peripherals .....
113th, Requirement 827 - POCL S:
Data 47
1.332. Requirement 828 - General - Security: Data Security.......... AB
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Requirement 829 - General - Security: Prosecution support ............
Requirement $30 - General - Security: Contingency Plans
Requirement 831 - End to End Service - POCL Interfacs
Requirement §32 - POCL Applications - EP’ Business Processes
Requirement 833 - POCL Applications - EPOSS: Training Mode...
Requirement $34 - POCL Applications - EPOSS: Transitional / Contingency Arrangements51
Requirement 35 - POCL Applications - EPOSS: EPOSS Related..
Requirement §36 - POCL Applications - EPOSS: Service Developmen:
Requirement 837 - POCL Applications - EPOSS: Reporting...
Requirement 838 - POCL Applications - EPOSS: General ....
Requirement 839 - POCL Applications - EPOSS: Retail Functionali
144. — Requirement 869 - POCL Service Infrastructure - Service Levels: Transaction Management
System (TMS: «54
1.145. Requirement 870 - PO! ‘Transaction Times 55
1.146. Requirement 871 - POCL Applications - EPOSS: General Service Level 56
1.147. Requirement 880 - POCL Applications: Specification of Transaction Data from Outlet to
Tr 56
1.148. Requirement 890 - POCL Applications - APS: Reconciliation
1.149. Requirement 891 - End to End Service - Reconciliation Requirement:
1.150. Requirement 894 - General - Management Information Requirement
LUSL. Requirement $95 - General - Security: bregular Encashment Patterns... —
1.152 Requirement 896 - POCL Implementation- Documentation: Access to Documentation by
Electronic Means...
1.153. — Requirement $98 - Order Book Control Service (OBCS) - Gen
1.154. Requirement 899 - OBCS - Stop List Maintenane:
L155. Requirement 900 - OBCS - Order Book Process
1.156. Requirement 901 - OBCS - Order Book Processin:
1.157. Requirement 902 - OBCS - Transaction Times.
1
1
1 Requirement:
ar-Coded Order Books.
‘on-Bar-Coded Books
2158. Requirement 903 - OBCS - General Service Levels...
159. Requirement 905 - POCL Implementation - User Support for Transaction Accuracy
1.160. Requirement 906 - POCL Implementation - Roll Out: . oe
1.161. Requirement 911 - End to End Service - Integrity Aéros SS s Changes...
1.162. Requirement 912 - POCL Service Infrastructure - SMS: Portable Appliance Testing........
1.163. Requirement 913 - Implementation - Service Level Agreement: POCL User Documentation65
1,164. Requirement 914 - Implemeniation - Service Level Agreement: Operational Systems Help
Desk 69
1.165 Requirement 915 - Implementation - Service Level Agreement: Training Services 74
1.166. Requirement 918 - General - Communications...
1.167 Requirement 921 - POCL Service Infrastructure - Security: OPS Secure Time-out
1.168. Requirement 922 - POCL Service Infrastructure - OPS: Noise Emissions ........
1.169. Requirement 925 - Joint Implementation - Operational Tri eceptance Testing
Requirements .
1.170. Requirement 926 - Roli Out: Generic Requirement
L171. — Requirement 938 - Data Protection ............
1.172. Requirement 941 - Implementation - Roll Out: Post Office Roll Ou
1.173. Requirement 945 - Implementation - Service Level Agreements:
Service Infrastructure oe ectsenersesaenese
1.174. Requirement 949 - POCL Implementation - Training
1.175. Requirement 951 - General - Service Architecture Design Document.
1.176. Requirement 952 - POCL Service Infrastructure - OPS: APS and NBS Key Management 79
1177. — Requirement 953 - POCL Service Infrastructure - OPS: Concurrency.
1.178. Requirement 956 - OBCS - OPS Interface: ESNCS io OBCS...
1.179. Requirement 960 - POCL Applications - EPOSS: Zero-Value Transaction:
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1.180.
Requirement 971 - POCL Implementation - Famborough Requirement......... 83
1.18]
Requirement 972 - Implementation - Rol] Our: Strategy . . 83
1.182.
Requirement 973 - End to End Service - Internal I Interface Specification
1.
11,
1.1.3.
REQUIREMENTS
Requirement 463 - POCL Service Infrastructure - OPS: Additional
Requirements for OPS Equipment
The Contractor shall supply samples of all elements of the POCL Service
Infrastructure , excluding NBS related elements and PIN Pads, used to provide OPS
for purposes other than (i) Rol] Out and (ii) live use in POCL Premises as part of the
Operational Services. Examples of these purposes include:
a@) testing by POCL;
b) training;
¢) demonstrations and marketing.
The Contractor shall provide specimens of all elements and proposed elements of the
POCL Service Infrastructure excluding NBS related elements and PIN Pads 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
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 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.
Unless testing demonstrates a breach of the relevant standards in Schedule A02, the
number of specimens for destructive testing purposes shal] not exceed one example
of each component of Hardware within the elements of the POCL Service
Infrastructure that are proposed for the OPS.
The quantity of samples for training purposes depends on the training methodology
employed.
PIN Pads are not part of Operational Trial.
[Pathway DN: Above provision deleted, because it is not relevant with PIN Pads
being delivered to ROMEC. Schedule G12 provides for a supply of PIN Pads for
spares and OBC to be delivered by POCL to Pathway, not vice versa]
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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 to 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 Horizon OPS 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 al] the consumables used by the
OPS. The Contractor shall provide estimates of the likely consumption of each
consumable and, as part of an impact assessment, the impact on consumption of any
changes, including new Services.
1.4.2. The Contractor shall be capable of supplying all consumables, but POCL shall have
the option to source consumables from another supplier.
1.5. Requirement 467 - POCL Service Infrastructure - OPS: Links from OPS to
TMS
1.5.1. Each instance of OPS within Outlets shall interface with TMS to allow the transfer,
in both directions, of authorised data files and messages.
1.5.2. 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 from OPS have been
received by TMS or not.
1.6. Requirement 468 - POCL Service Infrastructure - OPS: engineering visits
1.6.1. Maintenance and repair of the elements of the POCL Service 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 Outlet to serve Customers,
even where Outlets have a single Counter Position and/or extremely limited physical
space.
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1.7.
Requirement 469 - POCL Service Infrastructure = OPS: Technical
Documentation
1.7.1. 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.
1.7.2. All changes to such documentation shall be subject to the Change Control Procedure.
1.8. 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 procure applications which utilise
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-shal] be possible to broadcast messages to all or a subset of
Outlets by use of the Message Broadcast Service set out in Schedule G01.
1.9.2. 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 :
1.10.1. Data capture within OPS shall be accurate and robust.
1.10.2. The integrity and security of data held within the OPS shall be protected at all times.
Full logs of Events within OPS shall be maintained and an audit trail of interactions
with, and actions within, OPS shall be maintained.
1.10.3. The integrity and security of data held within OPS shall not be compromised by any
Incident nor when OPS is re-established following any Incident.
1.11. Requirement 473 - POCL Service Infrastructure - OPS: User Access
1.11.1, Any remote access to OPS shali be restricted to Users specifically authorised by
POCL and shall only take place via TMS.
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1.11.2.
1.13.
1.114.
LALS.
1.13.
1.13.1.
1.13.2.
1.14.
1141
Access to OPS and POCL Services offered via OPS to staff working in the Outlets
shall be controlled by a mechanism, conforming to the Horizon OPS Style Guide,
offering multiple access levels and providing specific identification of each User.
It shall be possible to restrict the functionality available at an Outlet, to permit (inter
alia) some POCL Services not to be offered at alt Outlets.
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.
There shall be a secure and reliable mechanism for Users to suspend and resume
access to OPS and POCL Services offered via OPS. This shall not be unduly onerous
or time consuming for Users.
Requirement 474 - POCL Service Infrastructure - OPS: Health, Safety, and
Legal Obligations
The Contractor shall comply with all health, safety and legal obligations specified in
Schedule AQ2
Requirement 475 - POCL Service Infrastructure - OPS: Horizon OPS Style
Guide
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.
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 facilities.
The Human Computer Interface shal) 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.
Requirement 476 - POCL Service Infrastructure - OPS: Release control
The following requirements shall be met in connection with the distribution and
subsequent activation of each Release.
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1.14.2.
1.14.4.
1.14.5.
1.14.7.
1.16.
1.16.1.
1.16.2.
The following shall be approved by POCL before any Release, this approval not
being unreasonably withheld:-
a) the contents of any Release;
) the upgrade path for any Release;
c) the timing of the distribution of any Release;
d) the timing of the activation of any Release.
The Contractor shall provide proof of sufficient and satisfactory pre-testing of each
Release, including the following aspects:
a) al individual component (unit test) level;
b) of all components of the Release, both changed and unchanged, working together
(system test);
c) of all components in combination with different hardware and software I
combinations which may be encountered when the Release is in live, non-training,
use hereunder.
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.
The implementation of any Release shall not cause any significant disruption to
Users, shall not disrupt the normal working environment of Users and shall not
require significant involvement from Users.
The ithplementation of any Release shall not cause any corruption to data held by or
on behalf of POCL.
. The Contractor shall maintain a detailed record of all Releases and where they are
deployed.
Requirement 477 - POCL Service Infrastructure - OPS: Asset register
The Contractor shall 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 of the POCL Service
Infrastructure installed at any location.
Requirement 478 - POCL Service Infrastructure - OPS: Basic TMS Facilities
TMS shall link into each instance of OPS that is to be used for live work.
TMS shall provide links into other computer systems as required to support POCL.
These systems inciude:-
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a) Client systems operated on behalf of Clients; and
b) other POCL systems, including without limitation TIP and NBE.
1.16.3. TMS shall provide Data File collection and Data File delivery Services.
a) It shall be possible to collect Data Files from or deliver Data Files to any computer
system attached to TMS.
b) The collection or delivery of Data Files shall be triggerable by any of:
. User action;
. time;
. in response to a message from an attached computer system or generated within
TMS.
c) The collection or delivery of Data Files shall be retried automatically, under
parameter control, in the event of any failure.
G) 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 which shall be passed from one 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, except for NBS related elements where the originating system is the NBE
subject to the provisions of the CCD entitled “NBE-Horizon AIS”,
c) TMS shall include the following processing capabilities:
. 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 Data Files;
. generating control totals through access to the contents of Data Files;
. reconciliation of control totals;
. produce reports summarising financial transactions.
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1.16.5. The Contractor shal] maintain a full audit trail of all TMS activity.
1.16.6. The Contractor shall ensure that any transfer of Data 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 shall 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. The POCL Infrastructure Services shall report any attempt to establish a link which is
rejected. The Contractor shall provide these reports to POCL on request.
1.18. Requirement 480 - POCL Service Infrastructure - OPS: Logical Discreteness 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 a comprehensive set of PPDs for completing
Transactions undertaken in Outlets. For Existing Services, the related PPDs shall be
provided before training for such services commences. For NBS, the related PPDs
shall be provided by the date specified in the NB Project Plan..The PPDs shall also
include the definitive procedural 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.
1.20. I 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.
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1.21.
Requirement 484 - POCL Jmplementation - 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. The PPDs shall be updatable and updated, in line with any Service Levels agreed
between the parties from time to time, (or ifnot agreed, then within a reasonable
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
1.24.1. The Contractor shall carry out the survey of Outlets to ascertain what modifications
are needed to install the POCL Service Infrastructure in respect of Roll Out.
1.25. Requirement 488 - POCL Implementation - Installation: Installation and
Acceptance of the Office Platform
1.25.1. In respect of Roll Out, the installation and acceptance of the elements of the POCL
Service Infrastructure used to 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. In respect of Roll Out, the Contractor shall, on completion of implementation at an
Outlet 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.
1.26.2. Such existing automated equipment shall be limited to the PC configurations that
support ECCO and / or ESNS at 15th May, 1996.
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1.27.
1.27.1.
131.
1.31.1,
Requirement 490 - POCL Implementation - Installation: Installation within
Normal Business Hours
In respect of Roll Out, installation at an Outlet shal] be carried out at times in
accordance with the CCD entitled “Installation Strategy”.
Requirement 491 - POCL Implementation - Installation: Completion of Internal
Modifications
In respect of Roll Out, the Contractor shall carry out internal office modification
work at all POCL Premises in accordance with Clause 406 of the Codified
Agreement. .
Requirement 492 - POCL Implementation - Installation: Modifications -
Compliance with Legislation
The Contractor shal! ensure that all staff and sub-contractors carrying out
modification work shall conform to all legislative requirements.
Requirement 493 - POCL Implementation - Installation: Removal / Fitting of
Equipment at Relocated / Refurbished Outlet
Subject to limitations defined in Annex 5 to Schedule A12, the Contractor shall, as
an Optional POCL Service,:
a) be responsible for the removal / 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 Equipment;
and
b) ifrequested by POCL, equip new sites / relocated sites in line with POCL's
evolving network strategy from time to time.
Requirement 494 - POCL Implementation - Installation: Response to Network
Change Requests
The Contractor shail respond within a timescale (which shall be agreed between
POCL and the Contractor before commencement of Roll Out of the POCL Services),
to network change requests supplied by POCL, in accordance with Service Levels
This requirement covers provision and installation of equipment in new and relocated
POCL Premises as well as the movement / reconfiguration of equipment within
existing POCL Premises.
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1.32,
1.32.1.
1.33.
1.33.1.
1.36.
1.36.1.
1.37,
1.37.1.
Requirement 495 - POCL Implementation - Installation: Provision of
Equipment at Counter Positions
Subject to the limit in Annex 5 to Schedule A12, the Contractor shall provide the
Equipment at Counter Positions. These shall include modified parcel positions and
some non-modified positions.
Requirement 496 - POCL Implementation - Installation: Installation of
Equipment at Any Site Designated by POCL
The Contractor shall install the Equipment at any site designated by POCL which
may include training centres.
Requirement 497 - POCL Implementation - Installation: Installation by the
Contractor in Outlets
The Contractor shall install the POCL Service Infrastructure necessary for OPS in
Outlets.
Requirement 498 - POCL Implementation - Integration: Migration of Existing
Products and Systems
For Roll Out, the Contractor shall migrate existing POCL Products and POCL
systems from current POCL 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.
- For Roll Out, 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.
Requirement 499 - POCL Implementation - Integration: Timing of Installation
Installation of the POCL Service Infrastructure shall not take place in respect of Roll
Out until the support services are available.
Requirement 500 - POCL Implementation - Roll Out: Confirmation of
Permissions for Modifications
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.
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1.38.
1.38.1.
1.39.
1.39.1.
1.40.
1.40.1.
141,
1401.
1.42.
1.42.1.
Requirement 501 - POCL Implementation - Roll Out: Planning and Agreement
of Site Visits
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 in respect of Roll Out. The relevant Horizon Implementation Manager
shall be the final arbiter in case of disagreements between the Contractor and the
Outlet Manager.
Requirement 502 - POCL Implementation - Roll Out: Survey Activities to Avoid
Disruption to Service
The Contractor shal] carry out all survey activities with minimum degradation of post
office and retail operations - including any existing computer, telecommunications
and other systems at the Outlet.
Requirement 503 - POCL Implementation - Roll Out: Modifications to Avoid
Disruption to Services
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.
Requirement 504 - POCL Implementation - Roll Out: Use of Existing
Equipment
The Contractor shall utilise existing POCL equipment as specified in Schedule A09.
Requirement 507 - POCL Implementation - Roll Out: Installation to Avoid
Pressure Periods
For Roll Out, unless otherwise agreed with the Horizon Implementation Manager and
/ or 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).
Requirement 508 - POCL Implementation - Roll Out: Suspension
POCL may suspend the Roll Out programme if the Contractor fails to meet any of the
Service Levels.
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1.44,
Requirement 509 - POCL Implementation - Roll Out: Siting of Equipment in
_ Outlets
1.44.1,
1.45.
1.45.1.
1.46.
1.46.1.
1.47,
1.47.1.
1.48.
1.48.1.
The siting of the elements of the POCL Service Infrastructure other than PIN Pads in
each Outlet shall be in accordance with the processes set out in the Horizon Counter
Infrastructure Rollout - Survey Requirement Specification document.
PIN Pads shall be installed after Roll Out as a separate service, in accordance with
Schedule G12.
Siting of PIN pads will be decided by POCL
Requirement 510 - POCL Implementation - Roll Out: Common Planning Base
for All Types of Outlet
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 franchised post offices).
Requirement 511 - POCL Implementation - Roll Out: Installation to avoid
disruption to services
The Contractor shall carry out all installation activities with minimum degradation of
post office and retail operations - including any existing computer,
telecommunications and other systems at the Outlet.
Requirement 512 - POCL Implementation - Roll Out: Overriding Constraints to
Speed of Roll Out
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;
}) maintain the quality of service delivery to Clients and Customers;
c) appropriate support systems - including training - being in place;
G) avoidance 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,
Requirement 513 - POCL Implementation - Roll Out: POCL’s Agreement to
Equipment Upgrades
The Contractor shall only upgrade the Equipment at Outlets with the prior approval
of POCL. This approval shall not be unreasonably withheld.
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1.49.
1.49.1
Requirement 514 - POCL Implementation - Roll Out: Mechanism for
Determining that Outlets are Ready to Go Live
For Roll Out, 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 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 as possible.
Requirement 516 - POCL Implementation - Roll Out: POCL Rights to Amend
Roll Out Programme .
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. :
Requirement 517 - POCL Implementation - Roll Out: Outlet Modifications to
be Completed in One Visit
For Roll Out, 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, arrangements to complete such work over more than one day will be
subject to mutual agreement between the Contractor, the Horizon Implementation
Managers and / or Outlet Managers, but such agreement shall not be unreasonably
withheld.
Requirement 518 - POCL Implementation - Roll Out: Outlet Survey to be
Completed in One Visit
In respect of Roll Out cach Outlet survey shall be completed in one visit to the
Outlet.
Requirement 519 - POCL Implementation - Operational Services: Installation
at Previously Unequipped Counter Positions
Subject to the limits in Annex 5 to Schedule A12, the Contractor shall provide and
instal] the POCL Service Infrastructure used for OPS at Counter Positions not
previously so automated as directed by POCL. This shall include PIN Pads once the
national deployment of PIN Pads has commenced in accordance with Schedule G12.
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1.54, Requirement 520 - POCL Implementation - Supporting Services: Availability
from Day One
1.54.1. In respect of Roll Out the Contractor shal] 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.
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 shai) provide appropriate levels of support services:
a) to 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.
1.88. Requirement 524 - POCL Implementation - Supporting Services: Help Desk
1.58.1.
Hardware Support
The Help Desk Service shall deal, without limitation, with calls relating to the
Hardware. This shall include, but is not exclusive to:
a) fault diagnosis;
by) maintenance call out;
¢) caretaking advice;
d) configuration management.
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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 and training materials for Existing Services,
operational support documentation, and consumables) by the commencement of Roll
Out and shail provide such access thereafter when requested to do so by POCL.
1.60. I Requirement 526 - POCL Implementation - Supporting Services: Help Desk
Resolution of Reported Incidents
1.60.1. Al reported Incidents shall be resolved in line with Service Levels.
1.61. I 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 that 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.
1.64. Requirement 530 - POCL Implementation - EPOSS Functionality Availability
of Services
1.64.1, Deleted
1.65. Requirement 531 - POCL Implementation - Training: Acceptable Standards in
Key Competencies
1.65.1. For Roll Out and for the Existing Services, training shall be provided to 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.
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1.66.
1.66.1.
1.67.1.
1,68,
1.68.1.
1.69.
1.69.1.
1.69.2.
1.70.
1.70.1.
Competence shall be measured by a method agreed between POCL and the
Contractor by a date consistent with the Project Plan.
Requirement 532 - POCL Implementation - Training: new Products and
Product Changes
For Roll Out and the Existing Services, the Contractor shall train all appropriate staff
in the handling of new Products 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.
Requirement 533 - POCL Implementation - Training: Non Interference with
Data Transfer or Integrity
If the POCL Service infrastructure has a facility to operate in dummy training mode,
it shall not interfere with the transfer or integrity of POCL Data,
Requirement 534 - POCL Implementation - Training: Suitability for Different
User Groups
For Roll Out and the Existing services, the Contractor's training solution shall take
account of Users' experiences in term of automated products and platforms (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 ete.
Requirement 536 - POCL Service Infrastructure - OPS: Equipment General
Requirements
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.
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 remova!/swapping of Tokens etc. as appropriate.
Requirement 537 - POCL Service Infrastructure - SMS: System Management
The Contractor shall carry out system management of all the POCL Services in a
consistent and coherent manner to ensure the following:
a) activitics within the POCL Services, including TMS, OPS, OBCS, APS,EPOSS.
and NBS are co-ordinated such that, for example, changes and faults can be
tracked across Service boundaries;
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b) changes to the POCL Services can be made speedily and accurately,
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 shal! cater for the handling of
clock changes (e.g. at the beginning and end of British Summer Time).
For the avoidance of doubt, the POCL Services and the NBE may not have the date
and time synchronised.
1.71.2. SMS shall permit Transactions to be processed using local time and/or GMT, and all
the relevant elements of 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. SMS shall maintain Reference Data necessary to the operation of 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 implement 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:
a) use of CFCs;
b) energy consumption;
c) recyclability of components;
Q) recyclability of consumables;
e) waste minimisation; .
£) use of sustainable resources;
g) disposal of displaced equipment and waste;
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1.73.2.
1.75.
1.75.1.
1.76,
1.76.1.
1.77,
V.77.1.
h) making appropriate use of recycled materials.
The Contractor shal] adhere to relevant environmental legislation such as the
Environmental Protection Act 1990 and publication ‘Waste Management: The Duty
of Care - A Code of Practice’.
Requirement 541 - POCL Service Infrastructure - TMS: Scaleability
. TMS shall be scaleable to meet POCL’s business needs from time to time.
. 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.
Requirement 542 - POCL Service Infrastructure - OPS: Continued Support of
Operating Systems, Middleware and Applications Software
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.
Requirement 543 - POCL Applications - APS: Tokens
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;
£) British Gas Quantum Smart Token;
g) bar coded documents
h) British Gas Trading SPM Smart Token.
Requirement 544 - POCL Applications - APS: Clients/Client Service Types
The Contractor shall provide the APS to POCL in respect of all its APS Clients listed
in Appendix A of the document Automated Payments System Client List,
PCL/PRD/APS/001.
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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 or 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 technical assistance to support POCL’s relationship
with Clients and potential! Clients.
1.77.5. The Contractor shall develop and maintain the APS in a generic way that enables
additional APS Client Service Types to be added with minimum cost and disruption.
1.78. I Requirement 545 - POCL Applications - APS: Documentation
1.78.1. The technical and overview documentation describing the APS is set out in the
following documents which are entered on the list of Contract Controlled
Documents:
a) Automated Payments Service Overview, reference AP/SER/001
b) AP Client Take on Process, reference AP/PRD/OO1.
1.78.2. The Contractor shall develop and maintain an AP Client Specification which
specifics 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.
1.78.3. AP Client Specification contents shall include:
1. Client identity and overview
This section identifies the Client for whom a specific 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
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.
3. Transaction data
. Contents;
. Validation;
. Sort/Substitution/Customisation;
. Batching;
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1.78.4.
1.79,
1.79.1.
1.79.2.
1.79.3.
1.80.1.
1.80.2.
1.80.3.
1.80.4
. Transfer.
4. Other data
. Contents;
. Validation;
+ Availability.
5. Client service levels
All AP Client Specification documents will be the subject of the Change Control
Procedure and will be entered on the list of Contract Controlled Documents when
approved.
Requirement 546 - POCL Applications - APS: General Constraints
The Contractor shall deliver the APS using the POCL Service Infrastructure.
The Contractor shall make the APS available at all Counter Positions, subject to the
limits contained in Annex 5 of Schedule A12, and at such other places where the
POCL Service Infrastructure exists.
The Contractor shall ensure that the availability of each APS Client Service Type at
each Outlet is individually controtlable on authority from POCL.
Requirement 547 - POCL Applications - APS: Data Capture and Validation
The Contractor shall ensure that data are captured correctly, robustly, accurately,
securely and as defined in the AP Client Specifications. Each AP Client Specification
added from time to time will be introduced as a Contract Controlled Document
through the Change Control Procedure.
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 Automated Payments Generic Rules;
b) Token Technology Specifications;
c) the AP Client Specification.
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 Specification or Token
Technology Specification. .
The APS shail display User instructions specific to a Client Service Type as
identified in the relevant AP Client Specification
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1.81. I Requirement 548 - POCL Applications - APS: Transaction Committal
1.81.1. The APS shall commit the Transaction when:
a) monies have been accepted; or
b) a Transaction has been reversed; or
c) a Token has been issued; or
dG) a 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 committed Transactions if cligible for Reversal
as defined in:
a) POCL Automated Payments Generic Rules;
b) Token Technology Specifications;
¢) 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
Automated Payments Generic Rules.
1.84. I 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 Transaction receipt produced for an APS Reversal Transaction shall identify it as
a Reversal and identify the original (reversed) Transaction.
1.84.4. In the event of printer failure the APS shall provide information to enable a manually
completed receipt to be produced.
1.84.5. The APS shail enable individual Outlets to produce bilingual 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 maintain and deliver committed Transactions to POCL and Clients in
accordance with the following:
a) POCL Automated Payments 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 Automated Payments
Generic Rules.
1.86.2. 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 Automated Payments
Generic Rules.
1.87. Requirement 554 - POCL Applications - APS: Fallback and Recovery
1.87.1. The Contractor shall provide faliback 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.
4.87.4. 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.
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1.87.6.
1.87.7.
1.87.8.
1.87.9.
1.88.
1.88.1.
1.88.2.
The APS shall provide facilities to enable data Recovery to be achieved swiftly and
in an auditable way.
The APS shall enable data Recovery to be achieved with minimal impact to
Customer service.
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).
The APS shall facilitate the over-riding of certain validation rules for recovery
Transactions, as specified in the POCL Automated Payments Generic Rules.
Requirement 555 - POCL Service Infrastructure - OPS: Capabilities on Initial
Implementation
In each Outlet, at each automated Counter Positions, from Roll Out at such Outlet,
OPS shall:
@) 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;
d) support 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.
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, G4632 and G4633;
b) support printing on cheques and other forms at the counter;
c) support printing of existing Client reports at the counter. This shall include
printing in large fonts and printing with 90 degree rotation;
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a) support the connection of electronic weighing scales (which shall not be supplied
under the Codified Agreement) to the POCL Service Infrastructure. As a
minimum, connections shal] include Avery Berke] type D104 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;
£) support the printing of cash accounts and plain paper summaries;
g) support the printing of 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;
h) 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 8, EAN 13 and code 39 shall be
printable;
i) support the printing of one dimensional bar-codes at the back office, if such
support is provided for in the Solution to this Requirement. As a minimum, code
128, EAN 8, EAN 13 and code 39 shall be printable.
1.88.3. In each Outlet, from Roll Out at such Outlet and deployment of PIN Pads at such
Outlet, OPS shall:
a support the connection of PIN Pads
b support from those PIN Pads the reading from and writing to Smart Tokens which
comply with:
« ISO 7816 parts 1, 2 and 3;
.
and be capable of supporting future applications complying with:
¢ ISO 7816 part 4.
The functionality described in “‘b” above is not used by the Existing Services on the
NBS and is intended for use in future services which may be agreed under the Change
Control Procedure
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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1.89.2. POCL shall have the option to add up to three types of additional peripheral equipment
one of which shall be PIN Pads.
1.89.3. POCL shall have the option to require OPS to support the reading of OCR to
interpret code lines on bills ete. If such option is exercised, the Charges for such
Service shall be as set out in the Solution to this Requirement.
1.89.4. POCL shall have the option to require OPS to support the reading 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. Requirement 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
. Outlets for current volumes of business and volumes of business as projected by
POCL.
1.91. I 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, OBCS 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 be used within the
POCL Service Infrastructure, without approval by POCL.
1.92.3. The specification of the equipment being used and installed within the POCL Service
Infrastructure shall be reviewed by the parties at times reasonably agreed by them, to
ensure that the most appropriate technology is deployed.
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1.93.
1.93.1.
1.94,
1.94.1.
1.94.2.
1.94.3.
1.95.
1.95.1.
1.95.2.
1.95.3.
1.95.4.
Requirement 561 - POCL Service Infrastructure - OPS: Licence Indemnities
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.
Requirement 691 - POCL Applications - EPOSS: Inventory Management
EPOSS shall support cash management by denomination and Stock management by
Stock Item.
EPOSS shall support the recording of Transfers of cash and Stock into and out of the
Outlet.
EPOSS shall provide a facility to allow the authorised update of cash and Stock held
in an Outlet via the OPS
Requirement 692 - POCL Applications - EPOSS: Methods of Payment
EPOSS shall accept single or multiple Methods of Payment as settlement.
EPOSS shall allow the implementation of new types of Methods of Payment,
including without limitation debit cards and EFTPOS.
The Contractor shall indicate their proposals to implement an EFTPOS Service.
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 of such a facility;
b) indicative volumes for EFTPOS at 15th May 1996 were:
: between 30 and 50 million EFTPOS payments per annum;
. 70% above the floor limit (£15 working assumption) and so needing
authorisation;
a) the main Transactions for which EFTPOS will be used are expected to be:
. motor vehicle licence renewals (34%), bill payments (38%, about half BT and
half others);
. television licence payments (11%) and payment for purchases from PostShops
(5%), all estimates;
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. 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;
b) business arrangements have not yet been finalised but the current assumptions are
for:
. a single Merchant Acquirer;
. on-line authorisation and batch Transaction submission to be via TMS;
. reconciliation of EFTPOS payments on the EPOSS Transaction log with an
electronic data stream version of the daily bank account updates;
. signed receipts may be stored in the Outlets, remitted to Distribution Centres or
dispatched to a central facility (which the Contractor may wish to offer);
. POCL expects to need to retrieve receipts in order to prove Transactions at
0.2% or between 60,000 and 100,000 per annum at above volumes.
1.95.5. 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 sball 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 anon VAT receipt for Customers to
support a specific POCL Service e.g. APS.
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 required 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 / "Till" 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 shail allow the manual input by the User of weight values where scales are
not linked.
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1.97.4.
1.97.5.
1.98.
1.98.1.
1.98.2. -
1.98.3.
1.98.4.
1.98.5.
1.98.6,
1.98.7.
1.98.8.
1.98.9.
1.98.10.
1.98.11.
EPOSS shall be event driven so that both data capture and the recording of POCL
Services are dynamic (e.g. the swiping of a magnetic stripe card initiates the
Transaction).
EPOSS shail have the facility to read data from any input device supplied as part of
the POCL Service Infrastructure used in providing OPS.
Requirement 695 - POCL Applications - EPOSS: Stock Unit Control
EPOSS shall provide the facility to adjust cash and Stock levels within a Stock Unit
to reflect the actual levels on hand.
EPOSS shall provide each Outlet with the flexibility to set up Stock Unit(s)
according to the local working practice requirement.
Within EPOSS there shall be a Stock Unit management facility at Outlet level to
change Stock Unit options and assignments.
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.
EPOSS shall allow a User or group of Users to be accountable for a Stock Unit, so
that each Outlet has at least one Stock Unit, but there can be other Stock Units,
effectively operating independently.
Each Stock Unit can in tum be tied to both a User or group of Users or a single Till
or group of Tills.
EPOSS shall allow each Stock Unit to be Balanced individually.. The Stock Unit may
be Balanced more than once within a POCL Outlet Accounting Period. Cash and
Stock Items shall be entered by denomination or Stock Item level. This applies
whether or not multiple Tills are linked to a single Stock Unit.
At the end of the POCL Outlet Accounting Period an Outlet Balance is struck with
the details provided by the Balanced Stock Units.
An Outlet brings to account manual voucher Transactions including Transaction
Vouchers, automated voucher Transactions including Transaction Vouchers, reports
the Suspense Account position and the Stock and cash totals within the approved
Cash Account format.
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 previous POCL Outlet Accounting
Period.
EPOSS shall provide a secure mechanism for controlling access to a Stock Unit.
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1.99,
1.99.1
1.99.2,
1.99.3.
1.99.4.
1.99.5.
1.99.6.
1.99.7.
1.99.8.
1.99.9.
1.100.
1,100.1.
1,100.2.
1,100.3.
Requirement 696 - POCL Applications - EPOSS: Reporting
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
shail be agreed by POCL and the Contractor by a date consistent with the Project
Plan.
EPOSS shall support the summarisation of daily and weekly Transaction Vouchers at
Stock Unit level.
EPOSS shail support a reporting facility to print on Client cut sheet stationery where
the Client requires it (including without limitation Girobank daily summaries).
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 discs/cheques in due course.
The format of all styles of receipts shall be agreed by POCL and the Contractor by a
date consistent with the Project Plan. A bilingual Welsh/English version is required
in designated Outlets.
EPOSS shall allow production of duplicate receipts and they shall be marked as such.
EPOSS shall support a reporting facility to print on Client cut sheet stationery to
support Girobank and the Postmaster’s Daily Record (PDR) summarisation.
EPOSS 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.
EPOSS shall allow reporting to be previewed on screen
Requirement 697 - General - Audit: Access
The Contractor 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.
The Contractor shal] permit POCL or POCL’S representatives (including those
bodies listed in paragraph 2.1 of Schedule A03) 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.
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1.100.4.
1.100.5.
1.101,
1,401.1.
1101.2.
1,101.3.
1.102.
1.102.1,
The Contractor shall implement audit recommendations in accordance with
provisions of the change control procedures.
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.
Requirement 698 - General - Security: Policy
The Contractor shall minimise and control liabilities to itself and POCL.
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;
c) security education and training;
d) reporting security incidents;
e) physical security control;
£) virus control;
g) business continuity;
h) control of Software;
i) safeguarding POCL records;
3) information classification;
k) compliance with data protection and other legislation;
1) information exchange control;
m) Contractor's sub-contractors and suppliers;
n) compliance with security policy;
©) the management of fraud and risk during service operation.
The Contractor sha!l be compliant with ISO: 17799.
Requirement 699 - General - Audit: Trail
An audit trail shall be maintained during periods of POCL Service operation
including fallback and Recovery.
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. The audit trail shall record all Data File transfer, messaging and processing, whether
as a result of manual or automated action.
2
8
oe
. The information recorded shall be sufficient to identify the action, by whom it was
undertaken, when it was undertaken, why it was undertaken, where it was undertaken
and the resulting outcome.
1,102.4. 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.
2
a
”
The audit trai! 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.
S
XS
~
Subject to Clause 801, audit trail records for Existing Services,shal] be retained for a
period consistent with Companies Act requirements, or for a period of at least
eighteen (18) months, whichever is longer.
For NBS, audit trail records shal] be retained for 7 years.
-102.8. The audit trail shall be available for inspection by POCL or their representatives as
listed in paragraph 2.1 of Schedule A03.
-102.9. The audit trail shall have a level of security such that it cannot be altered or deleted.
1.102.10. The integrity of the audit trail shall be continued during periods of partial or
complete service loss or failure.
1102.11. The audit trail shall comply with Requirement 829.
1.102.12. Technological changes to the POCL Services or the POCL Service
Infrastructure shall not render the audit trail unusable.
1.103. Requirement 799 - POCL Applications - APS: Token Issue
-103.1. The Contractor shall provide a facility that permits the issue at Outlets of
replacement APS Tokens and APS Tokens for new Customers, as directed by POCL.
1,104. Requirement 800 - POCL Applications - EPOSS: Serve Customers (A)
-104.1. EPOSS shall support the recording of al] Transactions between the Customer and the
© User.
1,104.2. EPOSS shall allow the selection of Customer Sessions to allow for:
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1.104.3.
1,104.4.
1.104.5.
a) normal Customer service; or
b) a Refund; or
c)a Reversal.
EPOSS shall uniquely identify a Customer Session and each Transaction within the
Balancing Period.
EPOSS shall allow Customer Session completion to be implemented in a way to
encourage a ‘one Customer one session’ rule.
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.
1.105. Requirement 801 - POCL Applications - EPOSS: Product Styles
1.165.1. EPOSS shali support the current range of business performed within Outlets e.g.
a) Value Stock;
1b) Method of Payment;
c) a counter shortage known as a "loss";
d) a counter overage known as a "gain";
e) a POCL Product;
£) an inpay supported by a Client voucher (receipt);
g) an outpay supported by a Client voucher (payment).
1.105.2, 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 is non zero. The User can either
accept this price or overtype to change it within the valid range.
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.
1.106. Requirement 802 - POCL Applications - EPOSS: Value Stock Management
1,106.1. EPOSS shal] 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
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1,106.2.
Associated Fee are sold for cash the Stock of the former is decreased and that of the
cash is increased.
EPOSS shall allow 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 shal] 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
1.108.1. A journal of all Transaction data shall be available to allow the User to refer back to
a previous Transaction.
1.108.2. 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 Transaction Id.
1.108.4. The Transaction log shall be easily accessible to the User for the resolution of
enquiries.
1.109. 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 Outlet Accounting Period so that, without limitation all
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
i.110.1. The date and time within EPOSS shall be accurately maintained and remain in step
with Greenwich Mean Time and/or British Summer Time as appropriate.
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111.
LALLA.
4.411.2.
Requirement 807 - 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.
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 shail adjust overall item Stock levels when the data entry
session is complete so that the "balance" of the Stock Unit is maintained.
1.111.3. Each movement is entered to the current Balancing Period for the Stock Unit.
1.112. Requirement 808 - POCL Applications - EPOSS: Outlet Balance
1.112.1. 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);
) number issued/spoilt/returncd.
1.112.3. 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.
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 shal! maintain:
a) arunning record of all Transactions performed;
b) the current balance;
c) the accounting sense (pay out/take in); ‘
Q) settlement details.
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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 Transactions not to be refundable or reversible 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.
1.114.3. EPOSS shall provide the ability to Rate Shop against a value input for a fixed price
POCL Product.
1.115. Requirement 81] - POCL Applications - EPOSS: Data Transmission
1,115.1. EPOSS shall allow TMS to pass all recorded information to authorised remote
locations (e.g. TIP).
1,115.2. 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 is automatically updated.
1.116. Requirement 812 - POCL Applications - EPOSS: Transaction Reversal
1.116.1. 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 norma] 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, NBS) or disallowed in Reference Data supplied by POCL to the Contractor
from time to time.
1.116.4. EPOSS shall permit Users to enter a 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 - EPOSS: Revaluation of Value Stock
1,117.1, EPOSS shall allow revaluation of fixed price Value Stock Stock Items and Methods
of Payment when the price changes.
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1117.2.
1.117.3.
1,117.4,
1.117,5.
(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 Stock 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
Products (and thence reported on designated Cash Account lines). Thus the
requirement for maintaining an equal and opposite effect on the Stock Unit is
maintained. ,
EPOSS shail allow efficient revaluation of multiple Value Stock Stock Items of the
same generic type e.g. postal order fees.
EPOSS shall ensure that only Value Stock Stock Items allowed in Reference Data
provided by POCL to the Contractor from time to time can be accessed.
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.
1,118.2. The dialogue to record the information screen may be common for both activities to
avoid unnecessary duplication when Balancing.
1.118.3. 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.
1,118.4. 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.
1.118.5. The EPOSS maintained Stock value for the cash Method of Payment is not altered
during the process. The User is advised of any discrepancy to warn of potential errors
and (in Balancing) the implied balancing loss or gain.
1,118.6. A zero cash holding is declared by using the function in the normal way and
confirming zero entries.
1.118.7. EPOSS shall allow the last known declaration to be carried forward for Cash Flow
reporting purposes where no activity has occurred to change the last known cash
position. This is required to cater for rest days including Outlets that shut on
Saturdays etc.
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1.118.8. In Outlets that Team Work EPOSS shall allow cash declaration across all the Tills
J
1
1
1
1
1
1
1
1
119.
AIS.
119.2.
119.3.
119.4.
«120.
120.1.
120.2.
120.3.
120.7.
21.
AL.
121.2.
that contribute to the Stock Unit position.
Requirement 815 - POCL Applications - EPOSS: Process Dormant Stock Units
EPOSS shall allow a facility to bring unused Stock Units (and their Stock Unit
information) forward into the next POCL Outlet Accounting Period.
An unused Stock Unit is one for which no activity has taken place since its most
recent final Balance.
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 to producing the Cash Account for that
POCL Outlet Accounting Period.
The co-ordination of this activity is under the control of the Outlet Manager.
Requirement 816 - POCL Applications - EPOSS: Audit
A complete sct of Outlet Records, for a rolling period of 18 months, shall be
maintained as available for retrieval and review (but not amendment).
On retrieval all Records shall be packaged in weekly batches as a complete POCL
Outlet Accounting Period cycle.
Outlets require record retrieval on demand for the previous two (2) complete POCL
Outlet Accounting Periods. Older records shall be made available at 24 hours notice.
EPOSS shallesupport the recording of all Events and data entries including fallback
and Recovery actions. .
EPOSS requires entry of User identity and password to access the Service.
. Each facility 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 to Sofiware or data.
Within an Outlet there shall be a facility to maintain and allocate a User access and
privilege level log.
Requirement 817 - POCL Applications - EPOSS: Discounting
EPOSS shall allow discounting for ali discountable POCL Products. A list of
discountable POCL Products shall be maintained in Reference Data supplied by
POCL.
EPOSS shall allow discount by an entered percentage for the last Transaction or for
all discountable POCL Product Transactions in the Customer Session.
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1.121.3.
1.122.
1,122.1.
1,122.2.
1.122.3,
1.122.4.
1,122.5.
1.122.6.
1,122.7.
1.123.
1,123.1.
EPOSS shall allow discount by an entered value for the last Transaction or for all
discountable POCL Product Transactions in the Customer Session.
Requirement 818 - POCL Applications - EPOSS: Reference Data
EPOSS shail 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.
EPOSS shail 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
shail be warned by EPOSS at the start of the next POCL Core Day that a change has
been made.
Reference Data to support local products will be controlled centrally in the same
manner as for national products.
EPOSS shall allow cach 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.
Changes to the internal reporting structure within current principles shall be possible
by Reference Data rather than by Software update.
EPOSS shall support, through POCL Reference Data, the introduction and
maintenance of a POCL Product in line with agreed Client requirements and POCL
accounting practices.
EPOSS shall be a robust Service, including features to:
a) check internal consistency, reporting errors, warning of non critical errors:and
preventing critical errors;
b) refuse deletions if there is dependent business data which would lead to
inconsistency of data within the POCL Service Infrastructure;
c) make Reference Data available at the counter terminals;
G) check Reference Data consistency and report exceptions.
Requirement 819 - POCL Applications - EPOSS: The Outlet Trial/Final Cash
Account .
EPOSS 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 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.
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1,123.2.
1,123.3.
1.123.4.
1.123.5
1,123.6.
1,124.
1,124.1.
1.424.2.
1.124.3.
1,124.4.
A Report shall be available in each Outlet that maps Reference Data of POCL
Products to the appropriate line(s) of the Cash Account table(s).
EPOSS shall provide a facility to input Cash Account details 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
EPOSS. 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.
EPOSS shall support the production of the Cash Account in printed and electronic
formats. The printed Cash Accounts shall include a 2D bar code. The electronic Cash
Accounts shall be transmitted to TIP.
EPOSS shail allow Users to produce trial Outlet Cash Accounts.
EPOSS shall provide a facility to move forward into the next POCL Outlet
Accounting Period once a final Cash Account has been produced.
Requirement 820 - POCL Applications - EPOSS: Fallback and Recovery
EPOSS shall provide a means of controlling User access to its data, processes, and
functions (see also requirement 816).
EPOSS 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.
For the avoidance of doubt, fallback procedures shall not be provided for NBS to
allow local processing where connection to the NBE has failed.
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 cormuption of secured data has occurred; and
c)a full Recovery can be effected swiftly and in an auditable manner.
EPOSS shall back up Stock Unit and Outlet data in order to support the ability to
retum 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.
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1,124.5.
1.124.6.
EPOSS shal! allow Recovery of data to a known recent position. This inclides 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
EPOSS shall ensure that the committal process 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.
1,124.8.
1.125.
1.125.1.
1,125.2.
1,125.3.
1,126.
1.126.1.
1.127,
1127.1.
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.
EPOSS shall warn the User where there is the possibility that data are corrupt.
Requirement 821 - POCL Applications - EPOSS: Business Rules
EPOSS shall be flexible enough to provide the ability to define the Transaction range
available at specific Outlets, including:
a) preventing specific Transactions from being available locally. (by Outlet);
b) declining to use specific non-mandatory Transactions locally (by Outlet);
c) modifying specific POCL Products, where allowed in Reference Data provided
from time to time to the Contractor by POCL, for specific Outlets.
EPOSS shall be flexible enough to introduce new functionality as agreed with POCL.
EPOSS shall provide facilities to:
a) prepare EPOSS Transaction data and EPOSS processed data for export to; and
b) import data from other systems outside the POCL Service Infrastructure.
Requirement 822 - POCL Applications - EPOSS: Interface with Inventory
Management
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.
Requirement 823 - POCL Applications - EPOSS: Data Management
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.
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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.
Requirement 824 - POCL Applications - EPOSS: Weighing Scales
1.128,
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 soon as it has finished with them.
1.129. Requirement 825 - POCL Applications --EPOSS: Serve Customer (B)
-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. Multiple
Transactions for the same Customer shall be logically grouped into a single Customer
Session.
1.129.4. Data shall be automatically recorded in EPOSS if captured during another POCL
Service e.g. APS, OBCS or NBS.
1,129.5. Within a Customer Session EPOSS shall maintain:
a) a running record of all Transactions performed;
b) the current balance;
c) the accounting sense (pay out/take in);
G) settlement details.
1.129.6. EPOSS shall accept single or multiple Methods of Payment as settlement.
1.129.7. EPOSS shall provide the flexibility to allow the implementation of new Methods of
Payment including EFTPOSS and debit cards.
1,129.8. EPOSS shall allow a Customer Session to be suspended and then recalled for
completion later. In between the User shall be able to continue to enter and complete
further sessions as required. A Customer Session cannot and shall not be suspended
at a Counter whilst a Banking Transaction is in progress.
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1,129.9. EPOSS shall provide a Void Transaction facility. EPOSS shall enable the use of this
facility for certain Transactions to be prohibited according to defined Client and
POCL accounting and business rules.
1,129.10. EPOSS shall allow the Refund or Reversal of a Transaction with access
maintained at User level. Note that certain Transactions shall not be refundable or
reversible to comply with Client and POCL accounting and business rules.
1.129.11, Some POCL Products are linked and shall remain so within a Transaction,
including for Refund/Reversal or voiding 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 dises. .
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 shall 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
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. This capability shall not be applicable to PIN Pads.
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 extemal 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:
@) stop lists;
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b) go lists;
c) other authorisation types;
in relation to such POCL Products.
. The POCL Services and the POCL Service Infrastructure shall support such
authorisations through access to extemal computer systems.
1.132. Requirement 828 - General - Security: Data Security
1.132.1. 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.
1,133. Requirement 829 - General - Security: Prosecution support
1,133.1. The Contractor shal] comply with all prosecution support obligations specified in
Schedule A02
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. There shall be no fallback Transactions for NBS. As
specified in the N Schedules there shall be a process for recovery of incomplete
transactions in the event of counter failure.
1,134.2. The Contractor shall ensure that the contingency plans for 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 shall 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 three distinct parts:
a) Initial testing before commencement of Rol] Out of Existing Services;
b) Initial testing of NBS prior to live operation of NBS as set out in Schedule NO9.
c) Regular testing
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1.134.7.
1134.9.
1.135,
1,135.1.
1,135.2.
The contingency plans shall include without limitation the following:
a) prevention measures;
bb) preparedness measures;
¢) contingency measures;
d) Recovery of normal service;
e) contact lists.
The contingency plans, the scheduling of regular tests and the review of such tests
shall be subject to joint periodic review by the Contractor and POCL during a
quarterly Service Management Review meeting or separately as the result of an
action agreed at one of the quarterly Service Management Review meetings.
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, H08,
K08 and NO8 shall continue to apply.
Requirement 831 - End to End Service - POCL Interfaces
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:
a) interfaces 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;
Gd) 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 data via TMS as
specified on an individual Client basis by POCL;
e) interface between POCL SAPADS and TMS:
f} Interface between POCL Service Infrastructure and NBE.
The POCL Interfaces documentation shall cover: data content in logical groupings,
physical] 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 the Contractor
within three (3) months after 15th May, 1996.
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1.135.3. The POCL Interfaces documentation shall not initially cover further potential
interfaces in respect of:
a) EFTPOS;
b) reconciliation and exception reporting;
C) operational management information;
Q) performance monitoring;
) inspection of Transaction and Event logs for audit and security purposes;
£) [not used];
g) transitional arrangements in relation to ‘cash account processing".
1,135.4. The format of each interface shall be specified in a Contract Controlled Document.
Such specifications for interfaces added from time to time shall be introduced
through the Change Contro! Procedure.
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 that:
a) the capture of data at the Outlet is complete, accurate and robust e.g. a unique
Transaction reference;
b) any transfer of data is secure, complete, accurate and robust;
c) whether 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 829); for appropriate Transactions
receipts are automatically generated for Customers and a copy retained in the
Outlet to allow recovery or problem resojution;
e) accountability for cash, Stock and any supporting documentation is maintained by
Outlet and User where appropriate;
f£) the Method of Payment is recorded at the point of sale;
g) the access control system allows segregation of responsibilities. A log of Users
and the functions to which they have access shall be available to Outlet managers;
h) a back up of all Transactions shall be taken each day;
i) User and device are uniquely identified within each Outlet;
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3) data shall undergo a balancing procedure to enable a final review and
authorisation;
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;
1) Transaction data not delivered in accordance with the above shall be clearly
identifiable;
m) all Transactions can be reconciled to an appropriate supporting voucher and where
necessary these vouchers are to be available for central validation of amounts
collected;
n) an up to date record of cash and Value Stock on hand shall be maintained and
current balances can be reported;
©) 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;
x) information to show compliance with the relevant Jegislation, including without
limitation 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. EPOSS 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 - POCL 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 Ouilets.
1.138.2. [not used}
1,138.3. To provide contingency cover during and after Rol! Out, EPOSS shall enable cach
automated Outlet to produce plain paper summaries to a format which shall be agreed
by a date consistent with the Project Plan.
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1.138.4.
1,139.2.
1.139.3.
1.140.
1.140.1.
1.140.2.
1.140.3.
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.
Requirement 835 - POCL Applications - EPOSS: EPOSS Related
Benefits encashment and other Automated Transactions shall 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;
G) Transaction times are kept to a minimum,
EPOSS shall be capable of providing summaries of any type of Transaction for
comparison with physical Records contained within the Outlet. For example EPOSS
shall be able to:
a) summarise the quantity of tax discs on hand;
b) summarise the quantity of milk Tokens on hand;
c) list and total cheques accepted by value;
As Transactions become automated the relevant summaries shall be enhanced to
include details of items issued/on hand, by individual serial number.
Requirement 836 - POCL Applications - EPOSS: Service Development
PostShops are currently equipped with an EPOS 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.
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.
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;
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1,140.4.
c) a unique code for each POCL Product across all Clients (e.g. breakdown by
denomination of Royal Mail stamps sold);
d) source (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.
The OPS shall be flexible to support further Services. The Contractor shall be willing
to integrate and operate these under the Change Contro! Procedure, provided that
" there are no valid technical reasons that preclude their inclusion.
1.141.
1.1411.
1,141.2.
Requirement 837 - POCL Applications - EPOSS: Reporting
EPOSS shall 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;
G) Reports on Transaction volumes and values;
e) Cash Account Reports;
£) reconciliation Reports for Non-value Stock Stock Jtems e.g. milk Tokens, tax
discs;
g) Reports on Transfers of cash and Value Stock;
hn) ad hoc Reports for management information purposes.
EPOSS shall be able to deliver 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.
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1,142.
1.142.1
1,142.2.
1,143.
1.143.1.
1.144,
1,144.1.
1,144.2.
1,144.3.
Requirement 838 - POCL Applications - EPOSS: General
EPOSS shall have the facility to allow input of Transaction 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
Ttems, value recorded for information only.
EPOSS shall also support the input of data for local schemes where the value is not
recorded for accounting purposes but the volume is.
Requirement 839 - POCL Applications - EPOSS: Retail Functionality
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;
d) multibuys;
e) promotions;
£) marketing;
g) reporting.
Requirement 869 - POCL Service Infrastructure - Service Levels: Transaction
Management System (TMS)
POCL is not concerned with the performance of individual elements of the POCL
Services per se. The primary concern is with the overall performance of the POCL
Services as they impact upon POCL’S own systems, Clients, staff, Agents and
Customers. Therefore, targets for the level of internal performance between POCL
Services shall not be set by POCL. However internal POCL Service performance
shall be judged by POCL as it affects overall performance of the POCL Services,
By the end of the Operational Trial Period, the Contractor shail specify the boundary
performance characteristics of TMS (which shall for these purposes include APS,
EPOSS, OPS, SMS, and OBCS),
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 no event later than 9 (nine) months after commencement
of national Rollout.
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1,144.4. For the TMS the Contractor shall specify the performance requirements and
tolerances by a date consistent with the Project Plan for:
a) hours of operation of TMS;
b)} response time required between TMS and OPS;
c) the number of outages of TMS, identifying types of outages monitored;
Q) the availability of TMS.
1.144.5. The Contractor shall report against all performance requirements 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.
1.145. 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 interaction
with peripheral devices) involved in each Transaction. In all cases the response of
EPOSS to any peripheral input shall be instantaneous.
1.145.2. Summarisation and balancing activities, including processing and printing, shall be
optimised and avoid re-processing when data are changed during accounting.
1,145.3. The Contractor shall conduct performance benchmark tests against each of the
different transaction types stated in the Schedule F08 of the Codified Agreement and
identify their performance characteristics. The performance benchmark process is
defined in document CS/PRP/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.
1.14:
a
in
. 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 monthly 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
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1,146.
1.146.1.
1.146.2.
Requirement 871 - POCL Applications - EPOSS: General Service Levels
EPOSS shall be implemented such that the version of any Reference Data being
referenced from Ouilets has been updated with the latest version of Reference Data.
The version of the Reference Data is fully updated once al! updates have been
applied.
The Service Levels for these are defined in Schedule G10.
Transaction data shall be forwarded to POCL central systems (e.g. TIP) 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 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.
The Service Levels for these are defined in schedule G10.
1,146.3. Batch transmission times shall be agreed for each POCL central system in Schedule
G10.
1.147. Requirement 880 - POCL Applications: Specification of Transaction Data from
Outlet to TIP
1.147.1. Transaction data from the Outlet to TIP (via TMS) shall be as specified by POCL.
(See Requirement 831.)
1.148. Requirement 890 - POCL Applications - APS: Reconciliation
1,148.1. The APS shall ensure and demonstrate that all committed Transactions have
successfully passed from the Outlets to POCL and/or Clients.
1,148.2. The APS shall ensure there is at least one point in the day when al! Transactions to be
sent to a Client are in step with those to be sent to POCL.
1.149. Requirement 891 - End to End Service - Reconciliation Requirements
1. GENERAL REQUIREMENTS
1,149.1. The Contractor shail ensure that all captured data are complete and accurately
reflected in the appropriate outward interfaces:
a) this applies to Transaction data of all types and modes (including normal working,
fall-back and Recovery, and to normal usage, amendment, reversal, and so forth)
and to Stock and cash levels; and
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1.149.2.
1.149.3.
1.149.4.
1,149.5,
1,149.6,
b) this applies to Reference Data changes, both local and as received from POCL as
follows:
. from ESNCS for OBCS stop lists;
. otherwise from the POCL Reference Data System except for any specific
transient arrangements;
c) this applies equally at all levels and across POCL Service components.
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;
c) where a single datastream is "switched" to more than one recipient:
. 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 to enable them to reconcile with the other
recipients of related data.
The Contractor shall ensure that data are consistent between the levels where
Transaction or Stock and cash level data are held, maintained or transferred at more
than one level.
The Contractor shall perform daily operational cut-over reconciliations for any on-
line interfaces with external systems.
The Contractor shall report reconciliation results to POCL, including any
discrepancies and any doubtful items, and report progress on resolution of
outstanding items in relation to:
a) interfaces between POCL Service components and POCL’S systems:
b) external interfaces between POCL and Clients (to enable them to maintain their
commercial relationships);
c) interfaces between POCT. Service components.
The 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 contro]s shall be agreed through a process which is defined in the documents
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Business Requirements Definition (reference PA/STD/003) and New Service
Introduction (reference PA/PRO/007).
1,149.7. 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;
b) maintaining the integrity of other reconciliation processes across configuration
changes;
1.149.8. The Contractor shall meet all reconciliation requirements in contingency situations as
well as normal working.
1.149.9. Service Levels for all reconciliation requirements are as follows:
a) full reconciliation with 100% of items demonstrably accounted for;
b) provision of the ability to reconcile by agreed processes at detailed level,
including 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;
@) the Contractor shall make all reasonable endeavours to resolve any doubtful items
and errors promptly.
2. POST OFFICE OUTLET RECONCILIATION REQUIREMENTS
1.149.10. 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.
1,149.11. Outlet accounting information shall reconcile, taking account of Stack and cash
brought forward, carried forward, Transaction data and local suspense items (as
defined in the EPOSS requirements). This shall also be sustained in fall-back and
during Recovery after any Service Failure.
1,149.12. The requirements in this section (2) shall be satisfied instantly.
3. TMS RECONCILIATION REQUIREMENTS
1.149.13. The Contractor shall provide operational control reports on operations,
including polling and any loss of communications with Outlets or with other POCL
Service components. In particular these reports shall include a daily report of Outlets
which have not been polled.
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1149.14, The Contractor shal! apply controls on file and data transfers at all technical
levels and, using relevant counts and financial totals, at business levels.
1.149.15. The Contractor shall ensure that information provided to POCL via TIP makes
explicit what Transaction data have been sent to Clients.
For the avoidance of doubt, for NBS this requirement shall be met by the reports set
out in Network Banking End to End Reconciliation Reporting (CS/SPE/011).
4. COMMERCIAL RECONCILIATION REQUIREMENTS
1.149.16. The Contractor shall provide information to enable reconciliation of POCL Services
with Charges.
1,149.17 The Contractor shall act, and be seen to be acting, on behalf of POCL in
reconciliations with other parties, and provide the necessary information for POCL to
exert appropriate management control over operations performed on their behalf. The
Contractor shall ensure in so doing that the commercial relationships between POCL
and third parties are not compromised.
1.150. Requirement 894 - General - Management Information Requirement
1.150.1. 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, shail 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 shall provide data to enable resource, network, productivity and
cash 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 shal! 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.
1,150.2. These data shall include without limitation:
a) Outlet, User and Stock Unit registration / deletion and mutual association;
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1,150.3.
b) log-on / off;
c) completion of summaries and returns / reports, roll-over to new Balances and / or
POCL Ouilet Accounting Periods;
@) polling events;
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 ete.;
g) information to enable POCL to monitor / manage Service Levels;
h) exception reports
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
1,151.1. 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 Controt 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.
1,153.3. OBCS shall be implemented using TMS and OPS.
1.153.4. The implementation of OBCS shall comply with the Horizon OPS Style Guide.
1.153.5. Help Desk support shall be available to all Users of OBCS.
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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 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 number of days following receipt of the recall. OBCS shall calculate the recal] date
in accordance with the OBCS Business Processing Rules.
1.154.3. 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 DSS shall be removed after an
appropriate period.
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 entries.
1.154.6. The maximum size of a stop list update shall normally be 100,000 entries. In the
event that an update of greater size is needed special arrangements shall be made.
1,154.7, The minimum size of a stop list update shall be 0 (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].
1,155.2. OBCS 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 against the stop list:
a) when the order book is received at the Outlet;
’) when the order book is handed over to an Authorised Person;
c) when the order book is presented for payment.
1,155.4. Whenever the bar-code on an order baok is scanned OBCS shall provide both a
visual and an audible indication of the result of the scan. There shall be a clear
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1.155.5.
a
1,155.6.
1,155.7.
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’.
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.
a) 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) 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. 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.
@) The maximum number of order books received in an Outlet on a POCL Core Day
is expected to be approximately 600.
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 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 paymenis and order book retention
are as for encashments below.
a) The maximum number of order books issued at any one Outlet ina POCL Core
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.
When an encashment is made against the order book OBCS shall 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 specification agreed
with POCL, OBCS shall instruct the Counter Clerk to impound the order book
without payment. The Transaction shail 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 instruct 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.
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1.155.8.
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 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
d) If the order book has been stopped OBCS shail 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.
e) 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 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.
Details of the interface with the DSS computer system for receiving Transaction
records noted above shall be made available by the DSS by a date consistent with the
Project Plan.
Requirement 901 - OBCS - Order Book Processing: Non-Bar-Coded Books
1.156.
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 enter 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 of 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 recciving voucher totals
records noted above shall be made available by POCL.
1.157. Requirement 902 - OBCS - Transaction Times
1.1571 [not used].
1.157.2. The following Transaction times shall be achieved using OBCS with a fully
populated stop list:
a) Jogging 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) second longer than without OBCS;
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1.158.
1158.1.
1.158.2.
1.159,
1159.1.
b) in issuing an order book to an Authorised Person, 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;
in making an encashment OBCS Transactions shall not exceed transaction times as
per Schedule HO8.
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 of updates have not been applied then the
version is deemed one day behind and so on
On any POCL Core Day:
a) 97 % 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.
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 shal] 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.
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.
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1.160. Requirement 906 - POCL Implementation - Rol] Out:
1.160.1. Outlets shall be provided with new terminals on the day of installation of the POCL
Service Infrastructure in respect of Roll Out. 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 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 occur) 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
1,163.1. 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. AVAILABILITY
2.1. Users of the POCL Service Infrastructure
1,163.2. 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.
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
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1.163.4.
1,163.5.
1,163.6.
1.163.7.
1.163.8.
1,163.9.
User documentation which contains information to Users on contingency / disaster
Recovery arrangements, such as what to do during a Service Failure, shall be
available to all Users during all hours of business.
3. CONTENT OF USER DOCUMENTATION
User documentation shall 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;
c) balancing, including Value Stock taking;
d) Stock ordering;
e) Stock acceptance, disposal, destruction, remitting etc.;
£) 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;
i) performing business Transactions at Remittance Units e.g. Girobank deposits.
4. I ACCURACY OF INFORMATION
All information in User documentation shall be accurate,
5. DESIGN OF USER DOCUMENTATION
5.1. Visual identity
All User documentation shall conform to Design Standards Volume 1: Identity
System [POCL Visual Identity Design Applications Guideline}.
5.2. Communications policy
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
All User documentation shall conform to POCL’s Environmental policy.
6. I 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
1.163.114. 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
Products/Services.
6.4. Availability
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
documentation 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 agrecing to implement such
change.
7.1.3 Final approval by POCL,
1.163.16. All updated User documentation shail be subject to final approval by POCL a
number of days before the implementation of that particular change, such number of
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days to be agreed between POCL and the Contractor at the time of agreeing to _
implement such change.
7.1.4 Availability
Updated User documentation shall be available to all Users of the
documentation immediately prior to implementation of that particular change.
1.163.17.
7.2. Emergency updates
Emergency updates to PPDs shall be made available to POCL within (24)
hours of the changes being notified to the Contractor by POCL.
1.163.18.
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
163.21. User satisfaction with User documentation shall be no less than 90%.
Topics to be covered
9.3,
Topics to be covered by the User satisfaction survey will include areas such as:
163.22.
a) overall use/effectiveness of User documentation;
b) comprehensiveness of index/indices;
c) accuracy of index/indices;
i) relevance of any cross references;
e) accuracy of any cross references;
£) layout, style and language etc.;
g) readability/size/usefulness of graphics;
h) quality and clarity of text.
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1.164,
1.164.1.
1,164.2.
1,164.3.
1.164.4,
1.164.5.
1.164.6.
1.164.7.
1.164.8.
Requirement 914 - Implementation - Service Level Agreement: Operational
Systems Help Desk
1. INTRODUCTION
This requirement documents the key Help Desk Service requirements for the POCL
Services and POCL Service Infrastructure.
2. HELP DESK SERVICE
2.1. General
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 and any other party
authorised by POCL and agreed with the Contractor,
The Help Desk shall:
a) act as a central point for information on the working state of the POCL Services;
b) keep Help Desk Customers notified of any scheduled interruptions;
c) assist in any negotiations between POCL and their customers and any other party
authorised by POCL and agreed with the Contractor where interruptions to the
POCL Services provided are scheduled;
d) keep Help Desk Customers informed of when the POCL Service will be restored.
The Contractor’s Help Desk Service shall provide first, second and third level
Services. Help Desk contact shall be over the telephone.
The Contractor shall provide the facility to transfer calls which are received and are
outside its area of responsibility. The Contractor shall also provide the facility to
receive transferred calls from POCL help desks and helplines.
2.2. First Level Service
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.
The first level member of staff who takes the call owns the problem from initial
logging through to resolution to the Help Desk Customer’s satisfaction. The
Contractor shall cater for first level members being off duty.
2.3. Second Level Service
The second level Service shall provide 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.
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1.164.9. Calls 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
1,164.10. 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 within a standard timescale.
2.5. Hours of Service
1.164.11. A full Help Desk 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.
1,164.12. The Contractor shall ensure that calls made to the Help Desk outside specified
hours are accepted by Contractor.
1.164.13. 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, to provide a first and second level Service outside normal
and extended working hours.
2.6. Problem Management
1,164.14, The Contractor shall provide a problem management system to record the
problem details such as (but not exclusively):
a) unique problem serial reference, generated automatically by the problem
management system;
b) Help Desk Customer contact, address, location and telephone number;
¢) date and time problem occurred;
d) date and time problem was reported to Help Desk;
e) Help 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) Sofiware product and release version;
j) assessed impact on Help Desk Customers business;
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k) priority for solution;
1) problem category;
m) estimated elapsed time to solve problem;
n) any change of referral point;
©) date and time of referral.
1.164.15. The Contractor shall update the problem management system with the
following information, as appropriate:
a) date and time of update;
b) Help Desk 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;
d) date and time problem was cleared;
e) date and time the solution was accepted by the Help Desk Customer;
£) actual elapsed time to solve problem.
1.164.16. The Contractor shall 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 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 monitor 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 procedures
which are defined in the document Horizon System Helpdesk PPD.
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
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1,164.21. 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. joss 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.
2.9. Training
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
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% of 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 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
1,164.28. The Contractor shall resolve at least 95% of calls assigned to second level
within thirty (30) minutes. The Contractor shall resolve 100% of calls assigned to
second level within forty-five (45) minutes.
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3. SERVICE MONITORING
1,164.29, The Contractor shall produce Service information, in 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 they relate. The following is an example of the
information required:
a) number 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;
e) number of problems / queries assigned to first level that were not cleared within
ten (10) minutes;
£) number of problems/queries with secondary complications (e.g. repeat calls);
g) number of problems/queries escalated;
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;
G) 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. The approach to be taken and the format
and content of the questionnaire shall be discussed between the Contractor and
POCL at the quarterly Service Management Review meetings. [DN Note that
CCN281 omits the first sentence. However, this would make the remaining
paragraph nonsense as “the approach” and “the questionnaire” would not be
associated with anything. Therefore, I have retained the first sentence.]
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1.164.33. 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.
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 only the effectiveness of the training Service as a whole, and
applies to Existing Services.
2. I TRAINING SERVICES
2.J. 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 shall incorporate the development design and delivery of
agreed training events and support materials. .
2.2. Specific Responsibilities
Contractor
a) Design of training events;
b) development of training materials (day to day and maintenance);
c) delivery of training:
. io delegates (as appropriate);
. to trainers;
@) communication of training activity:
. to delegates;
. to POCL;
. to POCL Regions;
€) management of training processes:
. training plans:
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1.165.4.
1.165.5.
1.165.6.
1,165.7.
. call up notices;
. site selection and preparation,
. provision of appropriate Equipment;
£) management information (training):
. provide defined reports on training completed for agreed periods;
g) 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;
c) attend regular training review meetings;
G) identify improvements to training Services as part of the Contractor’s quality
review.
3. KEY MEASURABLES
3.1. Timeliness
Training courses shal] 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 earlier than seven (7) or later than three (3) POCL.
Core Days before live usage of the POCL Service Infrastructure or the relevant
POCL Service by delegates in the case of non-ECCO+ Outlets. However for the Live
Trial, training shall not be delivered more than ten (10) POCL Core Days before live
usage of the Service Infrastructure or the relevant service by delegates. However for
the ECCO+ offices, training shall not be delivered more than ten (10) POCL Core
Days before live usage of the Service Infrastructure or the relevant service by
delegates.
3.2. Quality
Trainees’ satisfaction with the training venue shall be measured by a training
satisfaction questionnaire and shall achieve not less than 85% satisfaction.
The training shall have received a positive rating of not less than 95% as a result ofa
training measurement questionnaire.
3.3. Cycle Time
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1.165.8. Training shall take no longer than the timescale specified by the Contractor in their
Solution to Requirements 531 and 534 to enable 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
1.165.9. 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.
1.165.10. The Contractor shall cancel no more than 2% of courses.
1,165.11. 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 shal! have no factual errors at the time of release.
3.6. Competence levels
1.165.14. 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
1.165.17. Regional offices shall be provided by the Contractor with a status report on
delegates whose attainment level 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.
1,165.19. Call up notices shall provide options as to days and times of attendance for
training.
5. I MONITORING TRAINING SERVICES
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1.165.20. The Contractor shal] supply information to POCL in the agreed 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
1,165.22. Failures in Service Levels shall be managed and rectified between the
nominated SLA managers of POCL and the Contractor whenever possible.
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
provided shall be progressed through the standard Change Control Procedure.
9. TRAINING SERVICE SLA MANAGEMENT
1,165.25. {Not used]
1.165.26. The SLA shall be managed within the overall framework of Schedules A04 and
G07 of the Codified Agreement.
1.166. Requirement 918 - Gencral - 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.
1.167.2. The facility shall allow the User to resume work with the minimum delay consistent
with achieving security in accordance with the provisions hereof.
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1.167.3. It shall be clear that the facility is in use to remove any confusion between a terminal
with the facility 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 overridden by an appropriate authority
shall be expressly logged to the audit trail.
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 exceed 60dB(A) measured at a distance of one
metre,
1.169. Requirement 925 - Joint Implementation - Operational Trial: Acceptance
Testing Requirements
1.169.1. The Operational Trial in respect of Roll Out,shall be carried out in accordance with
Schedules LO1, L02, L03, L04 and L05.
1.170. Requirement 926 - Roll Out: Generic Requirement
1,170.1. All Roll Out plans shall be agreed with POCL. Any changes to functionality of the
POCL Services shal! be implemented only with the prior approval of POCL.
1.170.2. POCL reserves the right to suspend the Roll Out programme if the Contractor fails to
deliver POCL Services to the Service Levels.
1.171, Requirement 938 - Data Protection
1.171.1. The Contractor shall comply with all its Data Protection obligations specified in
Schedule A02
1.172. Requirement 941 - Implementation - Roll Out: Post Office Roll Out
3,172.1. 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.
1,172.2. Northern Ireland is a discrete area for such Roll Out purposes.
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1.173.
1.173.1.
1.174.
1174.1.
1.175.
1,175.1.
1.175.2.
1.175.3.
1.176.
1.176.1.
1,176.2.
Requirement 945 - Implementation - Service Level Agreements: Installation of
POCL Service Infrastructure
The installation of the POCL Service Infrastructure; and the implementation of
POCL Infrastructure Service in relation to Roll Out, and the Service Levels for the
POCL Infrastructure Service shall be as set out in Schedule G06 and G10.
Requirement 949 - POCL Implementation - Training
The Contractor shall be capable of delivering POCL's total training requirement if
required in due course.
Requirement 951 - General - Service Architecture Design Document
The Contractor shal! develop and maintain the Service Architecture Design
Document, a document describing the design of the POCL Service Architecture.
As a minimum the Service Architecture Design Document shall specify:
a) the major components, provided directly or sub-contracted, used in providing the
POCL Services;
b) the functionality within the major components;
c) the interfaces between the major components;
@) the Service Levels required across the interfaces to meet the objectives of the
overall POCL Services;
e) all the interfaces with the POCL Service Environment and with other parties‘
computer systems.
The audience forthe Service Architecture Design Document 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
detai] as appropriate. The level of detail within the Service Architecture Design
Document shall be such that it gives 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 Jength.
Requirement 952 - POCL Service Infrastructure - OPS: APS and NBS Key
Management
The OPS shal! support a reliable, secure means for the transfer of encrypted data that
may subsequently be used for cryptographic applications.
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,
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1.177. Requirement 953 - POCL Service Infrastructure - OPS: Concurrency
1,177.1. OPS shal! support concurremt 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
POCL) 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 and 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); .
1.178,3. 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 OBCS Business
Processing Rules. A recalled Order book shall be impounded upon presentation at a
post office.
1.178.4. 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;
1,178.5. Restate full list - ESNCS shall, on request from the Contractor to POCL (acting on
behalf of DSS), 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
1.178.6. Notification of outcome of 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;
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b) the order book is immediately impounded (due to a stop or recall request
previously accepted from ESNCS);
c) the order book bar-code is found to be unreadable and is to be sent by the post
office to a DSS office for re-issue.
1.178.7. 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 events which shall be one of:
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.
1.178.8. 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 shali be one of:
a) the order book is handed over successfully;
b) the order book is immediately impounded (due to a stop or recall request
previously accepted from ESNCS);
c) 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 foi] encashment. The outcome shal] be one of:
a) the encashment is successful and the number of foils encashed and the total value
are reported;
b) no 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 order book is impounded (due to a previous recall request
accepted from ESNCS),
) one 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 total number of non bar-coded order books presented at that post office;
b) the total number of order books impounded without any encashments due to the
bar-code being invalid.
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2. SYSTEM AND SERVICE RESPONSIBILITY
1.178.141. The Contractor shall provide all networks, hardware, software, procedures and
training required to connect and deliver Services to the nominated ESNCS platforms.
{t is entirely responsible for Roll-Out, operation and management of all such
resources subject to the approval of POCL on behalf of DSS. The Contractor shatl
provide such connection(s) at sites nominated by POCL on behalf of DSS and which
may change over time.
1.17812 ESNCS is ICL VME and UNIX based and resides in the DSS Area Computer
Centres operated for DSS by EDS. POCE, on behalf of the DSS, and the Contractor
shall agree, from time to time, the technical nature and implementation of the
connection.
1.178.13. 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.
1,178.14. The Contractor'S service responsibilities extend to:
a) transport of ESNCS created Transactions and any associated 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;
©) provision of responses to Transactions where requested along with delivery to the
ESNCS service;
c) transport of Contractor created Transactions and information from the POCL
Services to the ESNCS service and notification of their availability if required.
1,178.15. Agreed Service Levels for this interface are as set out in Schedule HO8.
1.179. Requirement 960 - POCL Applications - EPOSS: Zero-Value Transactions
1,179.1. EPOSS shall allow POCL to record various zero-value Transactions to measure work
done, for example for various Royal Mail and Parcelforce activities and for
distribution of various forms, for example E111s. The measurement 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 in support of Service Level monitoring, for example recording Transaction
times for mail receipts.
1.179.2. Automated zero value Transactions shall be reported separately. Initially these shall
be:
a) automated payments which fall into two categories:
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1.179.3
1.180.
1.180.1.
1,180.2.
1.181.
1181.1.
1.182.
1.182.1.
. Smart Tokens, where Transactions are recorded (even if zero valuc) once the
Client has been identified since this implies interaction with the Smart Token;
. swipe-cards or keyed Transactions, where recording of zero value Transactions
is controlled by POCL Product parameters for minimum and maximum values
but where a Transaction can be made void during Customer Service;
b) OBCS order book receipt and issue in Outlets.
Particular aspects are:
a) automated payments shall continue as now;
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.
Requirement 971 - POCL Implementation - Farnborough Requirement
Clients served using the APS shall receive only one stream of unreconciled data
irrespective of the source of 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 this requirement as from
the commencement of Roll Out.
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.
Requirement 972 - Implementation - Roll Out: Strategy
The Contractor shall conform to POCL’S Roll Out strategy, which is as follows:
a) installation will prioritise the following seven (7) major conurbations for Roll
Out: West Midlands; Greater Manchester; Merseyside; Leeds / Bradford; Tyne
and Wear; Glasgow / Edinburgh; Urban South Wales;
b) the M25 Roll Out shall take place during the second half of the overall Roil Out
Programme.
Requirement 973 - End to End Service - Internal Interface Specifications
The POCL Services may, during the lifetime of the Codified Agreement or at
termination, need to 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 ail internal interfaces between separate
POCL Services within the overall POCL Service Architecture.
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1.182.2. For each interface the Contractor shall provide an interface specification covering:
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.
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SCHEDULE Al6 - SOLUTIONS
Frozen/issue date
Version Reason for Change
Reference
1.0 Original baseline 28 July 1999
Lia Applying CCN268a to S479: CCN286d to S915; CCN290a to
$831; CCN312a to S 52. $553, $890, $89
$467, $478, S479, S517; CCN384a to $489, S501; CCN407 to
$560; CCN40Sa to $507; CCN411a to $543; CCN419 to
$465; CCN420 to $956; CCN429a to $517, CCN437 to $915;
CCNES3 to $466
Lib Correcting typo in $891 para 1.8
Ll Baselined copy of 1.1b 18 Oct 1999
12a Applying CCN202b to $535; CCN323a to S465, $473, $475,
0, $553, S: $913, CARS47, CARS49, CARS50,
f CARS53, CAR 925; Ci 17 to $952; CCN423a to
$699; CCN428b to $544, $552. $353, $890; CCN444 to $555,
$693, $696, S808, S818, S834, $933: CCN464b to
$971;CCN470 to $837; CCN471 to $473; CCN484 to S472,
$699; CCN487b to $915; CCNS12a to $494, S519; CCNS13a
1.2b
section 3 of $527 as specified in CCN507; Removing
amendments proposed by CCN5i2a from $494 and S519;
Removing CCN560 additions from $891 para 3.2; Removing
CARY25
12 Baseline copy of 1.2b 30 November 1999
13a Applying CCN435d to $891; CCN467b to $551; CCN473c to
S818; CCN486c to $830; CCN493a to S478; CCN495e
toS481, S913; CCN508a io $516, $926, $941, CCNS18b to
$544; CCN543b to $915; CCN566a to $915; CCNS81 to
$478: corrections of typos in $472, $476, $554, $555
13 Copy of I.3a, correct typo in $478 and document name in I 30 March 2000
$831 to reflect CCN466 omitted in error at V1.2
14a Applying CCNS06a to $539; CCNSi7a to $502, $503, S511:
CCN588a to S831; CCN589a to $514; CCN596a to S
S915; CCN635 to $831: CCN637 to S831
1.4b Correcting “ICL Pathway” in $502, 503 and Sil and typo in
S511 (none marked with annotations)
ia Baseline copy of 1.4b 21 July 2000
20a Applying CCN633b to $467, $478, $479 & $517; CCN677 to
§523;, CCN679b to S471; CCN700 to $502, $503, S511;
CCN69ia to S915; CCN70da $473
2.0b Correct wording re CCN691a in S915
2.0 Baseline copy of 2.06 12 January 2001
3.0a Applying CCN722 to $913; CCN73i to S915; CCN72! to
$915; CCN457¢ to S9E4
3.0b I Correcting typos in $914 & S915
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3.0 Baseline copy of 3.06 119 September 2001
4.0} New Schedule introducing Network Banking Service I 20 June 2002
4.0 To introduce Network Banking Service { 21 June 2002
Reference No 463 .. 5
Reference No 477
Reference No 478
Referenc 419
Reference No 480
Reference
Reference
Reference No 485
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Reference No 488
Reference No 489
Reference No 4!
Reference No 491
Reference No 492
G2 G2 Gi Ge us Ur Le Le
BEGGOGOS 6G
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Reference
Reference
Reference No 540
Reference No 54
Reference }
Reference
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Reference No 691
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¢ No 693
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Reference No 695
Reference No 800...
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Reference Ni
Referenc
Reference No 803
Reference No 804
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Reference No 809
Reference No 810
Reference No 811
Reference No 812
Reference No $13
Reference No 814
Reference No 815
Reference No 816
Reference No 817
Reference No 834
Reference No
Reference No 836
Reference
Reference No
Reference No $39
Reference No 871...
Refe No 880
Reference No $90
Reference No 891
Reference No 894
Reference No $95.........
Reference.
106,
106
107
we 1OF
108
- 108
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Reference No 905
Re ference No 911 2 No Ni
Reference No 951
Reference No 95:
Reference
Reference
Reference No 9
Reference No 9
Reference No 463
Pathway Response
L Service Principles
Pathway will supply all the Office Platform Service equipment which is required for testing,
acceptance and training for those POCL Existing 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 or 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.
The foliowing paragraphs provide further details of this “service principle” as it applies to the
examples raised by POCL.
2. Acceptance Testing:
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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) required in support of the POCL Services provided exclusively by Pathway and
b) required to 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 to 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 for Existing Services only. [CL Pathway will
provide the equipment for class room training as part of nationa., Rollout. Training POCL
staff, and training mode, is excluded from NBS -
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
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
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Reference No 465
Pathway Response
1 Equipment Livery
The standards for equipment livery to be used within OPS are defined in “Counter Hardware
Design Specification”
2. Equipment Appearance
The effort required to maintain the OPS equipment will be minimal and capable of being
undertaken by the loca! 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 Horizon OPS 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.
Reference No 466
Pathway Response
i Detailed specifications of consumable items are defined in Schedule B04.
Schedule B04 outlines the initial supply provided by Pathway at installation,
consumable product specifications and prices.
POCL have opted to obtain and distribute supplies to Outlets via the existing POCL
distribution network. POCL will therefore be responsible for maintaining consumable
supply levels at the Outlet and estimating consumption rates for consumables at each
Outlet. The consumption rates will vary at each Outlet depending on use and volume
of transaction.
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2 Pathway do not propose to hold consumable stocks but, as specified in Schedule BO4,
will maintain a capability to provide consumable stocks if formally requested to do so
by POCL
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 posi office. Each post office
configuration is linked to TMS using an ISDN, VSAT or Frame Relay Wide Area Network
connection. :
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.
21 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.
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 wiil 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 io ensure both nodes are in a consistent siate.
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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 altemate node. I
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
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
aconsistent dataset. .
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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. [t is our experience that the
majority of visits will be completed within 20 minutes of arrival. [f 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 (API), and a set of counter applications which perform specific
business functions. These are all run on a hardware infrastructure provided at cach post office
counter
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Pathway will provide the following OPS technical documentation
2. The OPS Architecture Specification 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 Generalised API for OPS/TMS 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 Design Specification Document
A 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 contro! 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 requirement only identifies the need for technical documentation, it does not directly
address the related implications of developing and using third party applications or 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.
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Reference No 470
Pathway Response
is Technical Documentation
The TMS is provided by a suite of software procedures which enable counter applications
and Client systems to securely communicate and exchange data in support of a specific set of
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 Specification 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 Generalised API for OPS/TMS Document
A document which describes the full set of API’s provided by TMS. 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.
3. Change Contro]
it is important that the Contractor exercises his own management contro! 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 documeniation 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 requirement only identifies the need for technical documentation, it does aot 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 veritied 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 Approval Service. The operational implications of
third party applications must also be considered since they will utilise resource capacity of the
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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 the Message Broadcast Service as set out in Schedule GOL.
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 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 beiteve the facility is cost effective.
Reference No 472
Pathway Response
i Introduction
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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 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 compieted 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 such details are
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 t 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 (Le for AP records), a digital signature
is applied to the data prior to, transmission and then checked upon receipt. A CRC is
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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 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 PWAY065c inclusive) which concem 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 pa:t 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 [D
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 inciude 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 forms part of a ‘cluster’ of Correspondence Servers of which 2
are located on one site and the remaining 2 located on a separate geographic site. All
ransactions associated with one Correspondence Server are automatically replicated to the
other correspondence servers including the two on the other site.
Within cach site all transactions are reliably mirrored within a multiple disk array which has
no single point of failure.
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 entnes 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
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
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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 fom one of the Correspondence Servers (in a 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 iog-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
Access Control and User Administration PPD forthe applicable Release. I
In order that a specific role for POCL Auditors can be created Pathway will need to
understand the specific functions that are required td 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. ,
Hf specific functions are required for Audit that are not available to the Post master, then the
Audit user would require an independent 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
Restrictions to functionality at outlets shal! be controlled by Reference Data.
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.
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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.
3. Suspend and Resume
A facility which enables users to securely suspend their current session and then to resume
the session is provided as 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 no 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 or Banking Transaction). .The suspended session may be resumed by the user
entering his password.
Further details on secure timcout are now covered in response to requirement 921.
Pathway Comment
None.
Reference No 474
Pathway Response
1. ICL Pathway will comply with health, safety and legal obligations in respect of OPS
equipment as specified in Schedule AQ2.
2. The OPS equipment and its installation wil! not constrain POCL and its agents fom
meeting their legal safety responsibilities as employers.
3. Pathway will prove compliance with legislation or mandatory standards as and when
necessary,
Pathway Comment
Reference No 475
Pathway Response
1, Horizon OPS Style Guide
Pathway will produce the Horizon OPS Style Guide which will set out the general guidelines
for the Human Computer interface, including screen Tayouts, systems navigation routes and
help and manual entry facilities.
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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 :-
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
An indication on screen in the form of a rotating hour glass and waming message when the
counter processor is busy
These facilities will greatly assist in achieving the objectives of minimising errors and
optimising transaction time.
Pathway Comment
none
Reference No 476
Pathway Response
i 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
2.1 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
contro] of new releases. Pathway recognises that POCL has a legitimate interest in the
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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 wilt particularly seek
active participation in tests of business functionality 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 ROCL :
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.
we
3 Release Distribution Timing
There shall be only two circumstances when POCL should determine the timing of the
distribution of new releases. One is when a new Client is connected to the POCL Service for
.the first time, and the other is where a major new service is being introduced which POCL
needs to manage (e.g. NBS). 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 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. 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.
3. Release Testing
Pathway will provide evidence that each release has been tested so that it is shown.to meet the
» Service requirements and service ievels. 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
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attend quality review meetings. Evidence of testing for major releases of new software and
functionality wil! be provided at the leveis of:
Unit Tests
System Test
Representative combinations of hardware and software.
The release iesting 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 wil! 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 to users or to
the working environment.
6. No Cormption 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 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 ihe meaning are possibie
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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 POCL upon request.
The OPS asset register will contain essential operational information that will support the
management and control of both roilout 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
Reference No 478
Pathway Response
1. The Pathway solution for TMS will link into each instance of OPS that is to be used
for production work using an ISDN, VSAT or Frame Relay Wide Area Network connection:
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 and external systems (for NBS this is the NBE) provided as part of
the overall Pathway solution.
The service specification, which may include factors such as performance characteristics and
interaction with counter systems not included in the AIS and TIS, for additional Agents
required to provide s 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.
Data file collection and delivery
ry
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
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TMS server. Similarly data provided to TMS from a host system (including the NBE in the
case of NBS) 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 type. Pathway’s solution will optimise any network connection
mace 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.
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/celiveries that aré outstanding.
The recovery facilities available for file transfer between TMS and an attached computer
system will be.dependent on the precise method of connection and the protocols and file
transfer standards that are used. These will be as specified in the appropriate Technical
Interface Specification and/or the appropriate Application Interface Specification, each of
which will be a CCD.
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, with regard to message format, source, destination and
verification; will be as specified in the appropriate Application Interface Specification
document, each of which will be a CCD. For APS this information is held in a combination of
the Application Interface Specification for a particular client and an AP Client Specification
for that client. The AP Client Specifications will also be CCDs. Related service levels are as
* specified in the appropriate Service Levels and Remedies schedule within this Codified
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Agreement and in some cases additional service levels are specified in the relevant AP Client
Specification.
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.
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
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- generating control totals through access to the contents of data files
- reconciliation of contro! totals
- produce reports summarising financial transactions
5. All events that occur either in TMS or in OPS are writien te 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 im this requirement is complex having many characteristics in common with a full
E-mail service, including for example the need for directory services. The requitement could
incur significant costs when applied to 20,000 offices. We believe that the Message Broadcast
facility which is described at requirerrent 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 Response
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 soluuon for TMS is based on a network of servers which’connect to the Pathway
OPS equipment in each post office using an ISDN, VSAT or Frame Relay Wide Area
Network connection. 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 occur within this
workgroup. ‘
The TMS server configuration files may only be accessed by authorised personnel ‘within
Pathway. ,
Data encryption mechanisms are available anc will be used selectively to protect the values of
certain data items.
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Reference is also made to Pathway’s response to Risk 65 and supplementary questions
(PWAY065 to PWAY065c inclusive) which concem 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, VSAT or Frame Relay Wide Area
Network connection. These links will be protected by VPN technology detailed in the SFS
(Security Functional Specification, RS/FSP/001). .
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”
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
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Reference No 481
Pathway Response
ICL Pathway will provide a set of PPDs that define the OPS operating procedures for use by
staff at post offices. [he 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.
ICL Pathway will co-operate with POCL to allow POCL to include instructions from the
PPDs in the Horizon Systern User Guide.
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.
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
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None
Reference No 486
Pathway Response
None
Reference No 487
Pathway Response
Pathway confirms that it will carry out a survey of outlets prior to Roll Out to ascertain what
modifications are needed to install the POCL Service Infrastructure. For the avoidance of
doubt, Pathway will not carry out any survey of Outlets in relation to PIN Pads.
Pathway Comment
Nil
Reference No 488
Pathway Response .
Pathway confirms that the installation and acceptance of the office platform at outlets during
Roll Out will be undertaken in one day.
Pathway Comment
None.
Reference No 489
Pathway Response
Pathway confirms that it will disconnect and remove existing automated equipment during
Roll Out as specified in the “Installation Strategy”
Reference No 490
Pathway Response
None.
Pathway Comment
None.
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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 during Roll Out.
The work that will be undertaken at each outlet will be determined during the survey at each
ouilet 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. 7
Pathway Comment
None
Reference No 492
Pathway Response
Pathway confirms that it will conform to al! 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 A12, Pathway will provide these
POCL Services in accordance with Operational Business Change.
Pathway Comment
None.
Reference No 494
Pathway Response
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Subject to the limitations defined in Annex 5 of Schedule Al2, 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
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 toe .
Pathway contims that it will install the office platform equipment in post office outlets.
Pathway Comment
None
Reference No 498
Pathway Response
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Pathway confirms that the existing systems APT, ECCO+, ALPS and the agreed manual
processes will be migrated from current POCL platforms during Rol! Out. 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 instalfation will not take place until the POCL Service Infrastructur
and associated support services are in place.
Pathway Comment
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. [f agreement is unreasonably withheld during Roll
Out then the matter will be referred to the Horizon Implementation Manager for resolution.
Pathway Comment :
L Jt has been assumed that the modifications referred to here are to the post office
outlets
Reference No 501
Pathway Response
Pathway will 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 as specified in the “Installation
Strategy”. Any disagreements during Roll Out,will be referred to the Horizon Implementation
Manager for resolution.
Pathway Comment
None.
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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 somé
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. 7
ICL Pathway agrees to act in accordance with the Installation Service Level Agreement in
Requirement 945 with regard to User satisfaction ievels.
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.
ICL Pathway agrees to act in accordance with the Installation Service Level Agreement in
Requirement 945 with regard to User satisfaction levels.
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.
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Pathway Comment
None
Reference No 507
Pathway Response
Unless otherwise agreed with the Regional Liaison Manager and Outlet Manager during Rot! Out,
Pathway will not install equipment during the peak periods of Christmas and new year, as defined in
High Level Counter Infrastructure Rollout Strategy (IM/REQ/025). .
Pathway Comment
None.
Reference No 508
Pathway Response
Pathway notes POCL’s intentions with respect to the suspension of rollout.
Pathway ‘Comment
None
Reference No 509
Pathway Response
For Roll Out, Pathway will meet this requirement in accordance with the CCD entitled
“Torizon 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.
PIN Pads shall be installed in accordance with Schedule G12.
Pathway Comment
None
Reference No 510
Pathway Response
None.
Pathway Comment
None
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Reference No 511
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 congested it would be unprofessional for a Contractor 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.
ICL Pathway agrees to act in accordance with the Installation Service Level Agreement in
Requirement 945 with regard to User satisfaction levels
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
(iii) 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) eat POCL’s staff and agents professionally and with respect.
Pathway Comment
None.
Reference No 513
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
ouiputs 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
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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
For Rollout the process for determining that individual POCL Premises are ready to go live
will be that one of the staff representing an Outlet will be asked to confirm in writing that the
following criteria have been met: 7
a) that they have witnessed the hardware test of the components installed at each counter,
and that the equipment is working; and
b) that the equipment has been installed and positioned in accordance with the agreed survey
sketch..
Pathway will install the equipment during Rollout in line with the agreed plan, schedule and
acceptance criteria. [f subsequently POCL requires to modify these, then such modifications
shail be agreed under the Change Conirol Procedure. :
Pathway Comment
None.
Reference No 516
Pathway Response
The content of the Roll Out plan is specified in High Level Counter Infrastructure Roll Out
Strategy, IM/STR/025. If subsequently, POCL wishes to change this ptan, then agreement will
not unreasonably be withheld by Pathway. If such changes incur additional costs or delay the
achievement of revenue then Pathway proposes to make a-charge to POCL to compensate for
the loss. . -
Pathway Comment
Nil
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Reference No 517
Pathway Response
The modifications will be completed in one visit to the Outlet. ISDN, VSAT or Frame Relay
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, VSAT or
Frame Relay 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 more than one day. In these, or other exceptional
circumstances, arrangements to complete such work over more than one day will be made in
accordance with the “Scheduling Strategy”.
Pathway Comment
None
Reference No 518
Pathway Response
Pathway confinns 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
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.
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Reference No 520
Pathway Response
Pathway confirms that all agreed support services will be available from day ! in line with
agreed service levels, as applicable to Roll Out
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 of 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.
Pathway Comment
None.
Reference No §23
Pathway Response
i Pathway’s support services wil! 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 wiil ensure that its services are capable of providing agreed levels of support
to all users that may contractually have access to its systems.
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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 support to all other help desk operators contractually nominated
by POCL that may require assistance to resolve problems associated with Pathway’s
operational services. Such support will be provided in accordance with operational procedures
that may be agreed between POCL and ICL Pathway from time to time.
Pathway Comment
I 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
I The Horizon System Helpdesk service wil! 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, ete.
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,
5. A list of call types and meaningful description will be defined in the Horizon System
Helpdesk PPD (for the current release).
Pathway Comment
1 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.
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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. Lf 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.
Reference No 526
Pathway Response
1. 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. ICL Pathway will provide a dedicated helpdesk service to support the POCL Horizon
services. :
2. The Horizon System. Helpdesk will be staffed by fully trained, qualified and
experienced personnel operating in conjunction with the “Horizon Sysiem Helpdesk PPD” for
the current release and to service levels as defined in Schedule G10.
Pathway Comment
None
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Reference No 528
Pathway Response
In the circumstances that a caller makes an inappropriate cail 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
None
Reference No 529
Pathway Response
ICL Pathway’s Helpdesk service will comply with the “Horizon System Helpdesk PPD” for
the current release.
Pathway Comment
None.
Reference No 530
Pathway Response.
Deleted in line with Requirement.
Pathway Comment
None.
Reference No 531
Pathway Response
ICL Pathway’s solution for training is defined in the Training and User Awareness Baseline
Document, reference BP/TRN/O01
‘Matrices defining the areas of competency testing for different groups of staff are set out in
part 6 of the document POCL Policy on Competency Testing, reference BP/PRD/006. The
method used for competency tests is based on these training matrices and is defined in the
document Training Development and Sign-Off, reference [M/PRO/134.
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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 ICL Pathway’s Remedial Training document reference a
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 of 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 fromi 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. NBS is excluded from Training mode.
Pathway Comment
None
Reference No 534
Pathway Response
Pathway confirms that its solution for training as it applies to Roll Out 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 lear 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/OO1. :
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Pathway Comment
None
Reference No 536
Pathway Response
is 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.
Sofiware 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 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
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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 2 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 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 .
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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.
Pathway Comment
Time synchronisation is within the Pathway domain, and there is no time synchronisation with
extemal systems (e.g. NBE).
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).
l,l 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
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client system will interpret 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 Reference Data Management Centre database system. The
information will be transmitted to Pathway in the format defined for the relevant application
interface specification (AIS) for example, Application Interface Specification Reference Data
to Pathway or Application Interface Specification Reference Data to Pathway Non-automated
Type B Data. Contro! of data flow and validation will be according to Operational Business
Change processes and procedures specified in ‘ICL Pathway/POCL Interface Agreement for
Operational Business Change - Product’ (CS/PRD/058).
Each item of Reference Data will be associated with all (core products) or some (non-core)
post offices, which will have previously been defined, in order to support the distribution
process.
This information wiil 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 recognises that some reference cata will be provided directly from external client
systems for example AP client systems. The information will be specified and transferred to
Pathway according to the ‘Pathway to HAPS Application Interface Specification (Horizon
Release 2+)’ or the relevant application interface as specified in ‘AP Client Specification’.
Operational processes and procedures will be in accordance with the Operational Business
Change processes and procedures described in section 1.2 above.
Where external client systems provide reference data to Pathway via POCL such data will be
handled as if it were data supplied directly by POCL as described above.
3. Implementation timescales
Pathway recognises that some Reference Data items may be subject to a fast implementation
for example as required by a Budget change. Timescales are detailed in “ICL Pathway/POCL
Interface Agreement for Operational Business Change — Product’ (CS/PRD/058).
Pathway Comment
None.
Reference No 540
Pathway Response
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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 materiais 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 OPS 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 6E 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 Freon based detergents due to the environmental harm these chemicals can
cause. All PCBs arc washed in mild 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 bumt
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
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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 : PWY000009 - 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 pattems and actual system resource usage will be undertaken during
operational trials and early system usage. This willbe 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
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 Fujitsu
Services Lid. Recourse io 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
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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 smari card
. Bar coded documents
British Gas Trading SPM Smart Token.
YAWN
2
It is pointed out that some of the tokens fisted above operate to proprietary standards and
specifications also the device. driver software is not currently available to Contractors.
Support for these tokens is dependant upon receiving the specifications and the availability
and licensing of the necessary device driver software.
The support of the Quantum and SPM Smart Tokens is dependent on the provision by POCL
of software developed by Siemens Metering Ltd. The protection afforded by ICL to this
Siemens code and data is described in the ICL document Statements on Security Objectives
and Methods for the protection of Siemens Metering Code and Data.
Pathway Comment
None.
Reference No 544
Pathway Response
1, The Contractor’s APS
will provide support for all the current transactions required by POCL’s AP Clients within the
counter application and ‘in the TMS Agent for AP data extraction. The interfaces required to
support the Quantum token are defined in Pathway to CQO Application Interface
Specification and Pathway to CQO Technical Interface Specification. The interfaces required
to support the British Gas Trading SPM Smart Token are defined in Pathway io SPM
Application Interface Specification and AP Client Generic Technical Interface Specification.
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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 Chent
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 simpic 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. The connection between ICL
Pathway and a new AP Client will be established using the APS Client Connection Service
Description.
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
Reference No 545
Pathway Response
1. The Contractor shall provide technical and overview documentation describing the
APS, The documentation shall be of sufficient detail so as to allow POCL to market the
Service to Clients and potential Clients and to consider the suitability of additional Services.
The Contractor together with POCL shall agree the content of the documentation prior to its.
production and also prior to introducing any subsequent changes. The Contractor requires the
active participation of POCL to support the production of the documentation
2. The Contractor shall produce a Client Specification for each AP Client that requires
AP Transactions to be transferred directly between the Client (or Girobank) and the
Contractor. This excludes the period during which the Client’s interface is supported directly
from HAPS in accordance with the Contractor's solution to requirement 552. This
specification shall specify the details of the AP Client, ihe required Tokens and’ the APS
Client Service Type(s) , the Client interface specification, the. presentation of information on
the OPS, the data involved and any necessary timings.
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The AP Client Specification shall include:
a) 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.
. Identifies the respective responsibilities of Pathway, POCL and the Client
organisation.
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.
c) 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
e) Other Data
. Contents
. Validation
. Availability
£) Operations
. Operational hours
. Operational procedures
. Fault di agnosis procedures
. Operational review procedures
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. Service Levels
Pathway will require the active participation of POCL and the Client organisations to support
the production of the documentation.
3 In the period during which the Client’s interface is supported directly from HAPS the
details of the tokens to be supported will be supplied by POCL in the form of a Client Take-
on pack as defined in the “AP Client Take on Process”. The operational processes associated
with the HAPS interface between POCL and ICL Pathway will be defined in the “HAPS
Gateway Operations Guide”.
Pathway Comment
None.
Reference No 546
Pathway Response
L. 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 shail 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 possidle 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 controllabie via Reference Data records. °
Pathway Comment
lL. 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 reftect
the defined or assumed business need.
Reference No 547
Pathway Response
lL. 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.
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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. 7
Reference No 548
Pathway Response
1 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 joumal 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
(iv) a Smart Token has been accessed ( including an abandoned or enquiry transaction).
Pathway Comment
None
Reference No 549
Pathway Response
L. Transaction Reversals
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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 wit] operate to the rules described in :-
POCL Automated Payments 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 suitably authorised personne! 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
I. 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 Automated Payments 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
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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
took 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 2 manual receipt. Where the transaction
is supported by a 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 suitabie authorised personnel.
Pathway Comment
1. The types of information retrieval in the post office and the facilities to be provided
are specified in the Service Architecture Design Document.
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. The Contractor confirms that from a date which shall be no later than the CS
Completion Date, the APS shall maintain and deliver committed transactions to POCL and
Clients in accordance with appropriate AP Client Specification. Up until the CS Completion
Date or earlier if appropriate, Client Transaction interfaces shall be supported directly from
HAPS and shall be transferred to the Contractor as described in the “AP Client Migration
Strategy”. During this period Transactions shall be passed between the Contractor and HAPS
in accordance with the “Pathway to HAPS Interface Specification” or in accordance with the
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“Pathway to HAPS Application Interface Specification (Horizon Release 2+)” and the
“Pathway to HAPS Technical Interface Specification” dependent on the Release in question.
2. The provision of specifications for each class of Token (Bar-code, Magnetic Card,
Smart Card, Smart Key) is a POCL responsibility. The Contractor shall agree these
specifications, such agreement not to be unreasonably withheld.
Pathway Comment
None
Reference No 553
Pathway Response
1 The Contractor confirms that Data Files from POCL and Clients shall be either
collected or received and validated in accordance with the relevant AP Client Specification,
Token Technology Specification and POCL Automated Payments Generic Rules. Such data
file collection and receipt will be based upon the “Pathway to Client Generic Technical
Interface Specification” and an agreed AP Client application interface specification. Up until
the CS Completion Date or earlier if appropriate, Client data interfaces shall be supported
directly from HAPS and shall be transferred to the Contractor as described in the “AP Client
Migration Strategy”. During this period Client data shall be passed between the Contractor
and HAPS in accordance with the “Pathway to HAPS Interface Specification” or in
accordance with the “Pathway to HAPS Application Interface Specification (Horizon Release
2+)" and the “Pathway to HAPS Technical Interface Specification”, dependent on the Release
in question.
2. The Contractor confirms that Data Files from POCL and Clients shall be available to
all groups of Outlets or specific Outlets in accordance with the appropriate AP Client
Specification, Token Technology Specification and POCL Automated Payments Generic
Rules.
Pathway Comment
The provision of specifications for each class of Token (Bar-code, Magnetic Card, Smart
Card, Smart Key) is a POCL responsibility. The Contractor shall agree these specifications,
such agreement not to be unreasonably withbeld. .
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
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configuration runs its own copy of the AP application and has its own set of supporting
peripherals.
The failure conditions that wil! 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 wil! not affect their ability to provide an AP service from the remaining
counters. The provision of the AP service is not affected by 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 manuai 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.
L2 Smart Card/Smart Key failure
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 tumed 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. Sce 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 I: 76 manual vouchers produced per day; 0.0022 % of total /. day; 59
transactions not possible; 0.0009 % of total day.
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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. Ail transactions, once committed to the Users local journal are
replicated to all other PC’s in the post office and to the central TMS server. When a failed
unit is replaced it wil! automatically synchronise with other nodes in its workgroup and restore
all previous transactions.
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 reieved 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
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The AP system will conform to the POCL Automated Payments Generic Rules.
Pathway Comment
None
Reference No 555
Pathway Response
1. OPS initial implementation facilities
Ll All OPS outlets will have the capability to read track 2 magnetic cards complying with
ISO 7811 parts 1-4.
12 AIL OPS outlets will have the capability to read/write to Smart Cards complying with
ISO 7816 parts I and 2, and/or ISO 7816 parts 1,2 and3. Future support for [SO 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 irnpact 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, EAN8, EAN 13,
code 39. .
2. EPOS initial implementation facilities
Pathway confirm that in all outlets where EPOS is required the Pathway EPOS solution
will :- .
21 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 of other forms at the
counter using the same slip printer mechanism.
2.3 Support the printing of Client reports specified in ‘Horizon OPS Reports and Receipts
- ICL Pathway Horizon Office Platform Service’, SD/DES/005, including the Girobank Daily
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.
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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 to one or two counter PC
configurations.
2.4.1 The connection of the D104 scales connected to ECCO+ systems will be transferred to
Horizon as set out below: :
D104 Weigh Scales - connection service to Horizon platform
2.4.2.1 During the Horizon system installation where there are ECCO+ connected D104
weigh scales to be transferred, they will be tested to confirm correct operation taking
account of POCL’s specified tolerance levels, new data cables fitted, mains cables inserted
into an Horizon system outlet and the scales re-tested to confirm correct operation on the
Horizon system. This will be service (1) below. The original data cables will be removed
with the ECCO equipment in line with Requirement 489
2.4.1.2 Where a scale is found not to be operating correctly, its new data cable(s) will be
fitted to the Horizon system and positioned in readiness for subsequent connection. The
charge for this activity will be as in (1) below. {f requested by POCL, a subsequent vi
will be made and the scale will be checked for correct operation. [f it passes it will be
connected to the previously fitted data cable(s), the mains cable will be inserted into a
Horizon system outlet and the scale re-tested to confirm correct operation on the Horizon
system. This will be service (2) below and applies on every D104 scale visit after the
Horizon system has been installed.
2.4.1.3 The charges for these services are set out in the Codified Agreement Schedule
A12 section 10.1 and are described below.
1. D104 scale successfully transferred to Horizon system at time of Horizon system
installation
or
D104 scale tested but found not to be working at Horizon system installation
2. Subsequent visit to transfer D104 scale to existing Horizon system.
2.5 Support the printing of those reports defined in “Horizon OPS Reports and Receipts -
ICL Pathway Horizon Office Platform Service’, SD/DES/005.
2.6 Support the printing of cash accounts and plain paper summaries using the above
punting 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 will 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.
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2.9 The back office printer can support the printing of barcodes and will support code 128,
EAN 8, EAN 13 and code 39.
PIN Pads
OPS shall support the connection of PIN Pads, after Part A of the Roll Out Programme has
completed in accordance with Schedule Al2 and Schedule Gi2.
The PIN Pads shall have the capability of supporting the reading from and writing to smart
cards complying with the appropriate standards in the CCD entitled “PIN Pad Product
Specification” (NB/PDN/010).
Support for reading from and writing to smart cards from the PIN Pads is not used by the
Existing Services or the NBS and is intended for use in future services which may be agreed
under the Change Control Procedure.
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.
Nn
Pathway confirms that at least 4 additional RS-232 connected peripherals may be
added to a counter configuration subject to commercial considerations, except for
mobile solutions where the connectivity is specified in the CCD “Counter Hardware
Design Specification” (BP/DES/003). PIN Pads, when connected, shall count as one of
the 4 available connected peripherals.
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. . o
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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 for10 RS-232 devices. The following devices are the
maximumi 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).
This provides capacity for a PIN pad per counter position
OCR and Two-dimensional barcode capability
Pathway has been notified that these options are not required.
Reference No 538
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.
2. Pathway confirms that the OPS is capable of supporting all of the defined business
transactions at the current and projected volumes of business. For NBS and the intended
EFTPOS (or debit card) service, the currently. supportable and projected volumes are in the
document entitled Horizon New Service Business Volumes (PA/PER/031).
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.
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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
1. Pathway is required to deliver services outputs to POCL against ‘the stated service
requirements, against demanding -performance targets and against associated performance
penaities. 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 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 the specification of the equipment being used and installed
within the Service Infrastructure shall be reviewed by the partics within the formal Service
Management Review Forum. This subject will be covered within the existing agenda item
“Horizon Programme Status”. .
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
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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
i 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.
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 mules for a wansaction 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. oo
EPOSS will be able to enforce a set rules for any transaction which will determiné 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 impiementing EFTPOS, bandling debit cards, as a method
of payment. EPOSS will have the inherent capability to handle both debit and credit cards
trom the start of the EFTPOS service.
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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 wil! 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 will be routed via TMS and EFTPOS transactions and
summaries will a!so 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
increase number of customers from higher socio-economic group
earlier payment of MVLs, bills ete.
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”.
Refereuce No 693
Pathway Response
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.
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2. Some transactions will automatically produce a customer receipt.
3. The format of reports and receipts is specified in “Horizon OPS Reports and Receipts -
ICL Pathway Horizon Office Platform Service”, SD/DES/005.
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
1. 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 handied 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 other 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.
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
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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. Each 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. 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
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Reference No 696
Pathway Response
1 EPOSS will produce a daily report showing the cash held in the office. The format of
the report is specified in “Horizon OPS Reports and Receipts - ICL Pathway Horizon Office
Platform Service’, SD/DES/005.
2. EPOSS 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.
5. The format of all receipts is specified in ‘Horizon OPS Reports and Receipts - ICL
Pathway Horizon Office Platform Service’; SD/DES/005. The bilingual Welsh/English
receipts will be printed in Outlets designated in Reference Data.
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 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 of Girobank and the PDR
_ summarisation. : :
9. EPOSS will produce reports using the counter printer and the’ A4 Outlet printer as
appropriate to the physica! printing requirement. The report formats are specified in ‘Horizon
OPS Reports and Receipts - ICL Pathway Horizon Office Platform Service’, SD/DES/005.
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 $01 and schedule A03 applies to this requirement.
Pathway Comment
None.
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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
virus control
business continuity
control of proprietary software
safeguarding POCL records
information classification
compliance with data protection and other legislation
information exchange control
extemal contractors and suppliers
* compliance with secunty policy :
* the management of fraud and risk within the solution during service operation
eoe eee eee oe
Pathway confirms that it will comply with ISO 17799.
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
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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 joumals 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 joumal,
c.g. keyed entry of card. Other scenarios will require data capture by alternate means and
subsequent introduction to the TMS joural (e.g. manual AP 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 :-
Post Office ID - The unique ID of the Outlet
Position 1D - A unique [D of the counter within the Outlet
Session ID - A unique 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 - A unique user name of-the counter clerk initiating this transaction
Application - An OPS application service
Variable Data will include :-
Transaction details I *
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 each
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will contain the same unique session [D 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). Each
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.
3. 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, or 7 years in the case of NBS
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, ali 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. I When the central TMS is restored synchronisation
would take place with each Outlet to bring the central TMS up to date.”
In the event of a single data centre disaster which results in the data centre being unusable for
a period of greater than 5 working days a copy of audit data will be established at a site
geographically remote from the surviving data centre.
1}. It will be possible to provide a suitable legal assurance as to the integrity of the audit
trail. 7
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 obsoiete it will
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be securely copied to a medium that will be serviceabie for the required lifetime of the
content.
The Systems Management function
The Systems Management Service provides a repository for the recording of al! physical
events affecting the platforms which support the POCL Infrastructure Service, that is TMS a
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 middieware 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.
The audit trail is specified in the Audit Trail Functional Specification.
Pathway Comment
None :
Reference No 799
Pathway Response *
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 Chang
Control Procedure. .
Pathway Comment :
Before a fina! 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 actua! token receipt and subsequent error handling.
Method of issue to customer, verification processes and subsequent exception handling.
Other exception conditions (e.g. token withdrawal, toXen non-collection, token non-arrival).
Information feedback to POCL and / or Clients
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Reference No 800
Pathway Response .
1. 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. For NBS a Banking Transaction is not started, for recording purposes, until
a Request is generated. Prior to this there will be no persistent record of a Banking
Transaction.
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.
The use of reversals is subject to the use being permitted by business rules in POL Reference
Data. In particular, reversals are not permitted for NBS.
If a correction needs to be applied to a transaction in a previous customer session then the
following procedure will be used:
a) identify the customer session.
b) identify and reverse the incorrect transaction
¢) insert the correct transaction.
Corrections to transactions will not be possible alter 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 retums 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.
5. 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
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Reference No 801
Pathway Response
1 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 yalue 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 reférence data or by an “intelligent” guess based on context.
Rules will be allowed 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 of 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.
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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.
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.c. 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 “commitied” 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 (which are not applicable'to NBS):
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. .
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
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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 wiil 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.¢. 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 gaint 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. I The transaction has already been despatched (i.e. client 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.
Pathway Comment
None
Reference No 805
Pathway Response
1 EPOSS will maintain a journal of all events such as logon, attach to stock unit, dectare
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.
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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:
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 of 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.
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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 stock 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
Reference No 808
Pathway Response . .
I. 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 period 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 is specified in ‘Horizon OPS Reports and Receipts - ICL Pathway Horizon
Office Platform Service’, SD/DES/005
Pathway Comment
None
Reference No 809
Pathway Response
1. The EPOSS desktop will provide customer session management which will maintain:
a) a Jog of al! 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”
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c) the allowable methods of payment for settlement
2. Transactions recorded in the journal will be identified by customer session.
Pathway Comment
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 product. 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 resolve
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).
Pathway Comment ©
None
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Reference No 812
Pathway Response
1. 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” end “downrating” accounting entries will allow for changes
in stock product prices to be balanced. 7
4. EPOSS will implement revaluation of generic stock products in an appropriate and
efficient manner.
5. The reference data for each value stock product will contain information which
determines the accessibility (or sellable status) of the product.
Pathway Comment
None
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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 processes 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 al!) cash denominations.
7. EPOSS will carry forward and default to the denomination values from the last known
declaration when no activities have occurred 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
explicitly 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
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Pathway Response .
L. 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 . :
1. 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.
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 2 corresponding (or better) privilege level to
access the facility. Combined with the user logon requirement, this wil! provide a controlled
environment for ail 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
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Pathway Response
1. 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
Reference No 818
Pathway Response
lL. 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 is specified in ‘Horizon OPS Reports and Receipts - ICL Pathway Horizon Office
Platform Service’, SD/DES/005. 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.
4. 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/Joumalising middleware. Similarly, reference data record integrity is handled by the
TMS/Journalising middieware.
5. The Contractor’s Reference Data system wil! distribute the [tem Transaction Modes
(ITMs) to the Outlets. EPOSS shal! provide the following functionality for all Products, in
accordance with the business rules specified in ‘Reference Data Business Rules and Values’
(the initial set of business rules for Reference Data management of products using: Item
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Transaction Mode shall be as defined in the agreed version of CCN473. These rules will apply
until the document “Reference Data Business Rules and Values’ is agreed by the parties and is
introduced as a Contract Controlled Document via the Change Control Procedure):
« A test for a current [TM at the start of each transaction undertaken at the Outlet. [f one
exists, the Transaction will continue. If one is not found, the Transaction will be
aborted, and the Counter Clerk will be informed of this. The Counter Clerk may start
another transaction.
« A test for a current ‘stock adjust negative’ transaction mode for all POCL Products,
which are Value Stock items, at an appropriate trigger point, such as, start up or
balancing. If one exists, no action is taken. [f one does not exist for a Value Stock
item, the residual value in any Stock Unit for that Product will be posted to
discrepancy. An agreed message showing this action will be output to the system
User. -
Pathway Comment -
None.
Reference No 819
Pathway Response
1. EPOSS will support the different cash account formats (ie. 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.
2 The siapping 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 sing!e cash account report covering all transactions
in the combined period. It is propdsed 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.
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6. EPOSS will allowtrial 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
L. 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.
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
c) resume operation in a controlled auditable way as quickly as possible.
3 :
4. Backup of data will be handied 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
There will be no local processing for NBS where connection to the NBE has failed.
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Reference No 821
Pathway Response
lL. 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.
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 POCL
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 Bast Anglia 22 23
. Total [31 157
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 wiil be
included in the scheme. 7
The FAD code of an office is a seven digit number of the form 000 AAA C
where OOO = Numeric Office code
AAA = Numeric Area Code
C = Check digit
An analysis of the FAD codes has provided the following information:
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1. There are a total of 145 areas in all 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
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.
Each 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/Jouralising 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 ari 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 +o 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 ail transactions will be handied 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.
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
acombination of MoPs (e.g. part cash and part cheque). In some circumstances a transaction
(e.g. savings account deposit) can require setilement in its own right irrespective of other
transactions in the customer session. [n addition, EPOS will enforce a set rules for a
transaction which will determine the MoPs allowed for that transaction
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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
MobPs to be introduced dynamically via reference data and applets.
9. EPOSS will support two simultaneous customer sessions at the same counter position
It will allow a customer session to be suspended and resumed as required except when a
Banking Transaction is in progress. When a customer session is 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
POCL and Client accounting and business rules allow them.
12. EPOSS will support primary products with associated mandatory and optional
products. For example, the £1.90 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.
13. EPOSS will have the facility to read data from all 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 wil! 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.
fn 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
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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
A PIN Pad cannot be connected to more than one piece of Counter Equipment at a Counter
Position. .
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 persona! security measures, file integmty checking, data encryption, digital
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signatures, CRC checking, disk encryption, systems design for selective management and
visibility of data.
Pathway Comment
None
Reference No 829
Pathway Response
Pathway confimns that it will comply with al! its prosecution support obligations specified in
Schedule A02.
Reference No 830
Pathway Response
The requirements specified within 830 are addressed within the Business Continuity
Framework CS/SIP/002. For NBS, the contingency plans will be as specified in Schedule
N09.
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 formof
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, LFS). .
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The detailed formats of each interface will be specified in a Contract Controlled Document.
Such specifications for interfaces shal! be introduced or changed through the Change Control
Procedure.. Pathway notes the requirement in section 2.1.2 and DS of the POCL Interface
documen: 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 LFS
Application Interface Specification” (POCL reference JED/LFS/007).
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 Type B Data (for the appropriate release).
4. Interfaces between outlets (via TMS) and POCL Clients
Interfaces will be provided in accordance with:
. Pathway to HAPS Interface Specification;
. Pathway to Client Standard Mageard/Barcode Application Interface
Specification;
. Pathway to Client Standard Watercard Application Interface Specification;
. Pathway to Client Type ‘G’ Magcard/Barcode Application 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 $31 and the POCL Interface document.
6. NBE - Horizon interface for NBS
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Interfaces for NBS will be provided in accordance with the document “NBE-Horizon
Application Interface Specification” (NB/IFS/008) and the document “Technical Interface
Specification — Horizon to NBE” (NB/IFS/009). Reconciliation Reports will be provided in
accordance with the document “Network Banking End to End Reconciliation Reporting”
(CS/SPE/01 1).
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 APS
Host Operational Reconciliation Reports for CSR+ (AP/IFS/048) 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.
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 requirement 831)
File and message switching interfaces. These are covered in requirements 471 and 478
Pathway confirms that each interface will be specified in a Contract Controlled Document.
Such specifications for interfaces shail be introduced or changed through the Change Control
Procedure.
Pathway Comment
None
Reference No 832 _
Pathway Response
The overall business processes at the counter shall be as specified in the documents:
“CSR+ Access Control and User Administration Processes and Procedures Description”
(CS/PRO/090) .
“CSR+ Automated Payment Service Processes and Procedures Description” (CS/PRO/091)
“CSR+ Electronic Point.of Sale Service Processes and Procedures Description”
(CS/PRO/095)
“CSR+ Horizon System Helpdesk Processes and Procedures Description” (CS/PRO/092)
“CSR+ Introduction Processes and Procedures Description” (CS/PRO/093)
“CSR+ Logistics Feeder Service Processes and Procedures Description” (CS/PRO/096)
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“CSR+ Order Book Control Service Processes and Procedures Description” (CS/PRO/094)
“CSR+ Operating Environment Processes and Procedures Description” (CS/PRO/097) e
and “Audit Trail Functional Specification” (CR/FSP/006) for the current release, and for the
release supporting NBS:
“Network Banking Service Processes and Procedures Description” (NB/PRO/001)
Pathway Comment
None
Reference No 833
Pathway Response
EPOSS will support a training mode. [t 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.
Support for training mode is excluded from NBS.
Pathway Comment
None
Reference No 834
Pathway Response
1. Adequate Contingency
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.
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Because of this approach, contingency during transition of a post office does 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 unti] 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. {not used]
3. Plain Paper Summaries
Each Outlet will be equipped with a back-office printer capable of producing plain paper
summaries. The format of these summaries is specified in ‘Horizon. OPS Reports and
Receipts - ICL Pathway Horizon Office Platform Service’, SD/DES/005.
4. 2-D barcodes
Each Outlet will have the ability to print a 2-D bar code on the plain paper summary
Pathway Comment
None
Reference No 835
Pathway Response
1. Benefits encashment and other Automated products will be integrated i 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.
d) Transaction times will be minimised but need not be shorter than the relevant agreed
benchmarked counter transaction times. The transaction’ application will be invoked
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automatically on the peripheral device read event. Transaction data will be obtained during
the device read such that manual data entry is reduced.
records. It will provide summaries showing detail and totals for the fotlowing items:
a) motor vehicle tax discs on hand;
b) milk tokens on hand;
c) cheques;
2 EPOSS will support the provision of transaction summaries for companson with other
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 is anticipated that the sharing ‘of information will be achieved via file or
communications media. [f 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
d) Value. :
e) Quantity.
f) Product, client and/or scheme reference codes (if applicable) .
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
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data updates via TMS. In addition to reference data updates, functionality can be introduced
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 io 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 g 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.
b) 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.
f) 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 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.
3. EPOSS report layouts may be defined’ for each financial year, and EPOSS will use the
layout relevant. to the year being reported upon when printing a report. Requests for new
layouts must be made by Change Request.
Pathway Comment
The contents of these reports will be defined in the CCD entitied “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
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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
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 $36) 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) Tili functionality. .
'b) Discounting.
¢) 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
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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. .
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. [t 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
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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
used for simple analysis. [t 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 substantia! 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 s 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. This analysis and
investigation will exclude NBE and bank system performance for Banking Transactions.
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 F08.
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 occurred.
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 shall be automatically and securely replicated to
TMS throughout the day. Transactions, once committed locally as part of a Customer Session,
shall be immediately replicated to any other Counter Position PCs in the Outlet and
periodically to central servers in TMS. Each Transaction shall have a unique and increasing
sequence number and TMS facilities ensure that Transactions cannot be replicated out of
sequence. . .
An end of day marker will be written at a pre-defined point in the day. This will be replicated
to the central TMS journal, along with any remaining transactions and any end of day control
totals (since the last replication).
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TMS Agents shall extract information from the central TMS journal, between the previous
and current end of day markers for each Ouilet recording an end of day marker. Files are
prepared from the extracted information {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 shall be identified and investigated.
2. POCL and Client synchronisation
The AP datafiles for AP Clients and the files for POCL (i.e. for TIP or equivalent) will be
generated following Outlet closing ume.
Transactions for AP Clients and for POCL are all derived from the same source data (in TMS)
and shall therefore be consistent. File dispatch to POCL and POCL Clients shall be
determined by the operational windows agreed with these partics but will normally occur at
least once every twenty four (24) hour period, as agreed with each Client.
The agents which exiract data for Clients and TIP act independently and can access the same
source data simultaneously. This ensures that the data received by TIP is consistent with the
data transmitted to the Clients, and any differences reconciled on a daily basis.
In addition to the Outlets’ Transaction records, the end-of day records will be transmitted to
TMS by Outlets. These records are used by the agents harvesting data for Clients and TIP to
ensure that the same data is harvested on each stream.
3. Interim Sojution including HAPS
Up until the CS Completion Date or earlier if appropriate, Client Transaction interfaces shall
be supported directly from HAPS and shall be transferred to the Contractor as described in the
AP Client Migration Strategy. During this period Transactions shall be passed between the
Contractor and HAPS in accordance with the Pathway to HAPS Interface Specification or in
accordance with the “Pathway to HAPS Application Interface Specification (Horizon Release
2+)" and the “Pathway to HAPS Technical interface Specification”, dependent on the Release
in question.
Transactions for HAPS and for TIP are all derived from the same source data (in TMS) and
shall therefore be consistent. File dispatch to TIP and HAPS shall be determined by the
operational windows agreed with- these parties but shail always occur at feast once every
twenty four (24) hour period.
The TMS agents which extract and transmit TMS data to HAPS and TIP act independentiy
and can access the same source Gata simultaneously. This ensures that the data received by
TIP is entirely consistent with the data transmitted to the Clients. The Contractor shall
produce reports which will-reconcile the timing differences between data sent to TIP and
HAPS .
Pathway Comment
None
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Reference No 891
Pathway Response
1. General requirements
Ll The Contractor shall 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 shall 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 The Contractor shall 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 the
Contractor 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, the Contractor shall
reconcile or climinate 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 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. The Contractor shall ensure that data is consistent between the levels where
Transaction or Stock and money level data is heid, maintained or transferred at more than one
level. This specifically to include Transaction data at summary and individuai item level.
It should be noted that the 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 The Contractor shall 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 shall
contain reconciliation data to check that the data received corresponds with that sent.
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LS The Contractor shall 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 the Contractor and POCL;
* between the Contractor and other external interfaces (e.g. POCL Clients) to enable POCL
to maintain its commercial relationships;
« between the Contractor's internal service components (to inform/assure POCL on the status
of the Pathway system and service).
1.6 The Contractor shall apply appropriate integrity controis at all interfaces and provide
information demonstrating integrity.
For interfaces that are already in place tntegrity 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 shail 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).
1.7a The Contractor shall 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. .
1.76 The Contractor shall meet all reconciliation requirements in contingency situations as
well as in normal working.
1.8 Targets for all reconciliation requirements for the Existing Services 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;
* the Contractor shal! resolve any reconciliation exceptions produced by its reconciliation
processes; _ . .
© the Contractor shall provide reconciliation reports at summary level and identification of
reconciliation exceptions to POCL by 09:00 am of the day following that in which the
reconciliation exception occurred: .
¢ the Contractor shall use ai! reasonable endeavours to resolve reconciliation exceptions
promptly.
For APS at CSR, this is described within ICL Pathway document CR/SPE/005 “Specification
for APS Reconciliation Reports - for Release NR2”. .
For APS at CSR+, this is described within ICL Pathway document AP/IFS/048 “APS Host
Operational Reconciliation Reports for CSR+” and in. the CCD CS/PRO/128 “APS
Reconciliation and Incident Management”. , : .
There is no reconciliation for OBCS.
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Reconciliation targets for the NBS shall be as described within the CCD entitled “Network
Banking End to End Reconciliation Reporting” (CS/SPE/011), and the CCD entitled
“Network Banking Reconciliation and Incident Management” (NB/PRO/002).
2 Outlet Reconciliation Requirements
2.1 The Contractor shall ensure that Stock and money levels are reconciled with
Transaction data, This will be: :
« atthe Transaction level;
« at the Customer Session level;
® at the Stock Unit level;
« atthe Outlet level.
The requirements for balancing within an Outlet are defined in the EPOSS requirements,
those for Stock and money movements between Outlets shall be reconciled by the POCL
Inventory Management System using data provided to it from EPOSS via TMS.
2.2. The Contractor shall 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 shall 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
3.1 The Contractor shall maintain controls on operations including connection to and loss
of communications with Outlets or with other POCL Service components to alert the
Contractor's operational management to situations and/or events requiring its attention. In
particular the Contractor shall produce a daily report of Outlets which have not been polled
{including date of report, FAD code of each unpolled Outlet and the date when that Outlet
was last polled), and e-mail that report to POCL’s Business Support Unit.
3.2 The Contractor shail apply controls on file and data transfers at all technical levels
and, using relevant counts and financial totals, at business levels. The Contractor 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. In the period before the CS
Completion Date, where the Client’s interface is supported directly from HAPS, POCL will
also rely on information provided via a TMS interface to its HAPS system for reconciliation
and control of APS related office business processes.
3.3. The Contractor shall ensure that information provided to POCL via TIP makes explicit
what Transaction data has been sent to its Clients. .
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3.4 Additional reconciliation processing will be provided for NBS, the outputs of which
are specified in the document “Network Banking End to End Reconciliation Reporting”
(CS/SPE/011)
4. Commercial reconciliation requirements
4.) . The Contractor shal! provide information to enable reconciliation of POCL Services
provided by the Contractor with Charges made by the Contractor.
4.2 The Contractor shail 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:
The Contractor shall undertake the operational aspects and take responsibilities as each ¢
defined in the Contract. ; .
The Contractor shall 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.
Ll Contractual information presented via the business review route wil! embrace:
a) Service Level Performance (by event, priority, classification and type)
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 biisiness 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
fuil 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 coritract, 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.
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24 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.
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 de an enabler for the task but not a
deliverer of it; limited by current defined requirements. Future needs, by definition, are not
known.
Pathway Comment
1, Note the 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 Audiv/Security/Operations when it
relates to an Outlet in relation to the following pattern.
1. Daily reports of Transactions at a non-live Outlet ie. one reported to the Contractor as
temporarily out of commission
This does not apply to NBS, for which separate MIS reports are produced as specified in
“Network Banking MIS Reports Design” (NB/SDS/008).
Reference No 896
Pathway Response
3A Data will be available that enables service analysis against the key attributes of POCL -
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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 wil! wish take paper documentation home to read in their leisure time.
Pathway Comment
None
Reference No 898
Pathway Response
1. OBCS will be implemented using TMS and OPS and will based on the current ESNS
in use in ALPS post offices.
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 norma! opening hours of that outlet.
Pathway Comment
None -
Reference No 899
Pathway Response
1. Local 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. 7
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 1.3 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
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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
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 technica! 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 (i) 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 tum
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 903
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. 7
Pathway Comment
None
Reference No 906
Pathway Response
Pathway's Roll Out strategy is based upon a geographic area-by-area approach.
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.
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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 al the time
of the transaction. This link will be maintained to allow transactions against different
versions of a product to coexist and be corréctly accounted for. -
Pathway Comment
None
Reference No 912
Pathway Response .
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’.
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23 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
3.4 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
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 detachabie 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.
35 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. .
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3.7. Pathway wil! 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 electronic copy of the automated counter procedures
derived from the PPDs to Horizon Product Management covering ail automated transactions. These
automated counter procedures will be suitable for incorporation by POCL into the Horizon System
User Guide (HSUG)
2 Availability
21 POCL Head Office Publications is responsible for the distribution of the HSUG to all
dependent users. The users of the POCL Services are:-
All Outlets, Head Office, Business Centres, Centrat Services and Regions (including Regional
Helplines) and Retail Network Managers.
22 Other Users
POCL Head Office Publications is responsible for the distribution of the HSUG which is despatched
. to, and is readily accessible to, all users outlined at 2.1. The HSUG will be available to users at all
times. I .
2.3 Contingency/Disaster Recovery Arrangements
The HSUG 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 manual 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
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ICL Pathway will provide Horizon Product Management with the automated counter procedures.
POCL will review the automated counter procedures and confirm their suitability for incorporation
into the HSUG.
POCL will incorporate the automated procedures with the manual procedures for testing purposes
POCL will provide [CL Pathway with one paper and one electronic copy of the combined automated
~ and manual procedures which are to be used for testing before any POCL testing commences. POCL
will allow ICL Pathway 15 working days to review the combined procedures to determine their -.
accuracy and to confirm that no procedure is detrimental to the accurate processing and efficient
performance of the Horizon system. [CL Pathway may retum comments to POCL which POCL will
take account of in so far as is reasonable. Should POCL not act reasonably upon any such comment
then ICL Pathway will not be liable for any adverse effect attributable to such failure to act.
During testing POCL will notify ICL Pathway of any required amendment to the automated counter
procedures within 5 days of the identification of such amendment. When so notified of a requirement
for a minor amendment to an automated counter procedure ICL Pathway will provide POCL with a
Word document which identifies the necessary change to be made to the automated counter
procedure. Should a major change be required to.an automated counter procedure ICL Pathway will
provide POCL with a new version of the automated counter procedure produced using FrameMaker
version 5.5.3 software. Should there be a requirement for a new automated counter procedure ICL
Pathway will provide POCL with this procedure produced using FrameMaker version 5.5.3 software.
ICL Pathway will use reasonable endeavours to provide the Word document or the automated counier
procedure to POCL in the shortest time practicable
POCL will provide ICL Pathway with a paper copy of the first draft HSUG which will be tested
during the final phase of testing. POCL will provide this draft to ICL Pathway prior to the
commencement of the final phase of testing.
Following testing POCL will review the. combined automated and manual procedures and confirm
their accuracy and mark them approved. POCL will use reasonable endeavours to provide ICL
Pathway with one paper and one electronic copy of the approved combined procedures in the shortest
time practicable.
POCL will organise the approved combined procedures and non-automated procedures uscd at the
counter into the version of the HSUG which will be reviewed by POCL prior to delivery to the
printers. POCL will provide ICL Pathway with reasonable notice of the planned period of this review
and invite ICL Pathway to participate in this review. During this review period ICL Pathway may
return comments to POCL which POCL wiil take account of in so far as is reasonable. Should POCL
not act reasonably upon any such comment then ICL Pathway wili not be liable for any adverse effect
attributable to such failure to act. POCL will provide ICL Pathway with one peper and one electronic
copy of the HSUG identical to the copy detivered to the printers.
POCL will provide [CL Pathway with a copy of the printed HSUG at the earliest possible opportunity.
ICL Pathway will review the printed HSUG and may return comments to POCL which POCL will
take account of in so far as is reasonable. Should POCL not act reasonably upon any such comment
then ICL Pathway will not be liable for any adverse effect attributable to such failure to act.
Furthermore ICL Pathway will not be liable for any adverse effect attributable to problems in the
production of any form of the HSUG whether formally printed or photocopied or by any other means
produced and issued by POCL.
POCL will provide [CL Pathway with details of any and ail subsequent amendments to the HSUG
including addition or deletion or modification of auzomated or mantal or clerical procedures. Details
of such amendments will be provided to ICL Pathway at the earliest opportunity and where possible
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before issuing. In the event that it is not possible to provide such amendments before issuing POCL
will provide such amendments to ICL Pathway no later than twenty-four hours after issue. This will
apply whether or not the HSUG is reissued at the same time as the issue of the amendment.
Notwithstanding this, for amendments to the automated procedures POCL wil! always consult with
ICL Pathway before issue. ICL Pathway will endeavour to review amendments in the shortest ime
practicable. [CL Pathway may return commerts to POCL which POCE will take account of in so far
as is reasonable. Should POCL not act reasonably upon any such comment then ICL Pathway will not
be liable for any adverse effect attributable to such failure to act.
Should any change be made to the HSUG, or part thereof if amended and issued separately, including
addition or deletion or modification without ICL Pathway’s prior approval, ICL Pathway wil! not be
liable for any adverse effect attributable to such change until such approval is confirmed.
3 Design of Document
3.1 Visual Identity
ICL Pathway will produce the automated counter procedures using the FrameMaker version 3.5.3
templates provided by POCL. Use of the templates constructed by POCL ensures that the
* documentation complies with the POCL-Design Application Guidelines which is part of the Visual
Identity Policy. POCL Head Office Publications will be responsible for the production of the HSUG,
which incorporates the automated counter procedures.
5.2 Communications Policy
The document “A guide to Head Office Communications Team” has not been made available to ICL
Pathway and therefore ICL Pathway is not able to conform in any way with paragraph 5.2 of this
Requirement.
6 User Documentation for New Product/Service
6.1 Notification of Requirement by POCL
ICL Pathway expect the majority of planned documentation changes for each new product or POCL
service to be introduced on to the automated platform to be one element of a Product or Service
Introduction Plan. The Product Service Introduction Plan will detail the responsibilities and
timescales needed for production of new documentation for the automated platform.
6.2 Drafting of Documentation _
The final copy of PPDs and related automated counter procedures for a new product or POCL Service
shall be provided to POCL for notification to all system users, by the Counter News medium or by
other means determined by POCL and eventual inclusion in the HSUG.
6.3 - Final Approval by POCL
Final Approval of all updated user documentation shall be. 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. For routine additional changes approval will be required within 15
days of the impiementation.
64 Availability -
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POCL will provide information of new products and services prior to introduction by the weekly
POCL Counter News medium or by other means determined by POCL.
7 Updating User Documentation
FA Planned Changes
7.1.1 Notification of Changes by POCL
ICL Pathway will be notified of planned changes by
accordance with the timescales described in paragraph
all system users with a change notification in the POCL Counter News mediu
determined by POCL and eventual inclusion in HSUG.
72
ICL Pathway will be notified ‘of final updated user documentation a number of days before that
jescribed in paragraph 7.1.2 of the requirement. ”
ication in the POCL Counter News medium or
by other means determined by POCL and eventual inclusion in HSUG.
particular change, in accordance with the timescales
POCL will provide all system users with a change n
7.13
The same procedures as at 6.3.
7.14
POCL will provide updated user documentation by the Counter News medium or by other means
An eventual addition to HSUG will be
provided at the earliest version possible. There is a 10 day lead time for each weekly edition of
determined by POCL immediately prior to introduction.
‘Counter News.
7.2
ICL Pathway commits to making available to POCL, within 24 hours of notification of required
emergency changes to the PPDs, 2 Word document which identifies the necessary changes to be made
to the latest version available to ICL Pathway of the automated counter procedures. Correspon
changes to the PPDs will be made as soon as is practicable.
” From CSR+ ICL Pathway will be 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]
3 User Satisfaction - Monitoring
9. Frequency of Monitoring
This is a POCL responsibility
92 User Satisfaction Measurement
le appropriate authority within POCL in
1.1 of the requirement. POCL will provide
m or by other means
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This is a POCL responsibility. Notification of results will be provided to ICL Pathway.
9.3 Conduct of the User Satisfaction Survey
This is a POCL responsibility.
Reference No 914
Pathway Response
1 {introduction
Ll This response documents the key service characteristics of the Horizon System
Helpdesk service.
2 Helpdesk Service
21 General
2.1.1 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 and any other
party authorised by POCL and agreed with the Contractor.
2.1.2. The Horizon System Helpdesk service will embrace fault management, advice and
guidance and overal] operational service management, information and administration. It will
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 number). 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 wel] as calls answered but put
on the ‘waiting queue’.
2.1.4 Three levels of service will be provided extending from Level I 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 i 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.
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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
wil! 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 incidents: and potential faults. The
Horizon System Helpdesk will make extensive use of ‘Expeit Systems’ diagnostic tools to
assist in their resolution and these may require more detailed and extensive analysis, taking
more time.
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 incidentswill 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 Honzon System
Helpdesk to clarify symptoms or elicit extra information.
2.3.4 Level 2 calls will be analysed to identify trends and pattems which may indicate the
need for improvements in the diagnostic process. New incidents 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 Levei 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 Hardware, Software and Network incidents will be transferred to Level 3 support
electronically complete with all of the details of progress made at levels I and’2. These calls
will be prioritised and categorised so that they can be actioned within timescales as defined in
Schedule G10 section 4.2.
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.
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2.4.4 Level 3 calls will be analysed to identify patterns and trends of failure either within
specific Outlets or with system items.
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 Incident and Problem Management
2.6.1 Pathway will employ a specially developed Incident 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 :
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 incident reported ~
Horizon System Heipdesk contact
Incident description
Incident type (such as Hardware, Software, Advice & Guidance etc.)
Identity of any equipment or software associated with the incident
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
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Date and Time equipment retumed 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. ft
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 incident management system will aiso be used to record and manage incidents
relating to systems operational incidents 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 calis wil) be given one of three priority classifications depending upon the impact
and urgency of the incident 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
C Calier’s business is suffering only minor inconvenience
2.6.7 Throughout the life of a call, the Horizon System Helpdesk staff will monitor its
progress: The Help Desk Customer will be informed of the planned outcome (if known), of
what is expected to happen next and will receive regular updates of progress as specified in
the Horizon System Helpdesk PPD and in working document reiating to HSH operations.
2.6.8 The scope of the Horizon System Helpdesk operation will be documented in the
Horizon System Helpdesk PPD which will be maintained in accordance with Pathway’s
objective of registration to ISO9001
2.6.9 Incidents, such as the total failure of systems within a post office, will be given a high
priority and managed in accordance with the service management framework, incident
management document and the Horizon-System Helpdesk Process and Procedures Description .
for the current release.
2.6.10 An incident 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 incident 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 Horzon 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.
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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 Dir
which will perform cali load balancing between them.
tion equipment
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.
2.8.5 The Horizon System Helpdesk will implement, operate and test contingency processes
that comply with the Horizon Systems Helpdesk Continuity Plan (CS/PLA/O15).
2.9 Training
2.9.1 During Roll-Out, Pathway will: deliver training to POCL staff. This ‘raining
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 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 cails answered within 40 seconds
Calls not answered < 1%
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Abandoned calls (where the caller rings off) < 5%
95% of Level I calls resolved within 3 minutes
100% of Level I calls resolved within 10 minutes
95% of Level 2 calls resolved within 30 minutes
100% of Level 2 calls resolved within 45 minutes
3 SERVICE MONITORING
3.1 Service Performance Statistics
3.1.1 The Horizon System Helpdesk service will be monitored and reviewed over monthly
periods. Statistical evidence of its performance against measures as defined in Schedule G10
or any other measures approved via the Change Control Procedure or on a temporary basis as
agreed between the parties at the Contract Management meetings defined in Schedule A04
will be produced by 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 as defined in Solution 894, within five (5)
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 enabie 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. 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 in discussions with POCL to assist POCL to
decide on the format and content of the quarterly survey. These discussions will take place at
quarterly intervals in the monthly Service Management Review meetings.
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 incident
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. 4
Pathway Comment :
i The number, nature and frequency of the requirements for ad ‘hoc reports is unclear
and needs further clarification.
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Reference No 915
Pathway Response
This Pathway Response No 915 shall apply only to Rollout of the Existing Services.
1. Introduction
1.1 Core training
The requirement 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/OOL. As documented in the Training and User Awareness Baseline document the
CONTRACTOR will provide an initial maximum allocation of 13,479 courses which may
only be varied in the way described below. Within this allocation the CONTRACTOR will
provide an initial allocation of 5,339 one day Counter Assistants Course and an initial
allocation maximum of 6,377 one and a half day Managers Courses. The CONTRACTOR
will also provide an initial allocation of 1,608 one day ECCO+ Counter Assistants courses (as
defined in IM/TRN/023) and 4 half-day HFSO Mobile Solution courses (see CCN 632b). The
balance of the allocation is 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 6,377 events
*HFSO Counter Managers Course 3.0 days 59 events
* Assistants course 1.0 day 5,339 events
*ECCO+ Counter Assistants 1.0 day 1,608 events
course
*Train the trainer 3.0 days . 25 events
- “Auditors course 2.0 days 34 events
POCL Helpline 1.5 days 33 events
HFSO Mobile Solution course 0.5 day 4 events
Total offering 13,479 events
Within the proposed allocation, the quantity of Manager’s Courses, Assistants Courses and
ECCO+ CA Courses will be variable provided the overall total value is not exceeded.
Additionally, ICL Pathway have introduced two new courses: an On-site Combined CA/CM
and a Combined CA/CM delivered at an ICL Pathway provided venue, these courses may be
delivered as part of the total allocation. All other courses will be provided to the limits defined
in the above table. °
* The proposed total available for Managers is 6,377 courses with an individual value of
1.251 units and a total value of 7,978 units
¢ The proposed total available for Assistants is 5,339 courses with an individual value of
0.803 units and a total value of 4,288 units
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¢ The proposed total available for ECCO+ CA is 1,608 courses with an individual value of
0.803 units and a total value of 1.292 units
e ICL Pathway have introduced a new On-Site Combined CA/CM course. This course is
delivered at a PONU provided venue (typically in the Outlet), is open to Counter Managers
and manual office Counter Assistants, and is limited to 3 delegates per course. This course
has a token value of 0.625 units. These courses are redeemable against the total allocation
for the five course types of 13,558 units.
e ICL Pathway have introduced a new Combined CA/CM course. This course is delivered at
an ICL Pathway provided venue, is to be open to Counter Managers and manual office
Counter Assistants, and will be limited to 6 delegates per course. This course has a token
value of 1.251 units. These courses are redeemable against the total allocation.
* The total number of Managers, Assistants, ECCO+ CA, On-site CA/CM and Combined
CA/CM courses available will be a mix of the five types to a total vaiue of 13,558 units,
using the above unit rates.
The proposed changes will incur no additional charges to PONU unless any of the newly
defined limits are exceeded.
KEY:
*Managers course = Branch managers, Assistant Branch manager (ABM), Postal Officer
Assistant Branch manager (POA), subpostmasters, franchise managers, no! e managers,
Head of Retail Networks (HORNs), regional support staff, relief or deputy managers, Outlet
managers, POCL User acceptance team, POCL staff who perform stock unit balancing, and
nominated POCL staff and officers.
*HFSO Counter Managers course = Regional Network Managers
*Counter Assistants course = Counter Clerks, subpostmaster's assistants and franchise staff
*ECCO+ Counter Assistants course = Postal Officers
*Train the Trainer = POCL and agency trainers
* Auditors course = national and regional audit teams, POCL security and investigators
HFSO Mobile Solution course = HFSOs
POCL Helpline = POCL Helpline staff and managers
On-site CA/CM = 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, Outlets
manager, POCL User acceptance team, POCL staff who perform stock unit balancing and
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nominated POCL staff and officers, Counter Clerks, subposimaster’s assistants and franchise
staff
Combined CA/CM = 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, Outlets
manager, POCL User acceptance team, POCL staff who perform stock unit balancing and
nominated POCL staff and officers, Counter Clerks, subpostmaster’s assistants and franchise
staff
In the event that any of the individual limits per course type are exceeded additional training
could be provided by agreement between POCL and the Contractor and in accordance with the
charges specified in paragraph 8.3 of Schedule Al2.
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.
1.2 Further training
{n addition to those elements described in 1.1 above, the Contractor shall,:-
(i) in relation to those Outlets to’ which Rollout is scheduled to take place
in or after January, 2000 run 370 half day training events for 4,400
office managers (or such lesser number, as POCL may require) in
accordance with the specification contained ‘in the document
IM/PRO/172, - specification of pre-entry event, .
(ii) with effect from 24 September 1999 deploy the processes and
procedures set out in the document IM/PRD/066, - Monitoring of
Trainer Quality;
(iii) with effect from 27th October, 1999, implement the new P.S.A. process
defined in the document entitled Amended Process for Presenting the
Performance Standards Assessment (IM/PRD/073).
2. Training Services
21 General
Matrices defining the areas of competency testing for different groups of staff are set out in
part 6 of the document POCL Policy on Competency Testing, reference BP/PRD/006. The
method used for competency tests is based on these training matrices and is defined in the
document Training Development and Sign-Off, reference IM/PRO/134. 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.
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The design and development of training events and supporting material are in accordance with
the document Training Needs Analysis, reference SU/TRN/OO1. The training events to be
delivered are as specified in the document Training and User Awareness Baseline Document,
reference BP/TRN/O0!. 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 531.000.03), document reference BP/PRD/007.
ft is not envisaged that "day to day" development of training materials will be required
although ongoing quality assessment and maintenance wiil 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.
The Contractor will provide management information relating to training as specified in the
document Standard Reports and Formats, reference SU/REP/021.
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 reports specified in the document Standard Reports and’ Formats,
reference SU/REP/021 and, where relevant, appropriate measures will be reported in the
Service Review Book which is a Working Document.
Identification of improvements to the training programme will be part of an approved quality
process and is part of the Contractor's responsibility.
we
Key Measurables
3.1 Timeliness
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The Contractor shall ensure that training is delivered in accordance with the Project Plan.
Such training will be completed no more than ten (10) POCL Core Days (10 working days)
before live usage of the Service Infrastructure or the relevant service by delegates. .
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
procedures 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.
Matrices defining the areas of competency testing for different groups of staff are set out in
part 6 of the document POCL Policy on Competency Testing, reference BP/PRD/006. 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 managérs, subpostmasters
and 1.0 day for counter 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 the document POCL Policy on Competency Testing, reference BP/PRD/006.
The method used to achieve this is defined in the document Training Development and Sign-
Off, reference IM/PRO/134
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
Where it is necessary to cancel a training event, POCL will use all reasonable endeavours to
notify the Contractor of such cancellation four weeks prior to commencement of the event
except for the following course types:
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- Counter Managers
- Counter Assistants
- ECCO+ Counter Assistants
where POCL will use all reasonable endeavours to notify the Contractor of the cancellation
two weeks prior to commencement of the event. Notwithstanding this, 48 hours notice of
cancellation of a training event must be provided for a minimum of 98% of cases. The same
periods of notice will apply if the Contractor cancels a training event with notification of an
alternative date.
The Contractor shal! not cancel more than 2% of the scheduled courses in accordance with the
implementation Rol!-Out plan. However if an installation is cancelled due to POCL changes
then this is the responsibility of POCL and should not be included in the 2% targeted for the
Contractor, 7
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 aliernative
is required.
3.5 ° Data Accuracy and integrity
There will be no reduction in system performance as a result of training mode being used.
Training mode will be used in the same way as live mode with the exception of "training"
stock data.
Tt is the Contractor's responsibility to ensure there’ are no factual errors at the time of
acceptance and release.
3.6 Competence tevels
Matrices defining the areas of competency testing for different groups of staff are set out in
part 6 of the document POCL Policy on Compeiency Testing, reference BP/PRD/006. The
method used’ for competency tests is based on these training matrices and is defined in the
‘document Training Development and Sign-Off, reference [M/PRO/134. 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.
Matrices defining the areas of competency testing for different groups of staff are set out in
part 6 of the document POCL Policy on Competency Testing, reference BP/PRD/006. The
method used for competency tests is based on these training matrices aid is defined in the
document Training Development and Sign-Off, reference IM/PRO/134. The Contractor has
the responsibility to meet level 1 of the standard Kirkpatrick model. This wiil 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
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Matrices defining the areas of competency testing for different groups of staff are set out in
part 6 of the document POCL Policy on Competency Testing, reference BP/PRD/006. The
method used for competency tests is based on these training matrices and is defined in the
document Training Development and Sign-Off, reference IM/PRO/134. It is POCL’s
responsibility to provide written permission from franchise Outlets that assessments can be
carried out on their staff.
For POCL staff, subpostmasters and assistants [CL Pathway wil! 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 manne to a nominated contact. These will be
distributed within 5 working days for each Region at the end of cach 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 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 wecks prior to the proposed training event. It is also the Contractor's
tesponsibility to confirm attendance in writing at least I week prior to the training event. This
is detailed in ICL Pathway’s Training Scheduling and Minimum Training Compliance
document reference [M/REQ/014.
5. Monitoring Training Services
Monitoring of training services will be carried out as part of the implementation pri
In order to support such monitoring, the Contractor will supply training information to POCL
as specified in the document Standard Reports and Formats, reference SU/REP/021 or where
appropriate in the Service Review Book which is a Working Document.
6 Training Review Meetings
It is the Contractor's responsibility to hold regular management meetings to review progress
and performance. These will be held fortnightly unless agreed otherwise.
Regular review meetings regarding implementation should be the respons! ibility 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. .
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Issues or actions which fai! to be rectified will be handled as specified in the document ICL
Pathway User Implementation Escalation and Management, reference IM/PRD/056. t
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.
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 io 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 ail Customers, POCL employees, Agents and their staff.
Reference No 921
Pathway Response
1 The Pathway solution for OPS wil! 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 thé facility, the
following actions may be taken :- .
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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.
. 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 jogged-out any authorised user may then use that terminal.
All the above events will be written to the journal. 7
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 60¢B(A) when measured at a distance of I metre and in accordance
with ISO 7779.
Pathway Comment
None
Reference No 925
Pathway Response
None
Pathway Comment
None
Reference No 926
Pathway Response
1. The content of the Roll Out plan is set out in High Level Counter Infrastructure Roll
Out Strategy, IM/STR/025. Any changes to this would be made using the Change Contro]
Procedure but POCL shal! not unreasonably withhold consent to such changes 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. .
3. Operational change procedures shall be defined for the Rollout programme, which
should embrace any expected change to service aspects.
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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
The Contractor ‘will comply with all its obligations related to data protection specified in
Schedule A02.
Reference No 941
Pathway Response
The Rol! Out plan is specified in High Level Counter Infrastructure Roll Out Strategy,
IM/STR/025.
Pathway will treat Northem Ircland as 4 discrete arca for the purpose of rollout.”
Pathway Comment
None
Reference No 945
Pathway Response
None.
Pathway Comment
During the Roll Out 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.
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Reference No 949
Pathway Response
Pathway confirms that it is able to provide a complete training service if required during Roll
Out, but it shall not provide training services for NBS or PIN Pads other’ than specific
obligations in the N Schedules and Schedule G12. For Roll Out, 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
The requirement as stated is very vague and the scope as stated may be greater than was really
intended. Prices are not being included within 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 seif contained, although probably referencing other documents to provide
further levels of detail. Pathway affirms that the level of detail within the document wiil 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
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Pathway Response
Pathway will provide the solution as specified in the “Security Functional Specification”.
Pathway Comment
None
Reference No 953
Pathway Response
1 The Pathway solution to OPS supports concurrent access to its POCL 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 format of back office reports is specified in ‘Horizon OPS Reports and Receipts -
ICL Pathway Horizon Office Platform Service’, SD/DES/005.
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:
transport of ESNCS-created data transfers and associated information (e.g. refetence 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 (e.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
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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 will agree a Service Level Agreement with DSS prior to service commencement.
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 fonns .
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
teversed 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, retricval and processing facilities.
5. Automated Payments will be supported as currently.
Zero-value transactions will be designed as services and products in their own night with. the
normal controls, data flows and interfaces to extemal 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
The strategy and timetable by which Pathway will provide a single stream of unreconciled
data to POCL’s AP Clients (unless AP Clients already receive multiple streams from POCL)
is described in the AP Client Migration Strategy (IM/STR/O18).
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Pathway Comment
None
Reference No 972
Pathway Response
Pathway will develop a Roll Out 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 wiil take place in the second
haif of the overall! timetable.
Pathway Comment
None
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 sipporting 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.
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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 ali losses sustained by Pathway including lost
revenues and additional operational costs.
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 I None :
467 None.
468 None
I 469 A co-operative role in the final'review stages of the documentation
470 _I A co-operative role in the final review stages of the documentation
1471 1, Agreement as to the scope of the Broadcast facility (including message types and
I expected usage) such that agreed technical and cost boundaries can be defined.
I 2. Agreement to the development of an electronic information strategy.
i 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
. I 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 I
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 :
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 1. Agree the method.
2. Agree the data file.
479 1. Specification of the authorised computer systems to which TMS can connect
2. Agree a period of notice. :
480 None
481 None
482 None
484 I None
485° I None
486 I POCL is responsible for the agreeing of the documentation review process and adherence to
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Ref.__I POCL Obligation
the agreed timescales for review.
487 None
488 1. POCL shall provide a nominated person at each site who can accept the installation
works, in accordance with the roll-out schedule.
489 POCL is responsible for defining a site to where the existing automated equipment will be
taken.
490 None
491 POCL will facilitate the planning permission process. A process willbe agreed to cover
cases where planning permission cannot be agreed.
492 None
493 None
494 None
495 I POCL shall be responsible for the initial identification of all outlets to which the OPS shall
I be installed.
496 I None
;497 + POCL is responsible for identification of all sites and Nominated Person so that Pathway
I may discuss with them their requirements for each installation.
498 POCL wiil provide personnel who understand the existing-systems and manual processes
{and can work closely with Pathway to plan how to achieve effective migration.
499 I None.
500 I POCL will facilitate the planning permission process. A process will be agreed to cover
cases where planning permission cannot be agreed.
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 shail provide post masters who can agree the works required to their own site for
I which they are responsible for, and who will co-operate with the Contractor during the
I installation activities.
504 POCL is responsible for supplying details of existing equipment so that it may be assessed
for future utilisation.
507 POCL is responsible for the timely identification of peak times where roll-out to outlets
may not be undertaken (e.g. Christmas etc.)
[508 I POCL will agree a process. :
509 I 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 None
Slt 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.
312 POCL will agree a process.
313 None.
314 POCL will agree a process for deciding whether an office goes live.
516 POCL will agree a process.
517 None
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Ref. I POCL Obligation
518 None
519 POCL is responsible for the forecast of probable future potential requirement for additional
counter positions.
520 None
521 None
522 None
523. I POCL will agree the operation of systems interfaces between Pathway and POCL and their
clients.
524 POCL agrees to supply details of the type of call which is presently experienced on their
own help desks
325 POCL will agree a process for ordering adequate consumable materials where appropriate.
526 None
527 None
528 None
529 POCL will agrée'the behavioural standards
530 None
531 POCL will agree the competenc: standards:
532 POCL will make appropriate staff available.
533 None
534 None .
336 1. Reasonabie 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.
38 None
539 1. POCL shail provide and maintain a specification of all externally.provided reference
dara.
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.
540 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 .
34] 1. POCL will provide information on forecast changes to business volumes within current
or new POCL Services.
2. POCL should adopt a flexibie 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 POCE 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.
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Ref.__I POCL Obligation
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 under IPR arrangements by POCL or its agents.
544
Agree 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
un
z
a
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
Agree 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.
347
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 POCL Automated: Payments
Generic Rules and Token technology specifications.
Will discuss with Pathway any modifications to POCL counter and backofiice procedures
necessary for the proper operation of the required POCL Services by POCL staff or agents
Will use al! reasonable endeavours to ensure that agreed office and counter procedures are
followed in their affect upon the operation of the Patiway services
Agree with Pathway the implications of rules defined in the POCL Automated Payments.
Generic Rules and Token technology specifications
General obligations on agreeing and following counter procedures
POCL shall provide access to token specifications and facilitate access to appropriate
sofiware algorithms in a timely manner to facilitate the Pathway development (as in Req
Ref 543) and agree the rules defined in the POCL Automated Payments Generic Rules and
Token technology specifications (as in Req Ref 547)
Agree the scope and details of APS information retrieval services required at the Outlet
To agree the implications of rules defined in the POCL Automated Payments Generic Rules
and Token technology specifications
To agree the implications of rules defined in the POCL Automated Payments Generic Rules
and Token technology specifications
The AP client specification should include action(s) to be taken in the event of non-
availability of the Client system or interface to it
POCL shall agree with Pathway the fallback approach.
1, Co-operation in agreeing the barcode standards to be used (read or printed) for each
service.
2. Co-operation tn 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.
I 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.
}
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1
i .
2. provide example pre-printed stationery
3. provide filled in examples of existing reports
Ref, I POCL Obligation
537 1. POCL shall give reasonable notice of any future service requirements that may require
additional OPS equipment. I
2. POCL shail co-operate with Pathway in any equipment assessment and selection process.
3. POCL shal! 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 I
the associated technical specification. I
5. POCL shall give a firm statement on the requirement for 2-D barcode reading and the '
associated technical specification, I
538 Regular review of expected and actual business Volumes for current and future POCL
Services. _ _
359 2. POCL will agree a process under change control for adding functionality. I
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 I
operational or Service delivery commitments. {
2. POCL will constructively contribute to any discussions that Pathway may initiate
concerning technology refresh.
561 None
691 I POCL Shall: ‘
1. Define the denominations of all items receivable/returnable
2. Define the format of the consignment note
692 1. specify the allowable methods of payment for each product/service offered.
2. Indicate which transactions should be committed on completion (independent of the
I 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
5. Indicate if and when cashback will be supported
6. Describe the mechanism for selection/appointment of Merchant Acquirer
693 1. Agree format of all receipts.
2. indicate which transactions will automatically produce a receipt
694 _I None :
695 POCL Shail:
. Agree format of all reports.
I 696 None i
697 If 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.
I 3. Incident reporting (joint responsibility dependent on area of responsibility).
I 4. To take all reasonable steps to prevent privileged Pathway information being released.
I 5. To take all reasonable steps to protect access to the Pathway System via their dedicated
access
699 1. Agree the content of the audit trail
2..Agre€ the procedures for identification of POCL staff initiating transactions in the POCL
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I Ref.
POCL Obligation
Service, - POCL Counter Staff for counter transactions
799 IAgree with Pathway the procedure for token issue, including any client interfacing
requirements and technical specifications
800 None
801 1. 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 1. identify by denomination the products which are considered to be cash or value stock
803 I POCE Shall:
i. 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 reversibility.
805 1. 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 __I Specify whether the system will be operated across different time zones
807 I POCL Shall:
1. identify the items by denomination that can be wansferred between stock units.
808 I POCL Shall:
1, identify the items that will be reconciled by individual serial number.
809 None
810 I POCL Shall:
L. identify all of the transactions that should allow “rate shopping”.
Bll 1. Provide a complete set of definitions for existing products
2. Provide definitions of new products sufficiently in advance of their live availability
{ requirement
{812 Provide the ruies regarding the reversibility of each transaction
813 Identify which products can be revalued
814 Agree 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 1. Identify discounts applicable to existing products
2. Specify their discounting strategy and the products affected
818 I Agree the format and content of Reference Data transmitted from POCL.
819 I POCL Shall:
I I 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 POCL Shall:
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POCL Obligation
1. Follow the fallback and recovery procedures agreed with Pathway.
POCL Shail:
1. provide timely information describing each local
tegions, areas and offices affected.
ness scheme and identifying the
1. Agree the format and content of reference data transmitted to and from SAP/ADS I
2. Identify the precise products whose movements are controlled by the SAP/ADS
None
I. Provide full details of rules and tariffs invoived in mails services
2. Specify the level of data capture associated with added value mails services
POCL Shall:
L, identify the business and data relationships between the “linked” products.
L. Advance notice of any requirement of POCL to introduce a new peripheral into OPS.
2. Assist in the development of an impact assessment fesulting from. any new equipment
covering current service provision, Pathway/POCL liabilities, procedural changes and any
resultant costs." :
1. 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 norma! retention period for the relevant information; currently 12
months in the case of physical evidence (e.g. receipts).
1. 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.
Agree change control mechanisms for contingency ~
7. Agree review and problem resolution processes associated with management of
contingency invocation
#S
POCE shall:
1. Place the POCL Interface Requirements for the BA/POCL System document under joint
change control.
. Discuss the implications of extensions to this functionality.
Agree to the specific applications of the ARTS mode!
. Agree the operating timetable for LFS
. Agree the operating timetable for TIP.
Assist in the agreement of operating timetables for POCL Clients.
7. Assist in the agreement of interfaces for POCL Client Authorisation Requests,
I Confirmations/Exceptions, Authorisations and Client- specific reference data.
I 8. None
11. Agree the transition of traffic from APT host to AP ciient hosts.
12. Agree outiet arrangements for cash account production
13. None
sup
aw
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14. Agree a development strategy and timetable for the LFS application.
15. None
16, None
17_None
All faults must be reported to the Horizon System Helpdesk
I None
I POCL Shall:
ji. Agree with Pathway an approach to migrating business data for all classes of oftice
curing roll-out.
None
None
1. define the format and content tof all reports 2. Identify the frequency of production of
each report
POCL Shall:
L. identify the transactions / products which will support post-event entry: -of information
POCL Shall:
L. identify all items by denomination that make up the retail stock.
869
1, 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
None
871
None
880
Agreement 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
committed AP transactions are transferred to POCL and Clients.
2. POCL shail agree with its AP clients and Pathway the operational characteristics of such
successful transaction transfers shall be measured
{. POCL shail agree with. Pathway the technical details of the interfaces by which.
transfer processes, including time windows and the procedures by which demonsirability of } .
891
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 POCL
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 appropniate, agree interface integrity controls with Pathway
5. co-operate with Pathway in seeking explanations for reconciliation exceptions
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POCL Obligation
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
Agree the arrangements for MIS reports and POCL control mechanisms.
1. Agree frequency of Review meetings
2. Agree content of inputs
3. Agree reporting periods
4, Agree arrangements for exception reporti
5. Agree the procedure for arranging “ad hoc” meetings
6. Agree the list of reports that will be required
7. Specify data requirements to enabie-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.c./ fax/EIS access/paper/floppy disk/other
11. Customer to provide and agree MIS reporting requirements
895 L. Agree irregular encashment information.
2. POCL must inform Pathway of any exception event occurring in a Post Office
896 POCL 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 Agree the service levels and-methods of data transfer to/from the DSS ESNCS system.
900 Provision and discussioa of the ESNCS interface document referred to above.
901 None
902 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, None
906 None
911 I POCL shall:
I Agree the transition arrangements through a change control procedure.
I me will agree a change control procedure.
912 . POCL to agree a schedule for the electrical safety test service, commensurate with the
nos office roll-out timetable.
2. POCL to facilitate and promote the importance of this s 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.
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913 I POCL is responsible for the definition of the documentation agree a process and adherence
to the agreed timescales for review.
POCL will copy and distribute the paper copies of the manual to the appropriate users.
914 I None
915 i. 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.
changes and any resultant costs.
2. Co-operation in the development of an impact assessment resulting from any new
equipment covering current service provision, Pathway/POCL liabilities, procedural
922 None
925 None
926 POCL 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;
c) process of change;
d) expected change frequency:
938 None
941 1. Refer to the Project Plan.
2. Agree the frequency and format of the installation acceptance reports.
945 1. 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 Roll-out.
“Regional Liaison Manager’.
2. POCL shall define and agree with the Contractor the role and interface with the
949
1. 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.
training plans and training courses.
3. To identify the training requirements in sufficient time to allow the preparation.of
951 POCL shall:
those of other parties, where these affect Pathway.
Give timely notification of changes in the interfaces of their systems and, where possible,
952 None
953 None
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Ref. POCL Obligation
956 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.
I Aid agreement as principal with Pathway in the event that Pathway and DSS’s agents
cannot agree on technical and operational process.
960 Identify the precise events that should be recorded as zero-value transactions for all
products/services but particularly for APS.
971 POCL 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 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:
Agree test specifications,” schedules and reports for replacement or supplementary POCL
Services.
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SCHEDULE Al7- CCNS
1.2: First draft of revised purpose schedule - hence
not compared to version 1.0 :
1.2b Removing of CCN441b, CCN473c, CCN490;
Amending CCN202, CCN492
1.2¢ Added in 391c (omitted previously) plus null list
of CRs to conform to clause drafting
1.2d Adding in CCN490 to ensure it is not lost due to
clause 810.10.4 :
1.2 Baseline copy of 1.2d 8 February 2000
13a Adding those CCNs that form baseline 1.3
1.3 Baseline copy of 13a 30 March 2000
L.4a Adding those CCNs that form baseline 1.4
1.4b Adding in omitted CCNs 618, 629a and 639
L4 Baseline copy of 1.4b 25 July 2000
2.0a Adding those CCNs that form baseline 2.0
2.0 Baseline of 2.0a 12 January 2001
3.0a Adding those CCNs that form baseline 3.0
3.0b Adding a version ‘b’ to CCN 733 which had
been omitted =
3.0 Baseline copy of 3.0b 19 September 2001
4.0a Initial draft for Network Banking
4.0 To Introduce Network banking Service 24 June 2002
1.
The CCNs to which Clause 810.10 applies are as follows:
CCN CCN Title
No.
008Id_I Electronic Cash Account
0201 Minor Changes to Reference Data
0202b_I D104 Weigh Scales Connection
0215b_I Approval of SADD V4.0
0228b_I Reference Data to AIS version 3.3
0229a I Reference data to Pathway AIS physical filename
0239a_I Clarification of Requirement 493
0245c_I Definition of “Working Documents”
0259d_I.CSR Service Levels
0261a_I Agreement of AP Client Take On Process-
0262 General Security Contingency plans
0263a_I Detailed format for all interfaces
0264 Interface Integrity controls
0268a_I Introduction of Safeguard Virtual Private networks
0277b_I Pathway to TIP AIS update to version 5.3
0280
Implementation - SLA: Operational Systems Help Desk
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CODIFIED AGREEMENT. SCHEDULE Al7 RESTRICTED CONTRACTS
CCN CCN Title
No.
0281 Implementation - SLA: Operational Systems Help Desk
0284 I Measurement of Printer Times
0286d_I Details of training courses
0288 Modify password expiry parameter in OPS
0289 I APS Data Capture
0290a_I POCL Interfaces
0292 Benefit Payment Service - OPS Interface: ESNCS to OBCS - (A2A
Ref Id: R956-3)
0297 War Pensions Order Books Being Amended
0301 APS Watercard Smart Product
0302. I APS Quantum Smart Product
0304a I Flat Pane! Display Monitors (Flat Screens)
0310a_I Document to define APS Client Baseline
0311¢ I Counter Hardware Design Specification
0312a_I Introduce references to POCL HAPS into Related Agreements
0313a_I HAPS Disaster Recovery proposal .
0323a_I Introduction of Revised CCD and CRD list
0333a_I Amend APS Client Baseline
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 __I AP Client Specifications
0353 __I 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
0376 British Gas Trading Simple Payment Module Smart Product
0377 Interim Type B Fallback Specification :
0378 EPOSS Acceptance Specification
0379 Help Desk Acceptance Specification Version 2.0
0380 __I Reconciliation Acceptance Specification
0381 Rollout Acceptance Specification
0382 _I End-to-End Service Acceptance
0383 _I Schedule C3 Acceptance Specification -
0384a I Introduce Installation Strategy, IM/STR/026 as a Contract Controlled
Document ~
(A2A Ref ID: R489, R501, $489-1)
0386 Number of Counter Positions (A2A Ref Id:R945-1)
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CCN CCN Title
No.
0387 ESNCS - Restate Full Stops and Recalls List
(A2A Ref-Id R9S6-1)
0388 Policies and Standards Acceptance Specification}
9391c_I Introduction of Version 6.0 of Horizon OPS Reports and Reccipts
0395 APS Receipt - Client and Scheme Name
0399a_I Removal of references to costing in R915
0400 _I To Introduce the POCL Reference Data Interface A-Spec. as CCD
0405a_I Amendment of $507 to Reference CCD for Definition of Xmas Period
0407 __I OPS Technology Refresh (A2A R560)
0411a_I British Gas Trading Simple Payment Module Smart Product
0415 Introduction of 1999/2000 Cash Account
0417 APS Key Management (A2A $952-2)
0419 Appearance of the OPS Equipment(A2A Ref.Id:R465/S465-1)
0420 _I OPS Interface ESNCS to OBCS (A2A Ref Id: R956-2)
0423a_I Audit Trail (A2A R699, $699-1, S699-2, S699-3)
0426 Revision to Office Weekly Suspense Account Report
0427 __I Client Report Upgrade to 1999/2000 Specification
0428b I Update Contract Controlled List to Introduce New Versions of and
Additional Interface Specifications
0429a I 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_I Acceptance Incidents Raised by the Contractor
0433b_I Introduction to POCL of the Euro
0434b I 1999/2000 Horizon Cash Account Format - to AHow ICL Pathway to
Update the Horizon Cash Account Report to Comply with Revised
Layout and Presentation
0436 _I Siemens meter security
0437 Extension of training. window to 10 days for Branch Offices in Live
Trial
0444 I Horizon OPS Reports and Receipts (A2As)
0448 Introduce New Version of DSS Client Interface Specification/OBCS
0453 Supply of Consumables. (A2A Ref Id:S466-1)
0458 I To Introduce the POCL Infrastructure Acceptance Specification as a
Contract Controlled Document
0462 _I Introduce the Security Functional Specification V4.0 as a CCD
0464b__I Introduction of AP Client Migration Strategy as a CCD
0465 Introduce the Security Policy Version 4.0 as a CCD.
0466 _I Full Automation of the Cash Account Type B Feed to Pathway
0470! To Link a POCL Financial Year with a set of reports :
0471 I Restricted Functionality at Outlets (A2A $473-1)
0472__I Change to Requirement 818/3
0474 , Introduce Document “Removal Of Existing Customers From The
I Card Scheme” as a Contract Controlled Document
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CCN CCN Title
No.
0475 Live Trial Enhancement I - Validate the Office Brought Forward
Figure at Migration
0476 Live Trial Enhancement 2 - Stock Declaration Process for Shared
Stock Units to become Optional
0477 I 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 = ‘I Live Trial I Enhancement 9 - Stamp Declaration by Volume Rather than
Value
0482 Live Trial Enhancement 10-- Remove the Office Balance Process
0483 Introduction of the NR2 Processes and Procedures Description (PPD)
Documents as Contract Controlled Documents
0484 I Introduction of Additional Copy of TMS Layer Following Loss of
Single Data Centre
0487b I Increase the-5 day training-window to 10 Tinsl in ECCO+ offices
0489 Change of POCL Registered Address.
0490 Intro. of the Horizon Office Platform Service Style Guide as a CCD
0491 To baseline TIP AIS V5.6
0492a I Introduce Document “ICL Pathway Core Systems Release Contents
Description” as aCCD
0494 Introduce Testing Strategy Documents as CCDs (A2A Ref Id: $925-1)
0497 Resolution of A2A PFOI-2 (A2A Ref Id: PFO1-3)
0499 Benchmark Counter Transaction Times
0500 Reset the Horizon Configurable Parameters:. Session Inactivity
Timeout and Forced Logout Timeout :
0503 Introduce “ICL Pathway Core System Release Plus Contents
Description” as a CCD
0507 Resolution of Group 20 A2As
0509 “I Counter Transaction Performance Measurement Benchmarking
0512a_I Operational Business Change - Outlet
0513a_I Requirement 890 (APS Reconciliation)
0515 Charge to Schedule K03_.
0516a_I Introduce “Pathway to SPM AIS” as a aCCD
0519a_I HFSO Course Amendment
0520a_I HFSO Course Amendment _-
0521a_I HFSO Refresher Course
0522 Change to Bar Code on War Pension Books
0524 To Baseline TIP AIS V5.7
0525 Documentation IPR
0526 Change to LFS Data Retention - Advice Notes
I Introduction of LES Bar Codes Document
ics Frat
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CCN CCN Title
No.
0528 Introduction of LFS Data Retention Document
0529a_I Introduction of the Inventory Item Specification
0530 To introduce LFS User Roles and Access Permissions
053La_I Introduction of LFS AIS
0532 Introduction of LFS Reports and Receipts
0533 __I Change of ICL Pathway Limited Registered Address
0535 DSS Client Interface Specification / OBCS v 3a
0536a_I Support of Millennium Weekend Horizon Operational Health
0538a_I Provision of System Busy Warming
0540 Removal of Satellite Office Requirement
0546 Introduce NR2 EPOSS PPD V3.0.
0550a_I Supplemental Agreement
0560 __I This Second Supplemental Agreement
0561 This Side Agreement
0562 In support of the Second Supplementai Agreement
413b Invoice Design (A2A Ref Id: A10) . :
435d Introduce “APS Host Operational Reconciliation Reports for CSR+”
as a Contract Controlled Document
441b Introduction of Network Business Support Centre - Live Trial
467b SADD (A2As)
473c Facilitate POCL Management of Products using Item Transaction
Mode
486c Business Continuity (A2A $830-1)
490 Introduction of the Horizon Office Platform Service Style Guide
(SD/STD/001 V2.0) as a Contract Controlled Document
493a TMS Facilities A2A (A2A Ref Id: $478-2) .
495e The Production of the Counter Procedures and the Horizon System
User Guide at CSR.
496c Reference Data TMS Agent — Receipt of Daily File (A2A Ref Id:
PGOL-8)
498c To Introduce New Version of Release Policy as CCD
506a Reference Data A2As (A2A Ref Id: $539-1, $539-2, $539-3)
508a__I Rol! Out Strategy
510b I Removal of DSS and BPC Content for Training Documentation
$17a Introduce “User Satisfaction Measurement in Implementation - ICL
Pathway Measures” as a CCD (A2A Ref Id: G06-4, G06-5, G06-6,
$502-1, $503-L, SS11-1)
18b I APS Client Connection Service Description
523a Introduce Version 5.0 of the Counter Infrastructure Rollout Strategy
39a Introduce a new version of the Pathway to HAPS Interface
Specification as a CCD .
Change of RNM Training from CM Course to HFSO Course
545 MiMAN & MiECCO Upgrade to support the migration of matched
I quantities of Postal Orders and fees
547 Modify LFS Pouch Delivery Receipt
wa
b
3B
s
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CODIFIED AGREEMENT SCHEDULE Al7 RESTRICTED CONTRACTS
CCN CCN Title
No.
548 Change to Content of the LFS User Roles and Access Permissions
Document
549 Remove Pathway’s obligation to evaluate training levels 3&4 of
Kirkpatrick
551 Remove Requirement for an Operational Timetable from the LFS
Contract Schedule K03
552 To introduce the LFS Business Contingencies Document as a CCD
553a Update and Introduce as Contract Controlled, the Benchmark Counter
Transaction Time Documents
554a. Introduction of Non-Value Stock Reports
555 Change Schedule 4 Part A of Second Supplementary [sic] Agreement
(section 2)
556a To Introduce Inland Revenue Order Books into OBCS
557b Changes Resulting from Second Enhancement Workshop on 26" July
1999 (Enhancement Nos. 06, 09, 23, 26, 31, 53.61)
558b Amend APS Client Baseline
563b Introduction Of A New Version Of The Reference Data To Pathway
Type A AIS For CSR+
564a Introduction Of A New Version Of The Reference Data To Pathway
Type B Data Application Interface Specification (AIS) For CSR+
565 Rollout Replan Based Upon RNM Clusters And Early Migration Of
ECCO Outlets
566a Change to the Application of the 5 Day Training Window
568d Alteration to Pricing of Training Courses
570a Epson Stylus 200 Replacemen’/POCL Consumables Price Revision
371. I Amending the Codified Agreement
572 Amending the Second Supplemental Agreement
573 Girobank PDR Report - Suppression of Reversal Transactions
574 Girobank PDR Report - Reporting of Cash Account Period
375 Girobank PDR Report - Removal of 'By User’ Option for Shared Stock
Units
576 Introduce New Change Control Note Version and Update Codified
Agreement
577. Remove Signature and Date Stamp Features from Stock Unit Balance
Snapshot Report
578 Ring-fencing Dummy product Codes Used by Pathway
579 Amend the POCL Regional Helpline Number
580a Introduce A Cash Account Format For Financial Year 2000/2001
581 TMS Messaging Switching
582 Revision of Formal POCL Contract Point and ICL Pathway Contact
Telephone Numbers
583 Introduce Two New Girobank Pdrs
584 Ongoing Supply of POCL Consumables
585 Implementation Of Changes To Allow Rollout To Be Scheduled By
RNM Clusters And Also To Ensure Early Migration Of ECCO And
Alps Outlets.
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CCN CCN Title
No.
586 Introduction Of The Euro Within Horizon - Request For A Paid Study
587 Introduction of Version 7.0 of Horizon OPS Reports and Receipts -
Pathway Horizon Office Platform Service, SD/DES/005
588a I Introduce Document “Pathway to Client Standard Mageard/Barcode
Application Interface Specification” as a CCD
589a A2A $514-1 — OPS Acceptance Criteria
590a__ I A2A GOI-10
591 A2A GO1-2
592 A2A GO1-3b
593 A2A L02
594 POCL Disaster Recovery Position for the Live Gateway at [Tuthwaite
595 To Introduce Pathway To Post Office Technical interface
Specification As A CCD
596a Residual Training A2As
(A2A Refs: R531, R91S-1, R9LS-2, R915-4, ROIS- 6, S915-2, S915-4,
$915-5, 915-6, $915-7, S915-8, S91 5-9, S915-12, S915-13,
$915-14, $915-15)
597 Resolving Requirements to Agree OBCS File Delivery Time
598a I Relinquish CS/PRO/013 Pathway Customer Service PPD Structure
and Review Method as a Contract Controlled Document
599 Introduce CS/PRO/021 NR2 Electronic Point of Sale Service:
Processes and Procedures Description version 4.0 as a Contract
Controlled Document
600 Third Supplemental Agreement
601b I Introduction of M Stares as Managing Director of ICL Pathway.and
I Authorised Signatory, R Christou as Chairman of ICL Pathway Board
Land Update of Schedule 14
602a Create Additional Training Data For CSR+ (Training Counter &
Training Mode)
603a I Amendment to the Internal POCL RDS Reference Data Versioning
Implementation
604 Remittance of Non-Value Stock in ADC modes (ROAD and RIAD)
606. Correction of Codification Error re. Cash Account
607a Introduce the LFS Business Process Diagrams as a Contract
Controlled Document
608a Changes to Contract Controlled Documents to allow for 16 Week
Training Cycle in the Installation Phase of NRO
609 Establishing a new baseline set of the Codified Agreement
610 APS to Pathway CQO AIS Clarification
6ll Modify Pathway to SPM Application Interface Specification
612 Codified Agreement Schedule A12 Price Adjustments for 2000
613 Specify Limits for Collections
614b LFS Pick List Ordering
615 Amendment To The File Naming Convention Used For Reference
Data Files Passed By POCL To Pathway
Revision to Schedule A04 ~ Contact Management
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CCN CCN Title
No.
61s Provide A Proposal To Specify A DR Option For The Generic AP
Client Technical Interface
619 Revision to configuration limits
621 Modify Pathway to HAPS Application Interface Specification
622a Horizon Office platform Service Style Guide (SD/STD/001) Version
3.0 Appendix D - document agreed words
623 Change SPM Token [ID From SPMO1 To SPM02. Update Associated
Documentation,
624 Electronic Link between NBSC and HSH
626 Amend AP Client Baseline
627 Additional Training Data For All POCL Counter Training Office
Training Systems
628a Additional Validation Functionality For Quantum Smart Cards
629a Relocation of-the ICL.Pathway to HAPS Gateway Servers
630 Update of PPDs with Changes to Powerhelp Call References
63la Amendment To Parcel Traffic Input To Reduce Table 12 Errors
632b__I Introduce Mobile Configurations
633b Introduce Satellite Communications Access Method
634 Update To POCL Ordering Points And POCL Deputy For CCN
Approval
635 Introduce Document “Pathway to Client Standard Watercard
Application Interface Specification” as a CCD ~
636 Establishing A Baseline Set Of The Codified Agreement As At
: 31/1/2000
637 Introduce Document “Pathway to Client Type ‘G’ Magcard/Barcode
Application Interface Specification” as a CCD
638a Introduce Implementation Documents as CCDs (A2A - Side
Agreement to Second Supplemental, clause 4)
639 Introduce Automated Payments Client Specification for Hampshire
CC asa CCD _ :
64la Disaster Recovery Provision For The Live Gateway At Huthwaite
642 Introduce Automated Payments Client Specifications for Mid Kent
Water as a CCD
643 Introduce Document “Pathway to HAPS Application Interface
Specification” version 5.0 as aCCD.
644 Introduce Document “APS Host Operational Reconciliation Reports
for CSR+" version 4.0 as a CCD.
645 ICL Pathway Deputy for CCN Approval
646 Change to “A Point Of Sale Supporting The Quantum Application
Utilising The POCL Secure DLL” to support legacy functionality.”
647 Introduce Document “Pathway To CQO Application Interface
Specification” version 4.0 As A CCD
648 Introduce Document “Pathway To SPM Application Specification”
Version 2.0 As A CCD .
649a Network Banking Project - Business Analysis Resources (Stage I)
Project ERA - systems analysis resource
Version 4.0
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CCN CCN Title
No.
653 To Change The Hampshire CC AP Client Specification To Include
Southampton CC
654 __I Introduce DVLNI into The AP Client Migration Programme
653a Changes to Schedule Al2 of the Codified Agreement
656 Barring Of Six Remittance Buttons To Facilitate LFS Reporting To
SAPADS
657b Update SD/STD/001 Horizon OPS Style Guide to include the Counter
Shutdown Button
658 To Introduce Document “Generalised API For OPSIMS™ as a CCD
659 Defining Post Office Network/PN in the Codified Agreement
660 Introduce Automated Payments Client Specification for Knowsley BC
as a CCD :
662 Network Banking Project - proof of concept
664a Project ERA - Additional Systems Analysis And Design Resources
665 Introduce Automated Payments Client Specification for Yorkshire
Electricity as a CCD.
666a LFS Coin Bag Remittance Information (Interim Solution)
668 Introduce Automated Payments Client Specification for Girobank as a
CCD
669a Reports and Receipts (SD/DES/005) Agreed Document-Only Changes
To Version 7.0
670 Amendment to Schedule Al2 to Support Recurring CCN Costs’
671 Schedule, Install and Migrate ECCO+ Outlets on a Wednesday
672 Introduce SD/STD/001 Horizon Office Platform Service Style Guide
Version 4.0 as a Contract Controlled Document
674 Add Provision for 7” Delegate at Training Events for Counter
Managers, Counter Assistants and Postal Officers
676 Tidy Shutdown
677 A2A $523-1
678 Change to Pathway to HAPS Application Interface
679b Introduce The Message Broadcast Service
681 Introduce Automated Payments Client Spec. For Oxfordshire Social
Services as a CCD
682 Introduce Automated Payments Client Specification for Hampshire
County Council incorporating Southampton City Council as a CCD
683 Desktop Usability Enhancements - Bleeps, Halos And Key Names On
Buttons
684 Establishing A Baseline Set Of The Codified Agreement As At
30/06/2000
685a Five or Six Day File Client Delivery
687 Sub-Licence For IcL Pathway To Use The Siemens Secure DLL
Software
688 Introduce Automated Payments Client Specification for Scottish and
Southem Energy as aCCD
689 Reinstatement of 30 Outlets On The Rodb, Previously Removed By
PON
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CCN CCN Title
No.
690 Re-introduce the CCD List asa CCD.
69la Revise The Allocation Of Training Courses In The Codified
Agreement
692a 7 Day Per Week LFS Schedules
693 Introduce SD/DES/005 Horizon OPS Reports and Receipts - Pathway
Horizon Office Platform Service V8.0 as a Contract Controlled
. Document
694 Provide Additional OBCS Event Details
696a Introduce Supplement to Addendum B of ICL Pathway Core System
Release Plus Contents Description as a CCD
697b Client File Batching and Client File Delivery
698 Change to “A Point of Sale Supporting the Quantum Application
Utilising the POCL Secure DLL” to Support Legacy Functionality
699 Network Banking Automation Project - Business and» Technical
Analysis. Resources for Preliminary Analysis Phase
700 Removal of Implementation Satisfaction Service Level
701 Amend APS Client Baseline
702a Change to TIP Application Interface Specification
703 - {ntroduce CSR+ Training Course Specifications as CCDs
04a Correcting References to the Counter Operations Manual in the
Codified Agreement
707 Change Of “Hot” Menu Icon
708 Introduce SD/STD/001 Horizon Office Platform Service Style Guide
version 5.0 as a Contract Controlled Document
709 Remove Pension & Allowance Group Numbers 1,2,3 And 8 From
OBCS
710 I To .Produce An Application Interface Specification For British
I Telecom
7 Change The ‘Pathway To Client Type’ G Magcard/Barcode
Application Interface Specification’ To Include Record Delimeters
7i7a__I PINICL Resolution Status for Release Authorisation Board for CSR+
718 Identification of “Exception Files” on the TIP Interface.
720 Project ERA - Additional Resources (30" October 2000 - 24"
November 2000)
714 Provide Business and Technical analysis resources for construction of
“_I PON Business Case
724 Introduce Automated Payments Client Specification for Northen
Ireland Electricity as a CCD
723 Introduce Service Introduction for LFS as a CCD
706a, Style Guide Amendment To Allow EPOSS “Receipt Printing” Tablet
712 Introduce Automated Payments Client ‘Specification for Welsh Water
asa CCD
725 Introduce Automated Payments Client Specification for SWALEC as
a CCD
652 Introduce New Version Of Schedule G06
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CCN CCN Title
No.
716 Make Office Snapshot and Office CAP available to auditors via the
reports menu and remove undefined option from event log menu
722 Mechanism To Vary The Mix Of Training Courses Within The Total;
Increase The Number Of Counter Assistant Courses And Introduce
New On-Site And Combined CA/CM Courses
731 To Introduce On-Site And Combined CA/CM Courses Into The
Horizon User Training Programme
713a Additional OBC Service to connect D104 letter scales to Horizon in
agency outlets
732 Introduce Automated Payments Client Specification for Royal and
Sun Alliance as a CCD
721 Prevent Training Reschedules And Revise Travelling And Training
Window Limits In Order To Reduce The Projected Shortfall In
Training Courses
457¢ Amendments to Solution Reference Number 914 (A24 Ref. Id: 914-1,
$914-1, 914-2, $914-2, $914-3, 914-4, 914-4 & S914-5)
727 Introduction of SADD Version 6.0 as a CCD
734 Project ERA - Additional Design and Consultancy Resources
728 identification of Stripped Return Files on the TPS/TIP Interface
729, Changes to Exception file Transmission Day Number on the TPS/TIP
interface
735 To support the HAPS Data cleansing test activities
736 Introduce Automated Payments Client Specification for’ Yorkshire
Electricity as a CCD.
737 Amend APS Client Baseline
705a Introduce CSR+ PPDs as Contract Controlled Documents
738 Add Invalid Care Allowance and Industrial & Injury Benefit to OBCS
739 Introduce Standard Life as an AP Client with a direct connection to
ICL Pathway
740 Talexus Pre‘CR/CCN Business Analysis
742 Quantum end to End Assurance Testing Cycle (revised timetable)
733b Introduce Automated Payments Client Specification for DVLNI as a
CCD
744 2001/2 Cash Account
743 Establishing A Baseline Set Of The Codified Agreement As AT
31/10/2000
741 Introduce SD/STD/001 Horizon Office Platform Service Style Guide
version 6.0 as a CCD
747 Network Banking Project - Pre-Production Version Of The
Productised Web Riposte Framework
751 Network Banking - Statement of Requirements
752 Network Banking - Early Infrastructure Work
749 Amend APS Client Baseline
757 Introduce Automated Payments Client Specification for Document
Processing Centre as a CCD
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CCN CCN Title
No.
756 Codified Agreement Schedule Al2 Price Adjustments for 2001
762 Integrated Planing Workshops
768 Change of Delivery Address for Horizon Invoices
767 GGP Plot - Provision of Technical Resource
753a Replacement Of Message EPOSS: Hard Message: Stock Unit
Rollover
745 Introduce Automated Payments Client Specification for Standard Life
as aCCD
755 Network Banking: Work Packages 1, 2, 3,5, 7a, 7b, 9, 10 and 11
764 GGP Horizon - Network Imegration (study)
765 GP Horizon Forms Printing (study)
772 Introduce Automated Payments Client Specification for TVL Legal &
Trade as a CCD
769 _I Alternative Collection Point-using APS
778 Addition of Debt Collection Data to the Quantum Product
77 GGP Forms Printing - Development and Integration
761 Changes to Annex I of Schedule A12 to the Codified Agreement
782 Initial Activities To Support The Introduction Of Talexus
754¢ Network Banking - System Requirements Specification
774 Order Book Control Service Enhancement
760 I Introduction of Version 5 of the Audit Trail Functional Specification
as a Contract Controlled Document
775 I Introduce SD/STD/001 Horizon Office Platform Service Style Guide
version 7.0 as a Contract Contro!led Document
776 Kiosks and related Software and Services for GGP Pilot Project
CCNs below added in this version of the schedule
800 Connection to Girobank Disaster Recovery site
807 Changes to AP Client take-on and Token Verification services
829 Network Banking SRS - CCN754c Extension
832 Introduce Quantrill as an APS Client with a Direct Interface to [CL
Pathway
$30a Changes To Codified Agreement, Schedule A04, Contract
Management
869b Introduce AON Ltd as an AP Client with a Direct Interface to ICL
Pathway : :
872 Introduce ESP as an APS Client with a Direct Interface to ICL
Pathway
895 introduce National Savings as an APS Client with a Direct Interface to
ICL Pathway
903 Amendments To Ordering, Invoicing And Payments
937 Introduce First Rate as an APS Client with a Direct Interface to ICL
Pathway
927a Codified Agreement Schedule Al2 Price Adjustments 2002
817 NBS Initial Activities
865a’_I NBS Initial Activities (2)
CCNs
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CCN CCN Title
No.
907 Instruction to order and/or procure PIN Pad Equipment
909a__I Instruction to Procure Data Centre Equipment
9l4a Instruction to Procure NBS Equipment
928b__I Retrospective NBS Services CCN
932 Data Centre Equipment Connection Authority.
934 Introduction of New User PEN Pad Installation
933 Pay Pole Design, Tooling and Moulding
936b_, I Instruction to procure Network Infrastructure Equipment
947. Network Infrastructure Equipment Connection Authority
959 Instruction to order and or procure PIN Pad Components.
967 Instruction to procure an Initial order of Paypoles
970a Instruction to procure NB Test Equipment and provide related services
971 Instruction to procure a further order of Paypoles
976a Instruction to procure PIN Pads and Additional Hardware Items
985 Update Post Office Ltd approval Authorities For The Joint Change
Control Board
2. There are no Change Requests to which Clause 810.10 applies.
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2.6 JUN 2002
CODIFIED AGREEMENT SCHEDULE BI
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SCHEDULE B01 - POCL SOFTWARE
2.0a Applying CCN687 to Section 2 i
2.0b Making text & format adjustments I
2.0 Baseline copy of 2.0b 12 January 2001
40 To Introduce Network Banking Service 21 June 2002
Table 1 below lists the Contractor's Software, Third Party Software and other
Software provided for operational use by POCL staff or their agents in accordance
with the applicable provisions of Clause 506.
The Software described below is licensed in accordance with ‘Part 5 of the Codified
Agreement.
Table 1: Software provided by the Contractor and Third Party Suppliers
Description and
Product Name
Scope & purpose
Class
Office Platform
Service
“Windows NT
Operating system
Third Party
Application
(PPF”)
inpayments using magnetic cards,
Smart Tokens and bar-coded paper
bills.
Workstation” (Microsoft)
I
“Riposte” I Riposte desktop, messaging and Third Party (An
_ journal systems Post/Escher)
APS counter { Counter Application to support Contractor
OBCS counter
Counter Application to support the
Third Party (An
office administration.
Application checking and subsequent Post/Escher)
(ESNS+") management of order books.
EPOSS counter and Counter functions to handle sale Contractor
administration and service transactions.
application Administration function to handle
(“PEF”) access control and counter and
Auditor access to
TMS
To provide auditor access to TMS
I Journal records
Third Party (An Post!
Escher) & Contractor
LFS Counter
I Counter application to support
Contractor
Application I inventory management processes
and, via EPOSS, the generation of
inventory management transactions
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SCHEDULE B1
CODIFIED AGREEMENT RESTRICTED CONTRACTS
WebRiposte An enhanced version of Riposte Right to use granted
additional services based
upon web-enabled functionality
to POCL in
accordance with
I Clause 506.13
Asset Manager
A component of Riposte providing
mechanisms for managing financial
information and accessing
transaction data
Right to use granted
to POCL in
accordance with
Clause 506.13
Framework
A bespoke set of software
components facilitating the
development of Horizon financial
I transactions ‘
I Right to use granted
to POCL in
accordance with
Clause 506.13
Hypercom PIN Pad
Software
The software used to support the
operation of PIN Pads as part of the
Third Party
I (Hypercom)
NBS.
“ESNS+”
“PPE” - Pathway Payment Facility
“PEF” - Pathway EPOS Facility
- Electronic Stop Notice System - Enhanced
Table 2 below lists the Software which POCL sub-licences to the Contractor in
accordance with Part 5 of the Codified Agreement.
Table 2: Software provided by POCL
Original supplier and
Software product name
Purpose and applicable
Service
Any additional
restrictions on the sub-
licence
Siemens Metering Ltd
Name: “SML Software”
I Version numbers for the
SML Software will
initially be agreed between
the parties and may be ©
Smart card security
capable of being executed
on a personal computer
operaling Windows 95 or
Windows NT
Automated Payments
Service for Quantum and
‘There is no right to modify
he Software.
jThe specific sub-licencing
terms and conditions I
including any further
restrictions are specified in
he Contract Controlled
amended from time to time ISPM smart cards Document
in accordance with the “Software Sub-licence for
Contract Controlled Smart Card Security
Document “Software Sub- Software” (ICL Pathway
licence for Smart Card reference AP/DOC/004)
Security Software” (ICL . -
; Pathway reference
AP/DOC/004).
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26 JUN 2002
SCHEDULE BO2
SCHEDULE B02- POCL HARDWARE
Version Reason for Change I Frozen/issue
Reference idate
14.0 New Schedule to introduce Network 20/06/02
I Banking Service __ . {
4.0 To Introduce Network Banking I 21/06/02
service
1. TITLE IN HARDWARE
L.L. Title in all Hardware ipplied as part of the POCL
Service Infrastructure shall (subject to any provision
to the contrary Schedule Gi2 in respect of PIN Pads)
remain in the Contractor.
1.2. Title in any element of Hardware supplied as an
Optional Product or an Additional Product shall vest
in POCcL on acceptance thereof and ¢£ payment
therefor accordance with the provisions of this
Codified Agreement.
1.3 Ownership of PIN Pads shall be as specified in Schedule
G12.
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 sh 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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CODIFIED AGREEMENT SCHEDULE BO3 RESTRICTED CONTRACTS
SCHEDULE B03 - DOCUMENTATION -
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline : . 28 July 1999
1.2a Applying CCN323a to 2
[12- Baseline copy of 12a 30 November 71999
40 I To Introduce Network Banking Service 21 June 2002
PURPOSE
14 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.
1.2 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 docurnent which shall be updated as agreed from time to time.
1.3 Not used.
1.4 Any copying in part or modification of the Documentation listed in this Schedule BO3 which
POCL is allowed to carry out under Clause 506.1 shall be solely to enable the presentation of
information to different groups of readers and shall not materiaily change or misrepresent the
meaning of information set ou: in the Documentation.
Documentation - i Version 4.0
RICTED CONTRACTS
2D AGREEMENT. SCHEDULE BO3
“45 The table below lists Documentation ir respect of which the Contractor grants 2 licence under °
Clause 506.1 to use, copy (in whole or part) and modify solely in connection with the ROCL
Services.
Reference Document References
SD/DES/005 [Horizon OPS Reports and Receipts - ICL Pathway [F01, R764, G01, NO1
Horizon Office Platform Service
SD/STDB/004 Horizon OPS Siyle Guide R475, R473, R898, G01,
HO1,AO2, N01, A15, A16
RS/FSP/001 Security Functional Specification R698, G01, G10, N01, A16
CR/FSP/004 Service Architecture Design Document R951, R480, R973, R736,
R869, R830, A071, G04
TMS Technical Documentation, including (without R470, R869
jlimitation):
la) Generalised API for OPS/TMS (TD/STD/004)
(excluding its Appendices, to the extent thet such use,
copying (in whole or in part) and/or mocification
thereof is requiated, restricted or prohibited by any
iconfidentiality restrictions in force from time to time
lpetween the parties); and
Ib) TMS Architecture Specification TD/ARC/029.
BP/TRN/OO1 Training and User Awareness Baseline Document 0+, F01, HO1, GOS
BP/DES/003 Counter Hardware Design Specification R469, GO1, NO1, A16
BP/PRO/003 \Post Office Site Failure Contingency Procedures R830, G01
Release Contents Description for each Release R476
PA/STR/O03 Pathway Release Folicy R476 i
Automated Payments Client Specifications R545, E0t {
ICS/SIP/002 Business Continuity Framework R830, NOS, A16
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i CODIFIED AGREEMENT
SCHEDULE B03
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RESTRICTED CONTRACTS
J
RS/POL/002 Patnway Security Policy R698, NO1
\ ’
! SUIDES/O03 [ORCS Access Service High Level Design jRESG
i
1 I — -
i CS/PRP/001 ‘Counter Transaction Performance - E08, FO8, HO8, NOS, A15.
/ Measurement and Benchmarking .
I
I — -
I CS/PRO/411 TPS Reconciliation and Incident Management elt
I PAVPER/O31 Horizon New Service Business Volumes NO1, NO2,A15, A16,
' I Clause 412
{ L
I CS/PRO/128 APS Reconciliation and Incident Management A16
[Pathway DN: reference to
this document has been
I addec to S891 at v4.0j]
I CS/SPE/011 Network Banking End to End Reconciliation NOt, NOB, A15, A168
Reporting
NB/PRO/002 Network Banking Reconciliation and Incident NO1, NO8, Ai6 ,
Management !
Reference to NBS Counier Transaction Times for Release BIS NOs - I .
be allocated
I
TD/ARC/030 OPS Architecture Specification NO1, A16
I TINFS/008 Pathway to Post Office Technical Interface KO1
Specification ,
NB/SDS/008 Network Banking MIS Reports Design NOS, A16
CSAFS/003 ICL Pathway/POL Interface Agreement for GOt I '
Operational Business Change-Outlet ;
i
7 I
CRIFSP/006 Audit Trail FunctionaI Specification I NO1, A16 I
I WISTR/OO1 Testing & Integration Strategy 2, G01
CS/PRD/0S8 ICL Pathway/PON Inierface Agreement for NO1, G01, A16
Operational Business Change-Product
I
XXIYYYINNN I NBS Testing Specifications No2
Documentation
Version 4.9
CODIFIED AGREEMENT
e
SCHEDULE B03
RESTRICTED CON
NBS Testing Plan
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NB/FS/009 Technical Interface Specification - Horizon to NBE NO1, A16
NB/IFS/008 ' NBE - Horizon Application Interface Specification NOi, A16
I All Process and Procedures Descriptions (PPDS) R525, R943, R927, NO1
I NB/PON/O10 PIN Pad Product Specification G12
I NB/SPE/003 Network Banking Counter Dialogue ~ Activity and NOt
I Screen Flows
, CCIYYYINNN I CCD mentioned in Schedule NOS paragraph 7.5 NOS
covering procedures and criteria associated with
closure of the NBE-Horizon interface.
IM/MAN/022 PIN Pad Technical Installation Training Guide Gt2
1.6° In the column headed “References” of the above table, entries in the form R# are references to
Requirement number # in Schedule A15 and entries in the form S# are references to Solution
number # in Schedule A16 (# representing in each case a 3 digit number). Other entries are to
Scheduies or Clauses of this Codified Agreement. .
Version 4.9
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SCHEDULE BO8 - POCL VALIDATION PROCEDURES
1D AGREEMENT SCHEDULE B08 RESTRICTED CONTRACTS
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline 28 July 1999
lla Applying CCN377 to 4.2
ia Baselined copy of l.la . , 18 Oct 1999
(12a Applying CCN323a to 4.1, 4.5
1.2 Baseline copy of 1.2a 30 November 1999
4.0a New Schedule to introduce Network Banking 20 June 2902
Service
4.0 To Introduce Network Banking Service 21 June 2002
1. PURPOSE
Lil 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.
1.2 POCL shall specify validation characteristics of all data delivered to the Contractor at
each Service Boundary, The Contractor shall not unreasonably withhold agreement
to all such validation characteristics.
2. SERVICE BOUNDARIES
The Service Boundaries of relevance are at the interface between POCL Infrastructure
Services and:
e TIP;
e Reference Data;
e SAPADS;
e POCL Clients;
e ESNCS;
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e the HAPS migration specification;
e the point of data entry;
e NBE. .
VALIDATION PROCEDURES
3.
3.1 The Contractor shall validate ail data passed to its domain from POCL or.any POCL,
Client ai each Service boundary in line with the validation specifications detailed in
paragraph 4 below.
3.2 Other than for data réceived at the NBE Service Boundary, all such validation shall
ensure that each data item is validated by criteria including as appropriate, bur nor
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;
e by range (eg maximum and minimum values);
e cross field validation, where the value of one field is dependant on the value
of data in another field including without limitation any information
regarding the version of the interchange being undertaken.
3.3 All files shall be validated to ensure that they conform to the correct structure
ensuring that they contain, where appropriate:
e he correct file-header;
e the correct file structure;
e the correct number of records
3.4 All files ‘and records shall, where appropriate, be validated to ensure that they are
processed in the correct sequence. -
4. VALIDATION SPECIFICATIONS
41 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:
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_¢ Post Office to Pathway Technical Interface Specification;
e Pathway to TIP Application Interface Specification.
The documents in Schedule GO1 paragraph 5.3.2.2 detail the validation that shall be carried
out by the Contractor on data received at the Reference Data to POCL Infrastructure
Services Service boundary.
The fellowing documents detail the validation that shall be carried out by the Contractor on
4.4
4.6
4.7
4.8
POCL Vi
data received at the LFS/SAPADS Service Boundary:
e LFS to SAPADS and SAPADS to LFS Application Interface Specification.
e 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;
s the appropriate POCL Client Application Interface Specification.
The following documents detail! the validation that shal! be carried out by the
Contractor on data received at the ESNCS Service Boundary to the Contractor's OBCS
service:
e OBCS Access Service High Level Design
° OBCS Business Process Rules;
e DSS Client interface Specification - OBCS.
The following documents detail the validation that shall be carried our by the
Contractor on data received at HAPS Service Boundary to the Contractor APS service:
° the HAPS migration specification.
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, F01, G01, HO1, KO1 and NO1 as appropriate.
The following documents detail! the validation thar shall be carried out by the
Contractor on data received at the NBE Service Boundary to the Contractor's NBS
service :
° NBE/Horizon Technical {nterface Specification;
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CODIFIED AGREEMENT SCHEDULE B11 RESTRICTED CONTRACTS
SCHEDULE B11 - ESCHER UPGRADE SOFTWARE
Version ; Reason for Change I Frozen/issue
Reference date
4.0 To Introduce Network Banking Service 26/06/02
1. GENERAL
Ll This Schedule specifies the terms on which the Escher Upgrade Software may be used
by POCL and Escher Software Users in connection with the POCL Services.
1.2 For the purposes of this Schedule B11:
12.1 “Escher” means Escher Group Ltd, having its principal office at 101 Main
Street,
Cambridge, Mass. 02142;
12.2 “Escher Upgrade Software” means WebRiposte, Asset Manager and
Framework and references to the “software” in this Schedule B11 shal!, unless
the context clearly indicates otherwise, be a reference to the Escher Upgrade
Software;
1.2.3 “Escher Software User” means:
(a)
(6)
any person authorised by POCL to use the POCL Services in a franchise
post office or sub-post office, including without limitation sub-post
masters on a non-franchise contract and franchisees of post offices or
sub post offices (together with their employees); and
aay employee of POCL or employee of Consignia pic or its subsidiaries
on behalf of POCL involved in the development, operation, receipt
and/or management of the POCL Services; and
1.2.4” “Existing Licences” means the licensing agreements between the Contractor
and Escher dated 20" December 2000 and 8” May 2001 relating to the Escher
Upgrade Software together with variation agreements dated 18" April 2002 and
% Ce ‘26 June 2002 for each of these licence agreements.
2. TERMS OF USE
2.1 The-Contractor grants to POCL and to all Escher Software Users from time to time
(together with POCL the “Licensed Persons”) a right to use and (for the purposes only
of loading, execution, storage, transmission or display) copy the Escher Upgrade
Software to the extent necessary for the Licensed Persons to receive the POCL
Services in connection with the system known as “Horizon” currently in use by POCL
and as upgraded by the Escher Upgrade Software.
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2.2 The Contractor warrants that it has the right to grant the rights stated to be granted by
it under this Schedule B1i and that it has the right to make such back-up copies of the
Escher Upgrade Software as are reasonably necessary for the provision of the POCL
Services. :
The rights granted by paragraph 2.1 of this Schedule B1t are subject to the following
conditions:
ho
ia
2.3.1 POCL shail notify the Contractor of all actual or threatened breaches of
Escher’s trade secret, patent, copyright, and other ownership rights in the
Escher Upgrade Software of which it becomes aware and shail use reasonable
endeavours to provide the Contractor with assistance as may be reasonably
requested by Contractor in relation to the prevention and/or challenge of such
actual or threatened breaches.
me
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absolute discretion notify Escher directly of such actual or threatened breach in
addition to notifying the Contractor.
2.3.3. All use of the Escher Upgrade Software by POCL and/or Escher Software
Users shal take place within the United Kingdom or its territories.
2.3.4. On termination of this Codified Agreement, the Contractor shail at POCL’s
request procure the direct licence of the Escher Upgrade Software to either
POCL or a replacement for the Contractor appointed by POCL (as POCL
requests) at no charge and on substantially the same terms as the Existing
Licences. The obligations of the Contractor and the rights of POCL under this
paragraph 2.3.4 shall survive termination of this Codified Agreement.
2.3.5 POCL’s rights granted by the Contractor by paragraph 2.1 of this Schedule B11
shall terminate upon the grant of a direct licence in accordance with paragraph
2.3.4 of this Schedule B11.
2.3.6 Save to the extent required under English law, the rights granted by paragraph
2.1 of this Schedule B11 shall not be construed so as to allow POCL to modify,
reverse engineer, disassemble or reverse compile the Escher Upgrade Software
or take any other action to disclose Escher’s source code. To the extent that
POCL is permitted by law to take such action for interoperability or otherwise,
such reverse enginccring or related activity shall be limited to the minimum
amount required and may not be undertaken unless the Contractor has refused
or is unable to make or procure such adaptations after POCL requests that it do
so. The Contractor shall be entitled, subject to the prior approval of POCL to
charge POCL its reasonable costs for making and/or procuring such
adaptations as the Contractor makes or procures and POCL shall pay such
charges.
3. INTELLECTUAL PROPERTY RIGHTS
POCL and the Contractor each agree that Escher’s copyright legend shall be displayed
on all software and associated documentation and media under their respective contro}
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41
44
4.6
in a manner consistent with the CCD entitled “Horizon OPS Style’ Guide’’, reference
SD/STD/001.
CON FIDENTIALITY
POCL agrees that any information disclosed to it in connection with the Escher
Upgrade Software which is designated by the Contractor as “Escher Confidential
Information” shall be kept in strictest confidence and not disclosed to any party except
as permitted under this Schedule B11.
Escher Confidential Information shall not comprise Confidential Information for the
purposes of this Codified Agreement and, accordingly, the provisions of Clause 607
shall not apply to Escher Confidential Information.
POCL shail:
4.3.1 take al! reasonable precautions to protect the confidentiality of Escher
Confidential Information;
4.3.2 not duplicate or reproduce Escher Confidential Information except as necessary
for the purposes of this Codified Agreement; and
4.3.3 upon termination of the Existing Licences, immediately retum ail documents
and other materials which contain or relate to Escher Confidential Information.
The non-disclosure and confidentiality provisions contained in this Schedule B11 will
survive the termination of any or all of its other provisions but shall expire 20 years
after the expiry or termination of this Codified Agreement. POCL acknowledges and
agrees that the Contractor and any third party are, in addition to other remedies,
entitled to seek an injunction to prevent POCL from disclosing Escher Confidential
Information in breach of this Schedule Bit
POCL may with the Contractor’s written consent disclose Escher Confidential
Information to third parties. If the Contractor agrees to allow POCL to disclose Escher
Confidential Information to a third party, prior to making any such disclosure, POCL
shall first obtain such third party’s written agreement to comply with al! non-
disclosure and confidentiality terms herein.
POCL shall keep a record of all disclosures by it of Escher Confidential Information to
third parties including the names of the persons to whom Confidential Information was
disclosed by POCL and a description of the Escher Confidential Information disclosed.
POCL may disclose Escher Confidential Information:
4.7.1 if and to the extent required by law, regulation or by order of a court of
competent jurisdiction provided, however, that POCL shall in each case ‘
notify the Contractor in advance of such disclosure;
4.7.2 to its professional advisers for the purposes of audit or receiving
professional advice;
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4.7.3 to employees and staff of Consignia to the extent that such disclosure is
necessary for such employees or staff to perform functions relating to the
development, operation, receipt or management of the POCL Services;
474 where such information was already in the public domain at the time it was
disclosed or otherwise received by the other party,
4.7.5 where such information becomes part of the public domain after disclosure
by means other than breach of the confidentiality obligations contained in
this Schedule B11; or
4.7.6 where such information came into a party’s possession lawfully from a third
party that was, itself, lawfully in possession of that information and entitled
to distribute it.
4.8 I Where Escher Confidential Information is disclosed under paragraphs 4.7.2 or 4.7.3 of
this Schedule B11, POCL shall procure that the third parties referred to in those
paragraphs shall not disclose that Escher Confidential Information without the prior
written consent of the Contractor.
4.9 The Existing Licences and their contents are deemed Escher Confidential Information
and, subject to paragraph 4.7 of this Schedule BI1, POCL may not disclose the
Existing Licences to a third party without the express written consent of the
Contractor, except that POCL may disclose those elements of the Existing Licences
which relate to the use of the Escher Upgrade Software to the operator replacing the
Contractor in the event a direct licence is to be granted to that replacement operator
under paragraph 2.3.4 of this Schedule B11 provided that such operator has, in
advance of such disclosure, entered into substantially equivalent confidentiality
provisions with POL as are set out in this Schedule B11.
} 4.10 Escher Upgrade Software related documentation, defect reports, and all other non-
‘ public information related to the Escher Upgrade Software, are and shail be deemed
t Escher Confidential Information.
i
BREACH
we
5.1 If either party believes the other to be in breach of any obligation imposed by this
Schedule B11, the non-breaching party shall provide written notice of such breach to
the other.
uw
io
Upon receipt of such notice, if such breach exists, the recipient shall have twenty (20)
days to remedy such breach or provide assurances in a form reasonably acceptable to
the non-breaching party that the breach will be corrected within such longer period as
the non-breaching party may specify.
6. TERMINATION
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6.1
If a breach by POCL of any obligation imposed by this Schedule B11 has not within
the twenty (20) day period provided under paragraph 5.2 of this Schedule Bil been
remedied or assurances, in a form reasonably acceptable to the Contractor, provided to
the Contractor that the breach will be corrected within such longer period as the
Contractor may specify the Contractor may by notice in writing to POCL terminate the
rights granted by paragraph 2.1 of this Schedule B11 and the Contractor shall be
relieved of its obligations under paragraph 2.3.4 of this Schedule B11.
Upon termination under paragraph 6.1 of this Schedule B11 of the rights granted to
POCL by paragraph 2.1 of Schedule Bil, POCL shall cease to use the Escher
Upgrade Software and shail, as directed by the Contractor, either return or destroy all
copies of such software.
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CODIFIED AGREEMENT SCHEDULE F01 RESTRICTED CONTRACTS
SCHEDULE F01- EPOSS SERVICE DEFINITION
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline 28 July 1999
1.2a Applying CCN323a to 4.3.19; CCN497 to 4.3.5
12 Baseline copy of 1.2a 30 Nov 1999
1.3a Applying CCN467b to 4.4.2; 473c to add new 4.3.4 (and I 23 Dec 1999
increment following paragraphs 4.3.4 through to 4.3.22 to
become 4.3.5 through to 4.3.23)
13 Baseline copy of 1.3a 30 March 2000
4.0e New Schedule introducing Network Banking Service 20 June 2002
4.0 To Introduce Network Banking Service 21 June 2002
1. INTRODUCTION
Ll. This schedule details all the requirements relating to the EPOS Service (EPOSS)
which the Contractor shall provide.
1.2. The Contractor shail be responsible for all the resources, facilities, procedures and
systems necessary to deliver the POCL. Service specified in this Schedule.
2. SCOPE
21. EPOSS shall provide functions across four service boundaries:
(2) to the Counter Clerk in support of direct 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 Outiets in suppor: of EPOSS
Administration (including reporting functionality);
(c) transfer of data to ‘Client and POCL systems and services outside the POCL
Service Infrastructure;
(d) for management information.
22. [Not used]
2.3 The Contractor shall provide EPOSS in every Outlet for ‘all the hours that each is
open for business. [From B03]
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SCHEDULE F01- EPOSS SERVICE DEFINITION
Version Reason for Change Frozen/issue date
Reference
1.0 Oniginal baseline 28 July 1999
12a Applying CCN323a to 4.3.19; CCN497 to 4.3.5
(12 Baseline copy of 1.2a 30 Nov 1999
13a Applying CCN467b to 4.4.2; 473c to add new 4.3.4 (and I 23 Dec 1999
increment following paragraphs 4.3.4 through to 4.3.22 to
become 4.3.5 through to 4.3.23) I
13 Baseline copy of 1.3a 30 March 2000
4.0¢ New Schedule introducing Network Banking Service 20 June 2002
4.0 To Introduce Network Banking Service 21 June 2002
1. INTRODUCTION
hl 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 direct Customer service, including a till
function and in suppor: of POCL Services delivered over the POCL Service
Infrastructure;
(b) to the Counter Clerk and other Users within Outlets in support of EPOSS
Administration (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 shall provide EPOSS in every Outlet for all the hours that each is
open for business. [From B03]
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3. CONSTRAINTS
General
3.1 EPOSS shall be provided solely through the medium of the POCL infrastructure
i)
io
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in
3.6.
w
Ma
3.8.
Services. [Implied by 835]
Where date and time data are required, EPOSS shall use that set within the POCL
Service Infrastructure. [R806]
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 devicés to be added. [R825]
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 shall 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 new POCL Product 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 is automatically updated. [R811]
EPOSS 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 shal! be under the control of the User access facilities of the OPS
and shai! allow specific EPOSS functions to be restricted to authorised Users. Each
function within EPOSS shall have an associated User authority level into which
Users can be assigned by the Outlet manager. [R816, 820]
EPOSS shall be a robust POCL Service, including features to:
(a) check internal consistency, reporting errors, warning of non critical errors and
preventing critical errors;
(b) refuse deletions if there is dependent business data which would lead to
inconsistency of data within the POCL Service {nfrastructure;
(c) make Reference Data available at the counter terminals,
(c}) check Reference Data consistency and report exceptions. {R818}
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4. SERVICE BOUNDARY TRANSACTIONS .-
41. General
4.1.1, EPOSS shall provide reconciliation and accounting facilities for all Transactions
using EPOSS.
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) aunique code for each POCL Product across all Clients;
(c) source (i.e. 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);
.() Method of Payment;
(g) date and time of the Transaction;
and update a record of the total volume 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 unique Transaction identifier 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 shall be recorded in logs and
audit trails, and reported against in the same way as 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 into a Customer Session. [R825]
4.2.6. 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,
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either exclusively or shared with other Counter Clerks, 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;
Reversais may be entered by a User other than the User who recorded the
original 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] _
4.2.8. 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 suspend a Customer Session
and start a second session, and to swap between the two sessions until one of them
has been completed. . While a Banking Transaction is in progress this facility will be
inhibited [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. [R809, R825]
4.2.11. EPOSS shall provide a cash tendered facility to calculate change due to the
Customer. Use of this feature shail be at the discretion of the User and not forced by
EPOSS. [R800]
Receipts [R693]
4.2.12. EPOSS shall allow production of:
(a) anon VAT receipt for Customers to support a specific POCL Service e.g. APS;
(b) a VAT receipt for Customers at the end of each Customer Session, but before
the next Transaction is entered;
(c) receipts in support of other POCL Services; and
(d) additional (duplicate) receipts and they shall be marked as such.
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4.2.13.
EPOSS Service Definition
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]
The Contractor shall agree the format of all styles of receipts with POCL before they
are used operationally.
All receipts produced by EPOSS shall meet the requirements of the Welsh Language
Act.
Product/Price Look-Up
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]
EPOSS shall allow the manual input of weight values where scales are not linked.
{R825}
EPOSS shall provide the facility for the Counter Clerk to determine the unit quantity
ofa given Stock Item available for a tendered monetary amount. [R810]
EPOSS shail provide a facility to Rate Shop. [R810]
EPOSS shall allow discounting for relevant POCL Products. A list of discountable
POCL Products shall be maintained in Reference Data supplied by POCL. EPOSS
shall allow the Counter Clerk to enter the discount by either a percentage or a value
for the last Transaction or for all discountable POCL Product Transactions in the
Customer Session. [R817]
Methods Of Payment
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]
EPOSS shall allow the implementation of new types of Methods of Payment,
including without limitation debit cards and EFTPOS. [R825, R692]
ree Versio
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4.2.23
EPOSS shail 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 functionality in use in PostShops. This includes, but is not restricted to: [R839]
(a) Till functionality;
(b) discounting;
(c) coupon management;
(a) multibuys;
(e) promotions;
(marketing;
(g) reporting
4.3. EPOSS Administration
Reference data [R818]
4.3.1. 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.
4.3.2. When an update to Reference Data changing Item Retail Price 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.
4.3.3. Reference Data shall also define the availability of specific POCL Products in each
Outlet. Suck availability shall be controlled centrally, and an Outlet shall not be able
to modify such data. {R821/FS 4.1.3.1.1}
4.3.4. EPOSS shail, support, through POCL Reference Data, the introduction and
maintenance of a POCL Product in line with agreed Client requirements and POCL
accounting practices. This will be achieved by the Contractor’s Reference Data
system distributing the [tem Transaction Modes (ITMs) to the Outlets. EPOSS shali
provide the following functionality for all Products, in accordance with business rules
specified in the Working Document “Reference Data Business Rules and Values’:
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EPOSS Service Definition Page 7 of HL
+. A test for a current ITM at the start of each Transaction undertaken at the
Outlet. If one exists, the Transaction will continue. [f one is not found, the
Transaction will be aborted, and the Counter Clerk will be informed of this.
The Counter Clerk may start another Transaction.
: A test for a current ‘stock adjust negative’ transaction mode for all POCL
Products, which are Vatue Stock items, at an appropriate trigger point, such as,
start up or balancing. If one exists, no action is taken. If one does not exist for
a Value Stock item, the residual value in any Stock Unit for that Product will
be posted to discrepancy. An agreed message showing this action will be
output to the system User. [R818/S818]
Stock units
EPOSS shall provide each Outlet with the flexibility to set Stock Unit(s) according to
the local working practice requirement. Each Stock Unit can in turn be tied to a User
or a group of Users.{[R695]
_EPOSS shail ensure that Stock Unit options and assignments chosen for an Outlet
can be changed as and when required, subject to system access controls associated
with human roles:{R695]
. passwords
. PINs
. inactivity periods
and with minimal impact to the Users.
EPOSS shall provide a mechanism to allow only authorised Users access to the data
and processing associated with each Stock Unit. [R695]
EPOSS shail allow each Stock Unit to be Balanced individually. The Stock Unit may
be Balanced more than once within a POCL Outlet Accounting Period. Cash and
Stock Items shal] 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
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 Vatue Stock Stock {tems and Methods of
Payment into and out of Stock Units within 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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4.3.11. EPOSS shail provide a facility to reconcile Non-value Stock Stock Items with unique
serial numbers. Reconciliation shall be by volume and by Stock Unit as:
(a) number on hand at the start of the POCL Outlet Accounting Period;
(b) number received;
(c) number on hand at close of POCL Outlet Accounting Period:
(d) number issued/spoilt/retumed. [R808]
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]
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}
EPOSS shall provide the facility to manage and report on the movement of Cash or
Stock Items, either at Stock 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]
EPOSS shail provide a facility to adjust cash and Stock levels to reflect the actual
levels on hand when requited, including provision for any necessary accounting
adjustments. [R695] Oo
EPOSS shall provide a function to record the value of cash held in the Stock Unit by
denomination: [R814]
{a) as part of the Cash Flow Reporting process;
(b) as part of the Stock Unit Balancing process.
The EPOSS 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 warm 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 allow the last known declaration to be carried forward for
Cash Flow reporting purposes. [R814]
Dormant stock units
EPOSS shail 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 Ourlet Accounting Period. This
facility may be used at any time, under the control of the Outlet Manager. [R815].
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Accounting
4.3.19. EPOSS shall accurately maintain data and record all Transaction Sessions as double
43.23.
4.4,
441.
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
The media for, and format and contents of reports and summaries available from
EPOSS shall be agreed and specified in “Horizon OPS Reports and Receipts - [CL
Pathway Horizon Office Platform Service”.
Changes to the POCL Product range and the intemal reporting structure within
current principles shall be possible by Reference Data rather than by Software
update. [R818]
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]
EPOSS shall allow the User to preview on-screen, or print, each Report. [R696]
External interfaces
All Transactions and actions undertaken in EPOSS shali 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 remote systems outside
the POCL Service Infrastructure as specified in the Service Architecture Design
Document, as amended by CCN from time to time. [R811]
Management information
EPOSS shal] 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]
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:
EPOSS shail 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.
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4.5.4.
Ps
ren
un
6.1.
6.3.
A complete set of Outlet Records, for a rolling period of 18 months, shall be
maintained as available for retrieval and review (but not amendment).
On retrieval all Records shall be packaged in weekly batches as a complete POCL
Outlet Accounting Period cycle.
INTERFACE TO POCL SERVICES
EPOSS 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 leve!'data transfer;
c) Transaction Records created and stored shall be entirely consistent with any
© ) y
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.
RESILIENCE, RECOVERY, AND FALLBACK
EPOSS shall provide fallback facilities for situations where the User cannot use the
‘astructure Services for any reason. These facilities shall maintain the
ry, security and levels of Customer service consistent with the need to maintain
trading. [R820]
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]
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. [R820]
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7 SUPPORT SERVICES
71 General
7.1.1. The Contractor shall provide, 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 training specifications shall be defined in “Pathway’s Training and User
Awareness Baseline Document”.
~
ad
io
(a)
(b)
(c)
(a)
(e)
0)
For training purposes, EPOSS shall provide a built-in training mode which:
Allows the serving of (imaginary) Customers for all Customer Transactions
which do not require on-line access.
Allows all operations used in accounting and balancing of a Stock Unit.
Is generally functionally indistinguishable from normal operation, except that
clear indication is permanently provided that training mode is in use.’
Records all counter operations and Transactions.
c
Can be used at any time by any User (including in a live Outlet environment).
Allows the production of receipts and Reports.
7.3.3. 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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CODIFIED AGREEMENT
SCHEDULE F03- POCL RESPONSIBILITIES
Frozen/issue date
Version Reason for Change
Reference :
10 Original baseline 28 July 1999
13a Applying CCN473c to add section 3 23 December 1999
1.3 Baseline copy of 1.3a 30 March 2000
4.0¢ ‘New Schedule introducing Network Banking Service _I 20 June 2002
4.0 To Introduce Network Banking Service [24 June 2002 *
1 INTRODUCTION
Ll. This Schedule specifies the actions and responsibilities that POCL shall fulfil in
order to enable the Contractor to meet its obligations under Schedule FO1 and related
Schedules. -
1.2. The table under paragraph 2 below matches the paragraphs in Schedule FO1 to the
POCL responsibilities that are set out in Schedule A16 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 A16 of the Codified Agreement.
POCL Responsibiliies
pT
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2. POCL RESPONSIBILITIES
Responsibility
Paragraph reference
3.1
835
3.2
806
3.3
825
3.4
825
3.5
811
3.6
- 823
3.7
816, 820
3.8
818
4.2.1
810
4.2.2
836
4.2.3
804
42.4
960
4.2.5
825
4.2.7
825,810
: 4.2.1(b)
812
4.2.7(4)
800
4.2.8
800
825
809, 825
. 800
693
832e
824,801
825
810
810
817
825,692
825,692
839
818
821
818
695
695
695
695
802
807
808
808,832
813
i 695
I 814
POCL Responsibilities
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j 4.3.17 814 I
: 4.3.18 815
i 4.3.19 803
4.3.21 818
837
696
811
838
805,816
835
820
823
820
Le 531,532, 533, 534, 833, 949 I
3. REFERENCE DATA
3.1. Reference Data supplied to the Contractor must conform to the Reference Data Type
A Application Interface Specification current from time to time.
3.2. Reference Data supplied will conform to the business rules set out in the Working
Document ‘Reference Data Business Rules and Values’.
3.3, Reference Data for Item Transaction Modes already provided must be validated
against POCL and joint business rules, and corrected for all cases which are not
aligned.
3.4, POCL must ensure that the appropriate Item Transaction Modes are available for all
migration Products, in order to allow Outlet migration to continue without hindrance.
MiMAN and MiECCO will not test for the availability of Item Transaction Modes
during counter migration.
3.5. The contents of Output messages to users will be agreed between’ POCL and the
Contractor.
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CODIFIED AGREEMENT SCHEDULE G01 RESTRICTED CONTRACTS
SCHEDULE G01- POCL INFRASTRUCTURE SERVICE DEFINITION
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline 28 July 1999
lla Applying CCN263a to 3.4.1.11; CCN281 to 6.9.4,
CCN280 to 6.4.6, CCN377 to 5.3.2.2: CCN419 to 2.3.2.1
lib Correcting document reference in 6.4.6
LL Baselined copy of 1.1b 18 Oct 1999
12a Applying CCN323a to 2.3.7.4¢, 3.4.1.8a, 3.4.1.8b,
4.2.4.1, 5.3.2.2. 4 1; CCN484 to 2.6.1.3; CCN562 to
3.6; CCN560 at 3.4.2.2 and 3.4.4.2
1.2b Removing typos in 3.6.4(c) and 3.6.5; Removing 3.4.4.2
1.2 Baseline copy of 1.2b 30 Nov 1999
13a Applying CCN564a to 5.3.2.2; CCN591 to 2.3.1.7,
CCNS592 to 2.3.7.2; CCN600 to 3.6 (noting numbering
modification from 3.6.8 in CCN600) and Annex added
1.3 Baseline from 1.3a, correcting Type B document name in I 30 March 2000
para 5.3.2.2, and conforming header/footers to standard
l4a Applying CCN496c to 3.4.1.5 (c); CCN590a to 3.4.1.5
(d); CCN595 to 3.4.1.8 (b) [note 3.4.1.8 (a) was changed
by CCN323a to correct title - CCN595 should not undo
this], 5.3.2.2; CCN606 to 3.4.1.5 (b)
14 I Baseline copy of I.4a 21 July 2000
2.0a I Applying CCN632b to para 2.2.3; CCN633b to paras
{ 3.2.1 & 5.3.5.1; CCN679b adding section 7
2.0 Baseline copy of 2.0a 12 January 2001
4.0e New Schedule iniroducing Network Banking Service 20 June 2002
4.0 To Introduce Network Banking Service 21 June 2002
1, OVERVIEW ..........
nw
OFFICE PLATFORM SERVICE.......02+
1. PURPOSE...
2. /
3
we
2.3.1. Non Operational Requirements for Equipment
2.3.2. Appearance of the Equipment within OPS.
2.3.3. OPS Equipment - engineering visits .....
2.3.4. Health, Safery and Legal obligations.
2.3.5. Equipment Environmental Considerations .
23.6. Continued Support of Operating Systems, Middleware and : Application ‘Softwar
. Capabilities on Initial Implementation one oe .
2.3.8. Technology Refresh...
2.39, Ability 1o Provide Authorisation to POCL Products...
2.3.10. Use of OPS jor Agent business. .
2.4. AVAILABILITY......
2.4.1. User access to OPS.
2.4.2. Concurrency.
be
w
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2.5. PERIPHERALS .osccccnee
5.1. POCL infrastructure - OPS: Peripheral and input devices
5.2. Schlumberger Smart Keys..u.- oe
5.3. Peripherals Flexibility
2.5.4. Fuiure Flexibility for Sharing of Specia:
2.6. SECURITY...
2.6.1, Security of data and audit trail for OPS
2.6.2. OPS Secure Suspension
2.6.3. Inactivity Time-out
2.6.4. Eneryption Key Management...
7, DOCUMENTATION ...
i 7.1. OPS - technical documentation...
2.7.2. POCL Infrasiructure - OPS: Style Guide.
3. TRANSACTION MANAGEMENT SERVICE.......
3.1. Purpose ..........
3.2. Overview .....
3.3. General Attributes .
3.3.1. Scalability ......
3.3.2. Discreteness of TMS.
3.3.3. Data integrity......
33.4 Exclusivity.
3.4. General Service description.
3.4.1. Interface support.
3.4.2, Data delivery......
3.4.3. File Operations
3.4.4, File Processing vw...
3.4.5. Data Transfer Initiation
3.4.6. End 10 End Recovery.
3.4.7. Audit.....
3.5. Documentation...
3.5.1, Technical documentation
3.6. Data Errors...
3.6.1. Interpretation of Paragraph 3.6.
3.6.2. Classification of Incidient pes
3.6.3, Detection of Erro
3.6.4. Widespread Errors...
3.6.5. Data Errors discovered before transmission
3.6.6. Data Errors discovered after transmission
3.6.7. Not Data Errors ........
3.6.8. General Provisions ...
4. GENERAL POCL INFRASTRUCTURE REQUIREMENTS... ceecseeeee coe BO
4.1. INTRODUCTION ee
4.2, LINKS FROM OPS TO TMS ..
4.21, General
quipment General Requirements ..
wes
Recovery...
Messaging esses .
3. Agreement to offer POCL services using the POCL Infrastructure.
YSTEM MANAGEMENT SERVICE...
urpose ..
verview
neral Service description...
* Synchronisation Of Time...cous
~e
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5.3.2. Reference Data handling.
5.3.3. Release control.
5.3.4. Asset register...
5.3.5. Software Distribution...
5.3.6. Configuration Management for Outlets...
5.3.7. Network Management...
6. HORIZON SYSTEM HELPDESK SERVICE....
6.1. General
6.2. Appropriate Levels of Support Service.
6.3. Levels of Service.
6.3.1, First Level Service.....
6.3.2. Second Level Service.
6.3.3. Third Level Service .
6.4. Problem Management
6.5. Systems and Services Supported.
6.6. Resilience ... sees
6.7, Training .
6.8. Personnel
6.9, Service Monitoring. .
6.10. Horizon System Helpdesk Availability from m Day One...
6.11. Horizon System Helpdesk Services Single Point of Access .
6.12. Horizon System Helpdesk Telephone Number
6.13. Horizon System Helpdesk POCL Service INFRASTRUCTURE Support .
6.14. Horizon System Helpdesk Additional Support Services.
6.15. Horizon System Helpdesk Resolution of Reported Incidents
6.16. Horizon System Helpdesk availability ....
6.17. Horizon System Helpdesk Re-Routing of Calls
6.18. Help Desk Compliance with POCL Help Service Behavioural Stan
7, MESSAGE BROADCAST SERVICE
7.1. Purpose ..
7.2. Overview
7.3, Service Boundaries.
7.3.1. Message submission.
7.3.2, Reading messages in an Outlet
ANNEX - ERROR MATRIX........
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1. OVERVIEW
Li. The POCL Infrastructure Services consist of the Office Platform Service (OPS), the
System Management Service (SMS) and the Transaction Management Service
(TMS). [extrapolation}
1.2. The POCL Infrastructure Services provide the services to deliver the POCL
Application Services and EPOSS, NBS and LFS. {extrapolation}
1.3. The Contractor shall provide POCL Infrastructure Services in accordance with the
Service Levels set out in Schedule G10. [extrapolation]
2. OFFICE PLATFORM SERVICE
24 PURPOSE
2.1.1. This Section details the functions and capabilities provided by the Office Platform
Service (OPS) that shall be supplied by the Contractor. The OPS is provided using
the Equipment installed in Outlets which enable the POCL. Appiications and EPOSS
to run successfully. [extrapolation]
2.2. OVERVIEW
2.2.1. The Contractor shail in each Outlet install the Equipment used to provide OPS, and
provide OPS, subject to the limits specified in Annex 5 to Schedule A12. [R559]
2.2.2. The OPS shall be capable of supporting the entire range of business transacted at
Outlets for current volumes of business and volumes of business as projected by
POCL subject to the limits specified in Annex 5 to Schedule A12. [R558} 2.2.2
Two types of Counter Position configurations shall be provided:
* a standard configuration which shall be suitable for the majority of Outlets;
« amobile configuration, as defined in Introduction of the Mobile
Configuration, which shall be installed in Outlets to the maximum number
described tn Annex 5 to Schedule Al2. [4.1.4.1]
2.2.3. The OPS shall support the POCL imperative of keeping Transaction times to a
minimum. [R558]
2.3. GENERAL SERVICE DESCRIPTION
2.3.1. Non Operational Requirements for Equipment
2.3.1.1. The Contractor shall supply samples of all elements of the POCL Service
Infrastructure used te 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]
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2.3.1.2. The Equipment shail be reassigned to operational use by the Contractor when it is
agreed by the parties that it is no longer required for the purposes of paragraph
2.3.1.1. [S463]
2.3.1.3. 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;
wD
is
»
. 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;
re)
ron)
in
. 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. No such
specimens of PIN Pads shall be provided for destructive testing purposes. [R463]
Training;
2.3.1.6. 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. [$463] .
Demonstrations and marketing.
2.3.1.7. The Contractor shail 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 as agreed jointly
between POCL and the Contractor from time to time. [S463]
2.3.2. Appearance of the Equipment within OPS
2.3.2.1. With the exception of PIN Pads the standards for equipment livery to be used within
OPS are defined in “Counter Hardware Design Specification.” . The standards for
equipment livery for PIN Pads are defined in the CCD “PIN Pad Product
Specification” (NB/PDN/010). [S465]
. The effort required to maintain the appearance of the Equipment shall be minimal
and capable of being undertaken by the local Outlet Users. It shall be comparable to
the cleaning required of any desk-based office computer system. [R465 / S465]
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2.3.3. OPS Equipment - engineering visits
2.3.3.1. Maintenance and repair of the elements of the POCL Service 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 Outlet to serve Customers,
even where Outlets have a single Counter Position and/or extremely limited physical
space. [R468]
. Ifa maintenance or repair operation is predicted to take longer than twenty (20)
minutes then the Contractor shall replace the whole unit or module to minimise
disruption at the counter. (S468}
2.3.3.3. The Contractor shall carry out visits for maintenance or repair of the POCL Service
Infrastructure in line with the Service Levels described in Schedule G10:(Service
Levels and Remedies). Optionally, an Outlet Manager shall elec: to defer a visit to a
time which he believes is more convenient. For example, in a larger Outlet, ifa fault
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 not carried out until the preferred
appointment time. In this case the time in suspension shal! 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 A02. [R474]
2.3.5. Equipment Environmental Considerations
2.3.5.1. All Equipment used to provide OPS shali comply with the Equipment environmental
considerations laid down in Schedule AQ2. [R540]
2.3.6. Coutinued 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. [extrapolation]
2.3.7.2 The Contractor shall instal] and support the POCL Service Infrastructure
provided as mobile counter configurations, in accordance with the limits set out in
Annex 5 of Schedule Ai? of the Codified Agreemient, where requested by POCL.
The exact numbers and circumstances of each mobile configuration shal! be agreed °
with POCL as part of the Roll Out planning process. [4.1.5.1.7]
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2.3.7.3. In each Outlet, at each Counter Position PC, from Roll Out at such Outlet, OPS shail:
{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:
« ISO 7816 parts 1 and 2;
© and/or ISO 7816 parts 1, 2 and 3;
and be capable of supporting future applications complying with:
e ISO 7816 part 4:
* support GFM-2K and GFM-4K.
c) where possible, 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 information does not 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 Al6;
G) support 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 and 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;
¢) support printing of existing Client reports at the counter. This shall include
Counter printing, as specified in “Horizon OPS Reports and Receipts - ICL
Pathway Horizon Office Platform Service”, in iarge fonts and printing with 90
degree rotation;
@) support the connection of eiectronic 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 D104 and A702 via RS-
232 connections. It shail be possible to share a. set of weighing scales between
two or more Counter Positions at which the POCL Service Infrastructure has been
installed;
) support the printing of reports necessary to meet existing Client commitments;
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POCL Infrastructure Ser
£) support the printing of cash accounis and plain paper summanes;
g) support the printing of 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;
h) support 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-codes 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]
Technology Refresh
. POCL wishes to take advantage of changes in technology during the term of the
Codified Agreement. [R560]
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]
. No change shal! be made to the specification of Equipment to be used within the
POCL Service Infrastructure without prior approval by POCL.
Ability to Provide Authorisation to POCL Products
. Itis likely that, in due course, re-engineered POCL Products shall require specific
authorisation, either through access to a computer system extemal to the POCL
Services or within the POCL Services. [RS$27]
. The POCL Services and the POCL Service Infrastructure shall be able to be
developed to support the maintenance and use of:
a) stop lists;
b) go lists:
c) other authorisation types;
in relation to such reengineered POCL Products. [R827]
. The POCL Services and the POCL Service Infrastructure shall support such
authorisations through access to external computer systems.[R$27}
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2.3.10, Use of OPS for Agent business
2.3.10.1. 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]
2.4, AVAILABILITY
2.4.1. User access to OPS
2.4.1.1. 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 B03, offering multiple access levels and providing specific
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. Authentication 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 Services not to be offered at all Outlets. It shall also be possible 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 initial 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.
(S$473]
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 shal] provide the facility to generate a
unique key as part of the log on to a specific usemame. This shal! 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]
2.4.2. Concurrency
2.4.2.1. OPS shal] support concurrent access to POCL Services provided via it. [R953]
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Performance, and corresponding Service Levels, of OPS shali not be significantly
degraded by other Outlet activity, e.g. front office, back office and communications
activities shall not unduly impact each other. [R953]
PERIPHERALS
POCL Infrastructure - OPS: Peripheral a and input devices Equipment General
Requirements
. 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]
. Peripheral and input devices supplied as part of the elements of the POCL Service
Infra:
cture on which OPS is provided shall be capable of detecting contention,
premature removal/swapping of Smart Tokens. [R536]
Schlumberger Smart Keys
. The OPS shall support the reading from and the writing to Schlumberger Smart Keys.
[S356]
. 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 where practical. [R556]
Peripherals Flexibility
i. 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]
. 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 at Roll Out. [S557]
. 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. {R537}
Future Flexibility for Sharing of Specialist Peripherals
. 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 shail be possible to restrict access
to a subset of the PCs in each Outlet. This capability shall not be applicable to PIN
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2.6.1.4.
Pads which can not be connected to or accessed by more than one PC at any one
time. [R826 / $826]
SECURITY
Security of data and audit trail for OPS
. Full logs of Transactions and significant 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]
. All data captured at an Outlet either as part of a Counter Position Transaction or as
an administration function shall form part of a unique Transaction 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 ‘ype but will
typically contain: [S472]
« Post Office ID;
« Counter Position ID;
¢ Unique Transaction ID;
« Date;
* Time;
* User ID;
« Application:
* Transaction Details. [5472]
. 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 Correspondence Server forms part ofa ‘cluster’ of Correspondence
Servers of which 2 are located on one site and the remaining 2 located on a separate
geographic site. All transactions associated with one Correspondence Server are
automatically replicated to the other site. Within each site ali transactions are reliably
mirrored within a multiple disk array which has no single point of failure. [S472]
Once data are stored in the journal they shall never be altered. New Transactions
shall always be appended to the journal. Retrieval of data using a particular key field
shall retrieve al] entries containing that field. [S472]
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]
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2.6.1.6. The Contractor shal! provide synchronisation facilities which shal} 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). [$472] ®
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]
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. The Contractor shall provide a User activated suspension which shall enable the User
to clear the screen and leave the PC for ashort period. The User session shail be
reactivated by the User entering their password. Any Applications which were active
shall be left active. The display presented when the suspension facility is activated
shall be different to any normal desktop or Application screen. [S921]
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. Should the User who initiated the suspension be unable to re-activate the facility, the
following actions may be taken: [S921]
* After a period of time, during which there is no active session, the session
shall be automatically logged-out. A joumal message will be created
indicating this;
* The Outlet Manager may assume responsibility for any uncompleted
session, the Stock Unit or share thereof, by entering his own User name /
password; z
* Once the PC has lo:
-d-out any authorised User may then use that PC;
* All the above Events shall be written to the journal. (S921]
2.6.2.4. 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. Inactivity Time-out
2.6.3.1, The OPS and the elements of the POCL Service Infrastructure on which OPS is
provided shall provide secure inactivity time-out facilities if the PC is inactive for a
short period for each Counter Position PC and back office PC.
2.6.3.2. Should the User be unable to re-activate the facility, the following actions may be
taken: [S921]
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« After a period of time during which there is no active session the session
shall be automatically logged-out. A journal message shall be created
indicating this;
© 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.
All the above Events shall be written to the journal.
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. The facility shall allow the User to resume work with the minimum delay consistent
with achieving security in accordance with the provisions hereof. [extrapolation]
2.6.4. Encryption Key Management
2.6.4.1. 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. [S952]
2.6.4.2. With the exception of PIN Pads (in which case 2.6.4.3 shall apply), a key
management system shall de in place so the encrypted data can be deciphered without
risk of that cryptographic key being exposed. [R952]
2.6.4.3 Management of keys associated with PIN Pads shall be as described in paragraph
10.6.1 (a) of Schedule NO1.
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 specified 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 the Horizon OPS Style Guide. [R475]
2.7.2.2. The Horizon OPS Style Guide shall set out, inter alia, general guidelines for the
Human Computer Interface: [S475]
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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;
A seamless link between Transaction selection and Application;
A common and consistent User Interface for Transaction selection and
Applications;
Screen layouts;
POCL Service Infrastructure navigation routes;
Help facilities. [S475]
2.7.2.3. The Human Computer Interface shall be intuitive anc easy to use, to minimise errors
and delays. The Human Computer Interface shal! provide a consistent took and fee!
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 shal! provide TMS in accordance with the applicable Service Levels
set out in Schedule G10. {extrapolation]
3.2. Overview
3.2.1. The TMS shall provide the interworking between the Outlets and the Contractor’s
central processing sites. This interworking shall use one of the following
communications access methods: Integrated Services Digital Network (ISDN);
integrated Satellite Business Network (ISBN), generally referred to as VSAT (Very
Small Aperture Terminal); or Frame Relay. TMS shall be provided using both the
Outlet and the correspondence server Equipment, presenting interfaces to POCL
Client systems or POCL systems. Such interfaces shall be implemented using TMS
Agents, which are specified in paragraph 3.4.1. {4.1.4.2.1]
The role of TMS shall be to provide a secure and resilient messaging and journaling
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
3.3.4. Scalability
3.3.1.1. The Contractor shall providé TMS such that it shall be scaleable to meet POCL’s
future business needs. [R541 / S541]
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 the scaling of TMS or 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
G05 and NOI [S541]
3.3.1.4. The Contractor shall monitor traffic patterns and actual system resource usage. The
optimum deployment of the elements of the POCL Service Infrastructure shall be
used to provide TMS. [S541]
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. The Contractor shall support POCL’s strategy to introduce new classes of business
Transactions and shall enable access to central host systems for authorisation or data
access/update. The Contractor shall implement such links using TMS to provide the
specific Client data exchanges. [S541]
3.3.2. Discreteness of TMS
3.3.2.1. 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 be separately procured. [R480]
3.3.2.2. Not used
3.3.2.3. By the end of the Operational Trial Period, the Contractor shal! specify the boundary
performance characteristics of TMS (which shail 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 in no event later than 9 months afier commencement of Roll
Out.[R869}
3.3.3. Data Integrity
3.3.3.1. An Application or TMS Agent shall be able to be certain, at some level, that data
have been positively acknowledged as received by TMS, or a peer Application
connected to 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;
© tme deferred. [4.1.4.2.3.4.4]
3.3.4. Exclusivity
3.3.4.1. No computer system shall be connected to the elements of the POCL Service
Infrastructure on which TMS is provided without the approval of POCL. [R479]
3.3.4.2. The Contractor shall maintain a register of computer systems with which such
connections are allowed. [R479]
3.3.4.3. TMS shall provide links into other computer systems as required to support the
introduction of new or re-engineered Transactions required by POCL. [4.1.4. ]
3.3.4.4. TMS shall authenticate the identity of any computer system with which a link is to be
established. [R479]
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. TMS shall produce reports detailing any attempt to establish a link which is rejected.
The Contractor shall provide these reports to POCL on request. Such reports will not
be required where the link is between TMS and the NBE and the rejection is due to 2
failure of the NBE. [R479]
3.4, General Service description
3.4.1. 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 Interfaces documentation
maintained by POCL. These shall include:
« Transaction Information Processing (TIP) system 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 between the POCL Reference Data System and the POCL Service
Infrastructure and POCL Services; [extrapolated]
* Interface between POCL SAPADS and TMS.
* Interfaces between the NBE and TMS
3.4.1
The development and implementation of the interfaces specified 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:
(a) For EPOSS:
i. TIP TMS Agent;
(b) For APS:
i. Famborough Data Polling Centre TMS Agent;
ii, TMS Agent(s) to/from POCL APS Clients (to be agreed);
{c) For OBCS
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i. TMS Agent to transfer data between OBCS hosi and counter
application;
(d) For POCL Service Infrastructure and POCL Services:
i, Reference Data System TMS Agent;
(©) Further TMS Agents to support Additional POCL Services or additional
Client services may be agreed from time to time between POCL and the
Contractor; {new text derived from $831]
(Q) For LES:
i, TMS agent to transfer data between LFS host and the counter
application.
(g) For NBS:
i. TMS Agents to transfer data between the NBE and the NB 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 shal! be generated as a part of the relevant POCL
Application Service, EPOSS, LFS or NBS. [new text derived from $$31]
b) Transaction Information System (TIP) system interfaces to/from TMS and Outlets.
Interfaces shall be provided to support the transmission from Outlets of:
« TMS Transactions (POCL Client summary returns);
e Automated Product data (Authorisations within Outlet within POCL client);
« Outlet Transactions.;
and the receipt at Outlets of:
® error notices;
* texts and/or files for distribution to Outlets (instructions, procedures etc.).
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.
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The electronic cash account shal! be transmitted to TIP in accordance with the SADD.
paragraph 4.1.3.3.4. [R819/4.1.3.3.4 after CCNSid]
¢) 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, NBS and OBCS (not including
OBCS Stop Lists data).
Reference Data from POCL Reference Data System (RDS) is delivered in separately
identifiable change requests and loaded into Pathway’s Reference Data Management
Centre (RDMC). Change requests are then made available to a daily extract process
when correct authorisation for each request is received from POCL. Details
regarding the delivery and authorisation of Reference Data are given in the following
CCDs: :
* For Products - “ICL Pathway/POCL Interface Agreement for Operational
Business Change - Product” (CS/PRD/058)
* For Outlets - “ICL Pathway/POCL Interface Agreement for Operational
Business Change — Outlet’ (CS/IFS/003).
The Reference Data TMS Agent receives the file of data extracted from the RDMC
upon completion of the extract process which runs according to the daily schedules.
@d Interfaces between Outlets (via TMS) and POCL Clients
Interfaces shall be provided to support the transmission from Outlets of:
e Transaction data;
* Authorisations Requests;
e Authorisation Confirmations / Exceptions;
and the receipt at Outlets oft
¢ Authorisations;
* Client-specific Reference Data.
The Contractor shail 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. Initially, interfaces will be provided
in accordance with Pathway to HAPS Interface Specification (AP/IFS/001).
Interfaces in respect of individual POCL Clients will be provided in accordance with
either AP Client Specifications or an equivalent document for non AP Clients as and
when these are agreed.
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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 S$31]
e Interfaces between Outlets (via TMS) and the NBE
Interfaces shall be provided to support the transmission from Outlets of:
« Requests;
« CO Confirmations;
and the receipt at Outlets of:
+ Authorisations.
The Contractor shall support this by NBS specific TMS Agents. These shall send Requests
and CO Confirmations to the NBE. In addition the NBS specific TMS Agents shail receive
Authorisations from the NBE.
3.4.1.6. The Contractor shall provide the capability for reconciliation between POCL and its
Clients by ensuring TIP receives a copy via TMS of relevant authorisation data as
specified on an individual Client basis by POCL. [R831 / old 6.4.1.4]
3.4.1.7. The capability for POCL to effect reconciliation between itself and its Clients shall
be provided by the TMS outputs to TIP for Automated Product Data and Outlet
Transactions, with reconciltation totals. [new text derived from S831]
3.4.1.8. The POCL Interface between TIP and the POCL Infrastructure Service shall be
defined in two documents:
(a) “Pathway to TIP Application Interface Specification” and
(b} “Pathway to Post Office Technical Interface Specification”.
These and other POCL Interfaces documents shall be produced by POCL by a date consistent
with the Project Plan. This documentation shall cover:
¢ data content in logical groupings;
¢ physical layouts;
* controls (including security);
e timings:
* volumes;
* technical interface specifications (initially options and constraints);
* configuration management,
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3.4.1.9.
© contingency arrangements. [R831 / old 6.4.1.5]
Versions of existing POCL Interface documentation 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:
° EFTPOS;
* reconciliation and exception reporting;
* operational management information;
* performance monitoring;
¢ inspection ‘of Transaction and Event logs for audit and security purposes;
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 to be agreed between POCL and the Contractor under change
control.
3.4.1.11.The format of each interface shall be specified in a Contract Controlled Document.
3.4.4.12.
Such specifications for interfaces added from time to time shall be introduced
through the Change Control Procedure.[R831 / old 6.4.1.8]
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
3.4.2.1. TMS shail provide for the distribution and collection of both file and record level
data to and from the OPS. {4.1.4.2.3.5.1]
3.4.2.2. Overnight TMS shall produce a report of those Outlets which have not been polled in
the last 24 hours (including date of report, FAD code of each unpolled Outlet and the
date when that Outlet was last polled), and that report shal! be e-mailed to POCL’s
Business Support Unit. [$891]
3.4.2.3. Large data transfers shall be capable of being delivered in the same order as sent.
[4.1.4.2.3.5.1]
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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 Infrastructure. [4.1.4.2.3.5.2]
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. TMS shall provide a file distribution function which shall be responsible for transfer,
monitoring and retry of files. [4.1.4.2,3.5.2]
. TMS shall support the following functions, without limitation:
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¢ Triggering of transfers;
e Reporting of transfer failures and retry of these transfers:
© 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. TMS Agents saall be customised for each specific host system link
and shail provide the required conventionai file processing facilities, including
without limitation: [4.1.4.2.3.5.3]
* Validation of data files;
ig of files;
© Concatenation and mergi
« Generation of many data files from one data fi
© Reformatting of the contents of a data file;
¢ Generation of control totals;
¢ Reconciliation of control totals;
¢ Production of reports, financial and other summaries. [4.1.4.2.3.
3.4.5. Data Transfer Initiation _&
3.4.5.1. 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.
* External message
Computer systems at which TMS is provided shall 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.
E:nition
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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]
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]
2, All changes to such documentation shal! be subject to the written agreement of
POCL. [R470]
3.5.1.3. The documentation shall include: [S470]
« The TMS Architecture Specification Document.
A document which includes a description of the overall systems architecture
of TMS and the functionality of its various software sub-systems . This
shail include a description of the TMS Agents which shall describe how
Client systems utilise the TMS. [$470]
¢ The Generalised API for OPS/TMS Document
A document which shall describe APIs provided by OPS and 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.
3.6. Data Errors
3.6.1. Interpretation of Paragraph 3.6
3.6.1.1. For the purposes of this paragraph 3.6: -
“Cash Account Error” means an electronic cash account presented by TMS at the
TIP interface which is not an accurate record of the corresponding cash account
which was irrevocably committed by the relevant User;
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“Cash Account Period” means each period (normally of seven days ending on a
Wednesday) to which POCL shall have allocated, or shall subsequently allocate, a
Cash Account Period Number and of which it shall have informed, or shall inform,
the Contractor through the Operational Business Change process;
“Contractor Inaccurate Cash Account” means an Inaccurate Cash Account caused
primarily by:-
(i) inaccurate Reference Data in ithe Contractor’s Reference Data system
(other than Reference Data supplied by POCL);
(ii) an error in any Software; or
(iii) a failure by the Contractor to apply Reference Data supplied by POCL
correctly and in compliance with the CCD entitled “ICL
PathwayPOCL Interface Agreement for Operational Business Change -
Product” or, pending the signature thereof, the draft of that CCD dated
13/1/2000, version 2.9
where in any such case the effect of such inaccuracy or error was not capable of being
corrected dy the User before irrevocable commitment of the cash account in question
by applying any work-around previously agreed between POCL and the Contractor
for such purpose;
“Data Error” means:
(i) an error (other than a Not Data Error) which results in an Inaccurate
Cash Account (Data Error) or a Cash Account Error;
(ii) a Transaction Error which is not a Not Data Error;
“Data Error Counting Period” means
(i) each Cash Account Period which is of a duration of seven days or less;
and
(ii) in respect of Cash Account Periods of greater than seven days duration,
each proportion of any such Cash Account Period derived by dividing
such Cash Account Period into two or more Data Error Counting
Periods sucii that the first such Data Error Counting Period is between
one and seven days’ duration and each subsequent Data Error Counting
Period during that Cash Account Period is exactly seven days in
duration;
“Inaccurate Cash Account” means in respect of any Cash Account Period at any
Outlet an electronic cash account which does not properly account for all
Transactions input to the POCL Service Infrastructure by Users at that Outlet in that
Cash Account Period;
“Inaccurate Cash Account (Data Error)” means an Inaccurate Cash Account
which is not an Inaccurate Cash Account (Not Data Error);
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“Inaccurate Cash Account (Not Data Error)” means an Inaccurate Cash Account
which:-
@) is not a Contractor Inaccurate Cash Account; and
(i) is irrevocably commited by a User at the conclusion of the end of week
process in respect of any Cash Account Period at the relevant Outlet
notwithstanding that, prior to irrevocably committing such Inaccurate
Cash Account, that User had been provided with a warning that receipts
and payments did not match and that continuing might lead to an
unbalanced cash account (or an equivalent warning);
“Manual Error Report” means in respect of any Data Error, a report from the
Contractor to POCL describing that Data Error and specifying (in a format suitable
for POCL to key into a POCL data input facility):-
@ in the case of a Data Error resulting in an Inaccurate Cash Account
(Data Error) or a Cash Account Error, each of the line items in the
relevant cash account which need to be replaced in order to correct the
Data Error in question; and
(ii) in the case of a Data Error which is a Transaction Error, the relevant
Transaction record as it would have appeared but for the Data Error;
“Not Data Error’ means any of the following:-
{i) an error caused by invalid data input by Users in Outlets (other than the
input of data which puts a previously balanced cash account into a state
of imbalance);
(ii) an error caused by the input of erroneous data by a User during
migration of POCL Data to any Outlet (save where data migration tools
have been provided by the Contractor to detect such error but such error
is not detected despite proper use of those tools by the User in
question);
(iii) - an error caused by Reference Data supplied by POCL which result in
Transactions not being correctly taken into account in cash accounts
where such Reference Data were correctly applied by the Contractor in
compiiance with the CCD entitled “ICL Pathway/POCL Interface
Agreement for Operational Business Change-Product” or, pending the
signature thereof, the draft of that CCD dated 13/1/2000, version 2.9;
(iv) an Inaccurate Cash Account (Not Data Error); or
(vy) anerror which is classified in Annex I to this Schedule GO! as an error
of class “F” or “G”, whether or not it falls within sub-paragraphs (i) to
(iv) above.
“Repaired Cash Account” means, in respect of any Inaccurate Cash Account or
Cash Account Error, the relevant cash account as corrected by the Contractor;
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3.6.2
3.6.3
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“Repaired Transaction Data” means, in respect of any Transaction Error, the
relevant record following correction of that Transaction Error;
“fransaction Error” means an error in one or more transaction data fields in the
electronic record of a transaction presented by TMS at the TIP interface or a missing,
duplicate or spurious additional Transaction record therein; and
For the purposes of this paragraph 3.6 a Data Error shall be treated as relating to a
Data Error Counting Penod if:-
(i) it is a Transaction Error in a Transaction carried out during that Data
Error Counting Period; or
(ii) it is a Cash Account Eror or Inaccurate Cash Account (Data Error) for
the Cash Account Period (if any) which is co-terminus with that Data
Error Counting Period.
For the purposes of the definitions of Cash Account Period and Data Error Counting
Period a day shall mean a period of 24 hours ending at 8.00 p.m.
Classification of Incident Types
Each of the incident types listed in the table in Annex I to this Schedule GO1 is
classified in the column of that table headed “Incident Classification” by one of the
following designations:-
SAM Os a Transaction Error which is also an Inaccurate Cash Account
(Data Error);
“Bu = a Transaction Error which is also a Cash Account Error;
“Cus a Transaction Error which is neither an Inaccurate Cash
Account nor a Cash Account Error;
“pv = an Inaccurate Cash Account (Data Error) which is net a
Transaction Error;
‘Ev = a Cash Account Error which is not a Transaction Error; .
sl a Not Data Error; and
“Gos an incident which is treated by the parties as a Not Data Error.
Detection of Errors
The Contractor shall duly apply throughout the term of this Codified Agreement all
of the defensive measures and checks described in the Annex to this Schedule GOL in
order to detect Data Errors and Not Data Errors. Such defensive measures and
checks will be applied with the frequency indicated in the said Annex. All Data
Errors and Not Data Errors detected (by the Contractor or otherwise and whether or
not by application of such defensive measures and checks) shall, subject to paragraph
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3.6.4
3.6.4.1
3.6.4.3
3.6.4.4
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3.6.4 below, be dealt with in accordance with the remaining sub-paragraphs of this
paragraph 3.6.
Widespread Errors
As soon as the Contractor discovers, whether through calls received at the Help Desk
or otherwise, that there are or are likely to be Data Errors or Not Data Errors
affecting cash accounts at more than 100 Outlets in any one Cash Account Period
then the Contractor shal] immediately:-
(a) notify POCL in accordance with procedures described in the CCD entitled
“TPS Reconciliation and Incident Management” (CS/PRO/111); and
(b) comply with those provisions of that CCD which shall be inserted by
reference to this paragraph 3.6.4.
Upon the Contractor’s giving notice in accordance with paragraph 3.6.4.1(a) the
remaining provisions of this paragraph 3.6 (other than paragraphs 3.6.4.3 and 3.6.4.4
below) shal] cease to apply in relation to such Data Errors and Not Data Errors.
Subject to paragraph 3.6.14 below, the Contractor shall promptly reimburse to POCL
all costs reasonably incurred by POCL in correcting any Data Errors to which
paragraph 3.6.4.1 applies.
POCL shall promptly reimburse to the Contractor all costs reasonably incurred by the
Contractor in correcting any Not Data Errors to which paragraph 3.6.4.1! applies.
Data Errors discovered before transmission
Subject to paragraph 3.6.5.4 below, if the Contractor discovers a Transaction Error
which is a Data Error prior to the relevant record being transmitted by the Contractor
to POCL over the TIP interface, then the Contractor sha!l not transmit the relevant
record but shail retain it and:
a) correct the Transaction Error in the relevant record;
b) transmit the Repaired Transaction Data to POCL over the TIP interface; and
c) promptly issue a report to POCL in an agreed format containing an explanation
of the correction made.
If the Contractor discovers any Data Error resulting in an Inaccurate Cash Account
(Data Error) prior to the relevant record being transmitted by the Contractor to POCL
over the TIP interface then, notwithstanding the presence-of such error, the
Contractor shall transmit the relevant record to POCL over the TIP interface and
thereafter either:-
(a) with POCL’s agreement (such agreement not to be unreasonably withheld)
promptly correct the Data Error in the relevant cash account, transmit the
Repaired Cask Account over the TIP interface (without prejudice to paragraph
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3.6.6
3.6.6.1
6.6.2
io
3.6.6.4 below) and issue a report to POCL containing an explanation of the
correction made; or
(b) promptly issue to POCL a Manual Error Report in respect of that Data Error.
Subject to paragraph 3.6.5.4 below, if the Contractor discovers any Cash Account
Error resulting from a Data Error prior to the relevant record being transmitted by the
Contractor to POCL over the TIP interface, then the Contractor shall not transmit the
relevant record but shall retain it and:
(a) correct the Data Error in the relevant cash account;
(b) transmit the Repaired Cash Account to POCL over the TIP interface; and
(©) romptly issue a report to POCL in an agreed format containing an
explanation of the correction made.
The Contractor may, instead of retaining and repairing records in accordance with
paragraphs 3.6.5.1 and/or 3.6.5.3 above, promptly issue to POCL Manual Error
Reports for up to a total of 50 Data Errors relating to any Data Error Counting Period
(or such higher limit as the parties may agree).
Data Errors discovered afier transmission
Where a Data Error shall not have been discovered before transmission of the
relevant record to POCL over the TIP interface, but is subsequently discovered, the
provisions of paragraphs 3.6.5.1 and 3.6.5.3 above shall not apply to such Data Error.
Instead the Contractor shall either:
(a) with POCL’s agreement (such agreement not to be unreasonably withheld),
correct the Transaction Error or, as the case-may be, the Data Error in the
relevant cash account, transmit the Repaired Transaction Data or (without
prejudice to paragraph 3.6.6.4 below) Repaired Cash Account to POCL over
the TIP interface and promptly issue a report to POCL containing an
explanation of the correction made; or
(b) promptly issue to POCL a Manual Exror Report in respect of that Data Error.
If the number of Data Errors which are discovered after the transmission of the
relevant record exceeds twenty in any Data Error Counting Period the Contractor
shall, in consultation with POCL, review the process introduced by the Accounting
Integrity Control Release with a view to enhancing such process in order to detect the
relevant Data Errors prior to transmission of the relevant records and to identify and
correct root causes of such errors.
Any Data Error processed by the Contractor under paragraph 3.6.6.1(b) above which
shall have been discovered after transmission but before the conclusion of the Data
Error Counting Period to which it relates shall count towards the 50 per Data Error
Counting Period limit under paragraph 3.6.5.4 above. However, where a Data Error
is discovered after iransmission and after the conclusion of the Data Error Counting
Period to which it relates the Contractor shall be entitled, without thereby being in
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3.6.6.4
3.6.7
3.6.8
3.6.8.1
3.6.8.2
breach of paragraph 3.6.5.4 above, to submit a Manual Error Report in respect
thereof in accordance with paragraph 3.6.6.1(b).
Where paragraph 3.6.5.2(a) or 3.6.6.1(a) above applies, the Contractor’s obligation to
transmit a Repaired Cash Account may be satisfied by transmitting such part of the
Repaired Cash Account as is necessary to correct the Data Error concerned, provided
that such transmission complies with the requirements of the CCD entitled “Pathway
to TIP Application Interface Specification”.
Not Data Errors
The Contractor shall, promptly following discovery of any Not Data Error, issue a
report to POCL (in the same format as a Manual Error Report) containing a brief
description of the Not Data Error to the extent that it can be identified and shall co-
operate with POCL and, to the extent that is reasonable, assist POCL (a) to
investigate and seek to prevent the recurrence of such Not Data Error and (b) to
prevent the production of Cash Accounts which are incorrect as a result of such Not
Data Error.
General Provisions
The Contractor undertakes to use al! reasonable endeavours, in accordance with the
procedures defined in the CCD entitled “TPS Reconciliation and Incident
Management” (CS/PRO/111), to notify POCL of the discovery of a Data Error or Not
Data Error on the same day on which such Data Error or Not Data Error is discovered
and shall in any event notify POCL thereof on the moming of the Working Day next
following the date on which it is discovered.
The Contractor undertakes to use ali reasonable endeavours to ensure that:
a) the delay between the occurrence of a Data Error (or in the case of a Data Error
detected after the transmission of the relevant record, its detection) and (2) the
issue of a Manual Error Report in respect thereof to POCL or (b) transmission of
the Repaitéd Transaction Data or (without prejudice to paragraph 3.6.6.4)
Repaired.Cash Account to POCL over the TIP interface; or
b) the delay between discovery of a Not Data Error and the issue of a report to
POCL in relation thereto under paragraph 3.6.7 above
shall not in any such case exceed five working days.
Where any such delay as is referred to in paragraph 3.6.8.1 has exceeded, or the
* Contractor believes that it is likely to exceed, five days, the Contractor shall
3.6.8.4
immediately notify POCL's Head of Service Management and shall procure that the
Contractor’s Customer Service Director (or, in his absence, his deputy) is made
available to meet with POCL’s Head of Service Management (or his delegate) to
discuss the delay within two working Days of such notification.
Where the Contractor provides Manual Error Reports it shal! provide a separate
Manual Error Report for each Data Error discovered. For this purpose, where a
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single error in a cash account ts manifested in more than one place in that cash
account it shall be treated as a single Data Error, but two or more different errors in
the same cash account shall be treated as different Data Errors, each requiring a
separate Manual Error Report.
Where the Contractor is required to make an assumption in order to correct a Data
Error and/or present Repaired Transaction Data or a Repaired Cash Account, the
Contractor shall make such assumption and promptly inform POCL of the
assumption made.
The Contractor shall pay to POCL within 30 days after the end of each month a sum
to compensate POCL for its costs in dealing with Manual! Error Reports for Data
Errors as follows:
i. I £150 per Manual Error Report relating to a Transaction Error discovered after
transmission of the relevant record;
ii. £100 per Manual Error Report relating to a Transaction Error discovered before
transmission of the relevant record;
iii, £100 per Manual Error Report relating to a Cash Account Error discovered;
and
iv. £100 per Manual Error Report relating to an Inaccurate Cash Account (Data
Error)
in that month, Clause 802 of the Codified Agreement shall apply to such payments
as though they were liquidated damages for failure to meet Service Levels.
For the purposes of calculating any sum which may be due to be paid to POCL under
paragraphs 3.6.4.3 or 3.6.8.6 all Data Errors which shall have been corrected by the
Contractor and the relevant Repaired Transaction Data or (without prejudice to
paragraph 3.6.6.4) Repaired Cash Account transmitted to POCL over the TIP
interface. within five Working Days of such Data Error occurring shall be excluded
and no payment shall be made to POCL in relation to such Data Errors.
3.6.8.8 For such period (if any) following discovery of any error or inaccuracy during which
there is insufficient information for the Contractor to determine whether such error or
inaccuracy constitutes, or,gives rise to, a Data Error or a Not Data Error, such error or
inaccuracy shail, for the purposes of any action to be taken under paragraphs 3.6.5 to
3.6.7 (inclusive) above bur not otherwise, be treated as a Data Error.
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]
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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 OPS to identify whether data from OPS have
4.2.2.5.
4.2.2.6.
been received by TMS or not. [R467]
Data Replication
. The Contractor shall use date 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]
. Once a Transaction has been settled at a Counter Position, TMS shall commit the full
Transaction details 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}
The OPS PCs and TMS servers are known as “nodes”. [S467]
. 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 introduce 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 provide a very high level of message integrity as
agreed between the parties from time to time, such agreement not to be unreasonably
withheld. Details of the use of the cryptographic algorithm are contained in the
“Security Functional Specification”. [S467)
Data and message transfers shall be resilient to either network or node failure. When
the failure condition is resolved the nodes shal! automatically synchronise and
complete any data or message transfers 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 shail be calculated for ail journal records,
including Reference Data;
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« Digital signatures shail be used for all data where assurance of content and
source are required;
« Data encryption used selectively on certain data fields. (4.1.4.2.3.4.2 / $467}
42.3.2 All messages and data shall have a cyclic redundancy check applied when they
are initially committed to the journal and this shall be checked every time the
message or data is accessed. This shall protect against accidental corruption and
casua! tampering. Any failure of a cyclic redundancy check shall cause the message ~
to be rejected and retrieved from alternate nodes. [S467]
4.2.3.3 In the event that nodes fail, recovery shal] take place in accordance with the
CCD entitled “Post Office Site Failure Contingency Procedures” and sections 4.1.5.2
and 4.1.6 of the SADD.
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}.
42.3.5 The Contractor 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. [$467]
4.24 Recovery
4.2.4] The Contractor shall perform general recovery processes as specified in “Post
Office Site Failure Contingency Procedures”, The Contractor shall perform TMS
recovery processes as specified in the “Service Architecture Design Document”
referenced in Schedule B03. [4.1.4.1.1.2]
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]
4.2.5 Messaging
Using TMS and OPS the Contractor shall provide a broadcast facility which *
shall enable messages of around 2.000 bytes to be sent to all or a subset of Outlets
from a central location, The message shall be input into an application running on
the central servers used to provide TMS.and shall 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 to gain access to information held
electronicaily on the POCL Service Infrastructure such as is from time to time
published in ‘Counter News’ and POCE operations manuals. [R47!]
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4.2.6 Agreement to offer POCL services using the POCL Infrastructure
4.2.6.1 Third party services which utilise the POCL Infrastructure Services shall only
be provided subject to the agreement of POCL. [R464]
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3. SYSTEM MANAGEMENT SERVICE ‘
5.1. Purpose
5.1.1. This Section details the Systems Management Service which the Contractor shal]
provide. [extrapolation]
5.1.2. The Contractor shall provide the System Management Service in accordance with the
applicable Service Levels set out in Schedule G10. [extrapolation]
5.2, Overview
3.2.1. A Systems Management function shall be deployed based on a central service
delivery capability, able to interact with each of the Outlets. [4.2.2.1]
5.2.2. The Contractor shail carry out system management of all POCL Services ina
consistent and coherent manner, The activities within each POCL Service shall be
co-ordinaied such that, for example, changes and faulis can be tracked across POCL
Service boundaries. [R537]
5.2.3. Changes to the POCL Services shall 2¢ made speedily and accurately. [R537] ‘
System Management facilities shail include, 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 of information on the
existence and type of machines and associated peripherals;
¢ Configuration Management - the non-static configuration parameters that
drive the Applications and operating system [S537];
' . PIN Pad monitoring — the Contractor’s system management service provided
in respect of the Existing Services shall provide routine monitoring of PIN
Pads for occurrence of events such as low battery in the PIN Pad [PPR029}.
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5.3. General Service description
5.3.1. Synchronisation Of Time
5.3.1.1, All system data, including date and time, shall be consistent. The Systems
Management 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. [S538}
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. [R533]
5.3.2, Reference Data handling
§.3.2.1. The Contractor shall maintain and process Reference Data necessary to the operation
$.3.2.3
5.3.3.
of the POCL Service Infrastructure and the POCL Services. [R539]
The Contractor shail receive, store and utilise Reference Data from sources outside of
the Contractor domain, as defined in the “Application Interface Specification
Reference Data to Pathway”, “Application Interface Specification Reference Data to
Pathway Type B Data” for the applicable Release and “* Pathway to Post Office
Technical Interface Specification”. [R539] .
. 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 state of the Outlet and its associated software base (e.g. Event
management details, sofiware 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). '$539]
The Contractor shall provide functions required to store and maintain Reference Data
and to manage its distribution and activation. The Contractor shall provide asset and
configuration database(s) which shall provide a central 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. [S539]
Release control
. The following shall be approved by POCL before any Release, this approval not
being unreasonably withheld: [R476]
a) the contents of any Release;
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}) the upgrade path for any Release;
c) the timing of the distribution of any Release;
d) the timing of the activation of any Release. [R476]
In respect of each Release the Contractor shall provide a release plan, for agreement
by the parties prior to the Release, documenting how the parties intend the Release be
deploved in Outlets and assessing the risk to and impact on the POCL Services. The -
release pian shall include details of the matters referred to in paragraph 5.3.3.1. (a) to
(d) of this schedule together with details of agreed timescales or periods (if any)
during which the Contractor may revert to the previous Release. The parties
acknowledge that during deployment of most Releases, there is a point beyond which
itis impractical to revert to the previous Release and, accordingly, the release plan
will also document the parties agreement on the stage at which this point will arise (if
at all).
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The Contractor shall provide proof of sufficient and satisfactory pre-testing of
each Release before any Release is distributed, including the following aspects:
{R476}
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a@) at individual component (unit test) level;
b) of all components of the Release, both changed and unchanged, working together
(system test);
c) of 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].
Such testing shall be carried out in accordance with the CCDs “General Testing
Policy” (VI/POL/001) and “Testing and Integration Strategy” (VYSTR/001)
The Contractor shall provide proof of sufficient and satisfactory preparation for
the implementation of a Release. This shall include testing the implementation,
reversion, regression from the Release, and the support of any testing by POCL.
[R476]
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5.3.3.5, The Contractor shall be permitted to suspend availability in Cutlets of the NBS
and/or any of the Existing Services outside the POCL Core Day, at such times and
for such periods of time as agreed in advance with POCL (such agreement not to be
unreasonably withheld) in connection with implementation in Outlets of each major
Release.
5.3.3.6 Subject to paragraph 5.3.3.5., the implementation of any Release shall not
cause any significant disruption to Users, shall not disrupt the normal working
environment of Users and shall not require significant involvement from Users.
[R476]
3.3.3.7. The implementation of any Release shall not cause any corruption to data held by or
on behalf of POCL. [R476]-
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5.3.3.8 The Contractor shall maintain a detailed record of all Releases and where they
are deployed. [R476]
5.3.4. Asset register
5.3.4.1. 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]
5.3.4.2. The asset register shall identify all of the Equipment which is installed at each Outlet
and shall be available to POCL. [R477]
. The asset register shall contain operational information that shall support the
management and control of both Roil Out and POCL Operational Services.
Including, inter alia: [S477]
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* site address and contact information;
* site implementation status details;
* system configuration details;
« Equipment types and serial numbers;
© Software versions;
¢ Applications versions. [S477]
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. The asset register shall be an integral part of the MIS. [$477]
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. The Asset Register shall be available for enquiries by Help Desk staff as necessary in
responding to queries and calls from the Outlets. It 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 shal] employ SQL technology and shall be extensible to cope with
any new Hardware/Software objects/attributes deployed in response to future POCL
needs. (4.2.2.1.3]
5.3.5. Software Distribution
5.3.5.1. Software distribution facilities shal} be provided by the Contractor which shall enable
Software files and installation scripts to be distributed across the ISDN, ISBN
generally referred to as VSAT (Very Small Aperture Terminal) 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]
The distribution process shall separate the transfer of Software and its subsequent
installation, which shall be controlled from the installation script associated with the
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Software package. This shall enable the installation process to take effect ata
particular date or time. [4.2.2.1.4] «
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. 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]
Configuration Management for Outlets
. 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 pariicular Outlet and install the file set on all or a subset of PCs within the . +
Outlet. [4.2.2.1.5}
. Configuration details shall also be available after completion of Rofl Out 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]
Network Management
Network Service Infrastructure management shall be run from a ceriral service
providing facilities for reporting and diagnosing network events, consolidation and
interrogation of statistics and controlling the configuration and parameter settings on
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6.1.
6.1.1.
6.1.2.
6.3.
6.3.1.
HORIZON SYSTEM HELPDESK SERVICE
General
The Contractor shall provide the Horizon System Helpdesk service which shall be,
except as otherwise provided in this Codified Agreement, 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]
The Horizon System Helpdesk shall:
2) act as a central point for information on the working state of the POCL Services;
b) keep customers notified of any scheduled interruptions;
¢) assist in any negotiations with POCL where interruptions to the POCL Services
provided are scheduled;
d) keep POCL informed of when the ROCL Service will be restored. [R914]
The Contractor shall also provide the facility to receive redirected calls from POCL
help desks and helplines. [R914]
Appropriate Levels of Support Service
The Contractor shal! provide appropriate levels of support services:
a) to 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 Horizon System Helpdesk
facility provided by the Contractor. [R523]
Levels of Service
First Level Service
The first level Service shail provide an immediate problem solving service for all
simple and straightforward problems, which can be resolved within five (5) minutes,
and all general enquiries. [R914]
. The first level member of staff who takes the call owns the problem from initial
logging through to resolution to the cusiomer’s satisfaction. The Contractor shall
cater for first level members being off duty. [R914]
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6.3.2. Second Level Service
6.3.2.1, The second level Service shal! provide a diagnostics and fixing service for all
6.4.
6.4.1.
problems which cannot be fixed within five (5) minutes by the first level Service, but
which can be resolved within thirty (30) minutes. [R914]
Calls 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. [R914]
Third Level Service
. [fthe Horizon System Helpdesk is unable io resolve a problem at the first or second
level the Contractor shail categorise and prioritise the problem so that it can be
actioned and completed within a standard timescale. [R914]
Problem Management
The Contractor shall provide a problem management system to record the problem
details such as (but not exclusively):
@) unique 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 problem was reported to the Rorizon System Helpdesk,
e) Horizon System Helpdesk contact;
£) description of the problem, including frequency of occurrence;
g) serial references of similar faults and previous occurrences;
h) Hardware Equipment involved; serial number etc.;
4) Software product and release version;
j)) assessed impact on customers business;
k) priority for solution;
1) problem category;
m) estimated elapsed time to solve problem;
ri) any change of referral point;
©) date and time of referral. [R914]
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6.4.2.
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;
@) date and time problem was cleared;
e) date and time the solution was accepted by the customer;
£) actual elapsed time to solve problem. [R914]
6.4.3. The Contractor shall also keep a record of all problems relating to the failure of
uploading and downloading data. [R914]
6.4.4. The Contractor’s first level Service staff shall assign a priority to the problem.
[R914]
6.4.5. 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]
6.4.6. The Contractor shall manage the resolution of any problem using procedures which
are defined in the document Horizon System Helpdesk PPD, [R914]
6.4.7. A problem can only be cleared wher 2 customer has confirmed satisfaction with the
resolution. [R914]
65, Systems and Services Supported
6.5.1. The Contractor shall maintain User, asset, problem and change management
databases 4]
6.6. Resilience
6.6.1. The Contractor shall be responsible for ensuring that a contingency plan is in place to
cater with any Horizon System Helpdesk 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. [R914}
6.7. Training
6.7.1. For Roll Out the Contractor shall provide training as defined in the Training and User
Awareness Baseline Document (reference BP/TRN/001!) to ensure POCL staff work
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6.8.
6.9.
6.9.1.
effectively with the Horizon System Helpdesk. The Coniractor shall develop and
implement training plans for its own staff. [R914]
Personnel
The Contractor shall ensure that all staff, including back-up staff, employed on the
Horizon System Helpdesk 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. [R914}
Service Monitoring
The Contractor shal! produce POCL Service information, in 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 they relate. The following is an example of the
information required:
a} number of calls outgoing/received/number of calls not answered;
b) percentage of calls answered within target times:
c) number of problems/queries logged;
@) 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 (10) minutes;
£) number of problems/queries with secondary complications (e.g. repeat calls),
) number of problems/queries escalated;
h) percentage of time full Horizon System Helpdesk Service was availabie;
i) Contractor performance against Service Levels for response;
j) POCL Service availability at each Outlet. [R914]
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) customer group and location;
d) mean time to closure. [R914]
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6.9.3.
The Contractor shall retain Horizon System Helpdesk records for a minimum of
eighteen (18) months. [R914]
6.9.4. Each quarter a survey shall be conducted by POCL to determine User satisfaction
with the Horizon System Heipdesk Service. The approach to be taken and the format
and content of the questionnaire shall be discussed between the Contractor and
POCL at the quarterly Service Management Review meetings. [R914]
6.9.5. I The Contractor shall, on request, provide on-line access to the problem management
system. POCL shail 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 Snfrastructure in each POCL Premises in line with the
Service Levels, except that the Contractor shall not be required to provide support
Services that are specific to PEN Pads in Outlets at which PIN Pads are not installed.
{R520}
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 for POCL 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 advice;
&) configuration management. [R524]
6.14. Horizon System Helpdesk Additional Support Services .
6.14.1. The Horizon System Helpdesk shall be able to provide access for Users to additional
** support Services (including training facilities, training materials for Existing
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Services, 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 do so by POCL. [R525]
6.15. I Horizon System Helpdesk Resolution of Reported Incidents
6.15.1. All reported Incidents shall be resolved in line with Service Levels in Schedule GLO.
{R526}
6.16. I Horizon System Helpdesk availability
6.16.1. A dedicated Horizon System Helpdesk staffed by fully trained, qualified and
experienced personnel shall be provided working to Service Levels in Schedule G10.
[R527]
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 shall be re-
routed to the appropriate point. [R528]
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]
7. MESSAGE BROADCAST SERVICE
TA. Purpose
7.1.1. This section details the functions and capabilities provided by the Message Broadcast
Service (MBS) that shall be provided by the Contractor.
7.1.2. The Contractor shali provide the MBS in accordance with the applicable Service
Levels set out in Schedule G10.
7.2, Overview
7.2.1. The MBS shall provide the capability for sending text messages from a central
location to Outlets, including the ability to target selected Outlets and user groups
within those outlets.
7.3. Service Boundaries
7.3.1. Message submission
7.3.1.1. POCL shail pass to the Contractor messages and contro! information with each
message for broadcast to appropriate Outlets. The maximum length ofa single
message shail be 1670 characters (excluding control information), and no message
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shall include the restricted characters described in (*CCD to be identified”). The
control information with each message shall include:
a) title (up to 18 characters, including embedded spaces);
b) priority (high or low);
c) retention period (10 to 37 days);
d) selected Outlets (these may be specified by region, Outlet type or FAD code);
) selected user group (Migrate, Manager, Supervisor, Clerk, Auditor or Auditor -
Emergency Manager) or “ANY” meaning all users. For the avoidance of doubt,
“ANY” does not include users ENGINEER, SUPPORT & SETUP which are noi
part of the Message Broadcast service available to POCL.
. The Contractor shall provide a daily report of Outlets, which may have been unable
to receive messages during that day.
The process for message submission and retum of the daily report shall be as
specified in “CCD to be identified’, which includes the process for the Contractor’s
use of the MBS.
Reading messages in an Outlet
Authorised users shall be able to access messages delivered to an Outlet from any
counter position for the period defined by the message’s retention period (as defined
in 7.3.1.1 (¢) above. Only users who are members of the user group defined for each
message (see 7.3.1.1 (e) above) will be able to access any part of that message.
Messages shall be deleted from the Outlet once their retention period has expired.
When a user of an appropriate user group is logged onto the OPS and a message is
stored for that user group the OPS shall indicate that a message is available.
. The OPS shall allow an authorised user to view the messages stored for those groups
of which the user is a member. When viewing a message the user shall be informed
of the creation date of the message, its priority and whether that message has been
displayed for that user previously. When the message window is activated, the
messages shall be displayed in the sequence:
a) never previously displayed, high priority;
b) never previously displayed, low priority;
c) previously displayed, high priority;
d) previously displayed, iow priority;
and, if necessary, the user shall be able to scroll backwards or forwards to view each
message in tum. New messages arriving whilst the message window is active will be
appended to the top of the list regardless of priority.
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7.3.2.4. The user shall be able to print any message on the counter printer.
7.3.2.5. Full details of how the user shail operate the OPS to read broadcast messages shall be
as set out in the CSR+ Operating Environment PPD.
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NOTES
eral ~ Interpretation of the above matrix
The columns headed “Incident” define the incidents which the Defences and AIC Detection are designed to address.
Each of the TIP Incident Numbers reters to the incident number given to the first occurrence of the incident of that type.
‘The columns headed ‘Defences’ summarise the defences which have (or will be) put in place to deal with the relevant incidents. In some cases it
Will be seen that there is mnore than one category of defence. ‘These are additive layers of system resilience, and should be interpreted as follows:
FOCI lafasimetute Service Detinition
ye 48 of St
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Ifthere is a root cause fix, then defensive code, if also present, would not be exercised untess cither the root cause fix was found in some
circumstances to be ineffective or another hitherto undiscovered root cause caused the sume symptom, ‘Taking for example AG, the cause of the
missing timestamp underlying the reported incident has been fixed, and so the secend defence (the repair of the defective record by the harvester)
is inactive, but would be activated by some new "bug" which also caused a missing timestamp.
‘The harvester rejection is described as a defence because it prevents defective records reaching TIP. If there is cither a root cause fix or defensive
code executed at the desi top then the harvester will not reject the record, as records reaching the harvester will be correct. The harvester would
reject the record if the fix failed (and indeed for most transaction errors did originally reject the records, which was how the errar was detected by
TIP). .
The cokwnns headed ‘AIC detection’ set oul the reaction the AIC would have made to the various categories of reported errors had if been active at
the time, Where these errors have been either fixed or defended against the AIC will of course not now have anything to detect. The third
defence, harvester rejection, itself cases AIC detection, as quite apart trom anything else which the AIC may have detected it will now also detect
that a record which was present at the counter has not reached the host,
Specific — bracketed numbers in table refer
L. °‘This bug resulted in transactions not being generated. ‘The transactions which were in the message store were correctly brought to account
2. ‘The underlying incident is now understood and can be reproduced. ‘The error does not occur in the CSR+ code and work continues to
understand how to resolve the issue in the current code.
3, ‘This incident type may result in a failure of the service level referred to in paragraph 3.1 of Schedule G10 but is not a Data Error as the
relevant data are rejected at the TIP interface.
4.” Root cause was a migration error. The reported error is the secondary effect of the centrally introduced migration correction not being
harvested to TIP, although the cash account was corrected as requested by POCL.
5. Root cause was incomplete definition of signage agreed between Pathway and TIP, now complete.
6. "Defences" - definitions of terms used as cohnnn headings.
dings is described in the definitions below.
‘The intended purpose of each of the defensive measures referred to in the column hes
the cause of the incidents reported by TIP in the relevant categories.
Root cause fix means a software fix applied to rectif
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Preventative Code means code added to the Horizon software either to detect and prevent an inappropriate user action (such as deletion of
an active stock unit) which would have adverse system consequences, or to detect a systeni error (such as a nul cash acount id) and
prevent the effects of that error propagating through the system.
Llurvester Record Rejection refers to the action taken by the software agent which harvests records to be sent to ‘TIP when it detects a record
as being in error. fn this circumstance the agent refitses to harvest the record, instead reporting it for investigation and/or correction
7. AIC Detection - definition of terms used as column heading
‘The checks performed by each part of the AIC sofiware will be as defined in PI/DES/002, which was re-issued al v0.8 on 22/12/99. This
adds to v0.7 a new section 4.6.5, which describes the test performed by the host AIC sofware to detect and report on instances when the
cash account payments table total does not equal the cash aecount receipts tuble total
Daily at the counter refers to the ervor reporting performed daily by the counter software (by writing e es in the message
store for central recovery and reporting) as distinet from the daily production of control totals for subsequent use either by the host or by the
weekly counter AIC processes. This reporting is described in PYDES/0Q2, particularly within sections 3.2, 4.1.3, and 4.3.4
ster refers to the daily error reporting by the harvesicr agent, for those outlets where an End of Da
y marker is present,
hin-sections 4.4.1, and 4.3.4
detected when the host AtC software checks the data harvesied for each outlet with the
ge store for this purpose. This reporting is described in PYDES/002, particularly within
counter generated contral totals placed
sections 3.1 and 4.5.1
Weekl cl
n the messi
he counter refers to the error reporting performed weekly by the counter softw
(by writing error messages in the
messuge store for central recovery and reporting) as distinct fiom the production of weekly control totals for subsequent use by the host AIC
processes, These errors may be detected by comparison of the cash account to the control figures accumulated daily at the counter. This
1 occurs every day, for those outlets for which a cash account has been produced and is described in P/DES/002, particularly
within sections 3.2, 3.4, 4.1.2, 4.1.5, 4.2.3 and 4.3.5
Weekly checks at the Host refers (0 reporting of errors detected when the host AIC sofiware checks the cash account sub-file for an outlet
with the counter generated control totals placed in the message store for this purpose. This reporting occurs every ckiy, for those outlets for
which a cash account has been produced and,is described in PYDES/002, particularly within sections 3.3 and 4.5.2
POCI. tnfiast
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Receipts not equal to Payments check refers to reporting of errors detected when the host AIC software checks the cash account sub-file for
an outlet to ensure that the totals for the Payments table and the Receipts table contained within the sub-file are equal. This reporting is
described in PYDES/002, section 4.6.5.
8. Preventative code is being developed
9. ‘This will not cause errors in the POCL domain provided the corrected data is transmitted electronically within five working days of the
occurrence of the error. In cases where a Manual Error Report is submitted within five working days of the avcurretice of the error POCL.
will be able to use this to correct the following week’s opening balance as well as the original error
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26 JUN 2002
SCHEDULE Gi0
SCHEDULE G10 - POCL INFRASTRUCTURE SERVICE LEVELS AND REMEDIES
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline (reformatted to standard) 28 July 1999
L2a Applying CCN560 to 4.6, 4.3.2.7-9
L.2b Removing typo from 4.6.3
12 Baseline copy of 1.2b 30 Nov 1999
L3a Applying CCN600 from 4.3.2.7 to 4.3.2. 14
L3 Baseline copy of 13a 30 March 2000
2.0a Applying CCN679b section 4.7 to 4.7.5.3.; CCN700 to
4.5.1.1, 4.5.2.1 and 4.5.3.1
2.0 I Baseline copy of 2.0a 12 January 2001
4.0d “I New Schedule to introduce Network Banking Service 20 June 2002
4.0 I To Introduce Network Banking Service 21 June 2002
lL PURPOSE
Ll. This Schedule details Service Levels and liquidated damages applicable for the
POCL Infrastructure Services.
2. OVERVIEW OF THE SERVICE LEVEL MECHANISM
2.1 Schedule B10 sets out the aggregation of each POCL Service's Service Levels
2.2 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.
2.3. This Schedule specifies Service Levels which are associated with specific liquidated
damages and other Service Levels that do not have associated liquidated damages.
2.4. 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.
2.5 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.
2.6. Each Service Level, which has associated liquidated damages, has two Service Level
thresholds (“Service Thresholds”): :
« Minimum Acceptable Threshold;
« Termination Review Threshold.
2.7 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
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3.1.3.
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 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 concemed with the overall performance of the Service as it
impacts upon their business. Target Service Levels between the Services are
therefore not set by POCL. 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 between the Contractor and POCL prior to Operational .
Trial Acceptance Date.
For the purposes of the Minimum Acceptable Threshold set out in paragraphs 3.2
and 4.2.2 of this schedule G10 calls made to the Help Desk to report the non-
availability of the NBS at an Outlet which on analysis are determined to be as a result
of failure in the “local loop” shall count as Priority 'B' HSH Calls. Local loop, for
this purpose, means the Outlet ISDN socket and its connection to the Central
Network. For the purposes of calculating Liquidated Damages in Paragraph 3.2.4
such calls shall be deemed to have caused Downtime at all counter positions in the
affected Outlets. .
For the purpose of this Schedule G10 “Downtime” is defined as the period (counting
time from within the relevant POCL Core Days only) commencing with an HSH call
being reported to the Heip Desk until the resolution of that call, less all time
categorised as “suspended help desk call” in accordance with the Working Document
entitled System Service: Reporting & Remedial Settlement Process (CS/PER/104), as
agreed from time to time between the Contractor and POCL. The Contractor is
entitled to suspend a call for reasons which shall include the time a call is with BT
for action, provided there is evidence of management controls and checks on BT by
the Contractor, during this suspension.
POCL SERVICE LEVELS WITH ASSOCIATED LIQUIDATED DAMAGES
Data file delivery
Data files shall be delivered to TIP by 03:00. [GOL - 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.
The Minimum Acceptable Threshold is that: -
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97% of all Transaction records to be delivered by day B;
99% of all Transaction records to be delivered by day C;
100% of all Transaction records to be delivered by day D.
3.1.4. The Termination Review Threshold is that:
. 98% of all Transaction records to be delivered by day D.
3.1.5. . Liquidated damages are calculated as follows:
Liquidated damages =
(((100 - actual level of Service by day D) / 100) * total number of Transactions
records * 1.0 pence) +
(((99 - actual level of Service by day C)/ 100) * (total number of Transactions
records - any alse 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
Incidents which prevent an individual Outlet from using the normal (non-fallback)
Services shall be resolved as follows, except where different numbers of working
hours have been agreed in respect of the specific Outlet.
The Minimum Acceptable Threshold is:
100% resolved within Downtime of six ( 6) hours (Local Remedial), nine ( 9)
hours (Intermediate Remedial) and twelve ( 12) hours (Remote Remedial),
when Incidents have resulted in a substantial impact on all automated Counter
Positions in the Outlet (Priority 'A' HSH Call);
100% fixed within Downtime of ten ( 10) hours (Local Remedial), fifteen ( 15)
hours (Intermediate Remedial) and twenty four ( 24) hours (Remote
Remedial) when Incidents have resulted in a substantial impact on an
automated Counter Position, but not all automated Counter Positions, in the
Outlet (Priority 'B' HSH Cail)
not used
Table: Time to Repair Profiles
Class Local Local Intermediate Intermediate Remote I Remote
Call Non- Remedial I Non-Remedial Remedial Non- Remedial
Remedial Remediai :
‘At Priority 4 hours 6 hours 6 hours 9 hours 8 hours i___12 hours
‘B 3 hours 10 hours 10 hours 15 hours 12hours I 24 hours
Priority
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Within the above table the following interpretation applies:
a) Non-Remedial is the service performance measure target time against which the
minimum acceptable level of service is measured 1 (paragraph 4.2.2 refers) and
liquidated damages are not incurred
b) Remedial is the service performance target time after which liquidated damages
commence (paragraph 3.2. 2 refers)
Note: -
i) 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
purpose of Time to Repair measures.
ii) AH outlet changes will 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: BT7 1** from BT7 2**) in which case the service
level to be applied will be agreed with the POCL Operational Service Manager.
3.2.4. Liquidated damages are calculated as follows:
Where ail Counter Positions in the Outlet experience downtime > 6 hours (Local):
Downtime cost =
((Seconds of Outlet downtime - (6 * 3600)) * number of automated Counter
Positions in Qutlet * 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),
Where at least one Counter Position in an Outlet, but not all, experiences downtime >
15 hours (Intermediate):
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4. POCL SERVICE LEVELS WITH NO ASSOCIATED LIQUIDATED
DAMAGES
4.1, Reference Data
4.114. Reference Data is delivered to the Contractor at any time prior to, or on the day
preceding, its implementation date.
4.1.2. The Minimum Acceptable Threshold is that:
. 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
. for Reference Data’ delivered to the Contractor by 20:00 on the day preceding
their implementation 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 of 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 referencing the correct
version of the Reference Data at the start of the POCL Core Day on the day two
days after the implementation date of the data is 100%; and
Nolte: Reference Data will be timed from Release by POCL Authorisation Board to
Pathway to its Receipt by the Post Office.
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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 =
((Seconds of Outlet downtime - (24 * 3600)) * number of automated Counter
Positions affected in Outlet * 0.7 pence),
Total Excess time cost = the total amount of liquidated damages calculated in
Schedule B10, for POCL Transactions at all Outlets :
Total downtime cost = the aggregation of the Downtime Cost for all Outlets over the
Service Level Measurement Period
If total downtime cost > total excess time cost, then the additional liquidated
damages are: :
total downtime cost - total excess time cost.
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42.2
-
iv
iy
&
ey
Es
4.3.
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 occasions (for example - to implement Reference Data changes consequent on a
Budget Day by start of business on the following day) the Contractor shali implement
changes to a tighter timescale. [R539]
Time to Repair
Incidents which prevent an individual Outlet from using the normal (non-fallback)
Services shall be resolved as follows, except where different numbers of working
hours have been agreed in respect of the specific Outlet.
The Minimum Acceptable Threshoid is:
. 95% resolved within Downtime of 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);
. 95% fixed within Downtime of eight (8) hours (Local Non-Remedial), ten (10)
hours (Intermediate Non-Remedial) and twelve (12) hours (Remote Non-
Remedial) when Incidents have resulted in a substantial impact on an
automated Counter Position, but not all automated Counter Positions, in the
Outlet (Prionty 'B’ HSH Call)
not used
More than fifty (50)% of maintenance and repair visits shall be completed within
twenty (20) minutes of arrival (S468)
Horizon System Helpdesk Service
The Contractor shall provide the Horizon System Helpdesk Service which shall act
as the first point of contact for Customers of all POCL Services. Customers include
POCL staff and staff of POCL Clients having a direct interface with the POCL
Infrastructure provided.
4.3.1, Hours of Service
. The Contractor shall provide a continuous Help Desk Service on each POCL Core
Day.
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 08:00 and between 20:00 and
24:00, Monday to Saturday, and between 07:00 and 22:00 on Sundays.
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4.3.1.4.
. Arrangements for Bank Holidays shall only vary from a normal POCL Working Day
where agreed with POCL, having regard to’ their applicability throughout the United
Kingdom. No POCL Help Desk Service shall be provided on Christmas Day.
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.
43.2.5.
4.3.2.6.
The Contractor shail answer at least 80% of all calls to the Help Desk within twenty
(twenty) seconds and ai least 99.9% of calls within forty (40) seconds, during support
hours, including skeleton hours.
. The percentage of ‘calls not answered’ shall be less than i%. This includes calls
where the line is busy as well as calls answered but put on the ‘waiting queue’.
[R914] :
. The Contractor’s Horizon System Helpdesk Service shall provide first, second and
third level Services as described in-‘Schedule GO1. [R914]
. The Contractor shail 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]
The Contractor shall resolve at least 95% of calls assigned to second level within
thirty (30) minutes. The Contractor shall resolve 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]
. All calls made to the Help Desk seeking advice and/or guidance relating to cash
accounts shall be answered by first line Help Desk staff. Where calls need to be deali
with by staff with greater expertise the calls shall be transferred io an appropriate
expert. In not less thar 95% of cuses such transfer shall occur immediately. In the
remaining cases the cailer shall be called back by an appropriate expert within
20 minutes of the conclusion of his original call to the Help Desk.
. The- Contractor shall use reasonable endeavours to ensure that all advice and -
guidance given by the Help Desk is adequate to ensure that each issue on which
advice and/or guidance is sought is adequately resolved in a manner which does not
hinder completion of the cash account and associated processes.
POCL may verify this performance by analysis of tape recordings of Help desk calls
under the provisions of paragraph 4.3.2.11 below. The principles to be applied in
this verification are set out in paragraph 4.3.2.13 of this Schedule G10.
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No liquidated damages provision or termination threshold applies in relation to the
service level described in this paragraph 4.3.2.8. ,
. Approved call scripts shall be correctly followed by Help Desk staff in not less than
95% of cash account calls aggregated over all the Help Desk Weeks which end in
that month, as measured by joint analysis by the Contractor and POCL of tape
recordings of Help Desk calls. For the purposes of this paragraph 4.3.2.9:-
a) the principles to be applied in this measurement are set out in paragraph 4.3.2.13
of this Schedule G10;
b) the Contractor shall deliver all necessary tapes to POCL (recorded in the manner
agreed with POCL) in respect of each Help Desk Week by no tater than the
Monday morning following the end of that Help Desk Week;
c) POCL shail review the recordings and report its findings to the Contractor within
five working days following receipt of such tapes; and
d) when it is judged by POCL that the service level has been met successfully in
respect of a Help Desk Week the recordings will not be examined further (unless
otherwise agreed between POCL and the Contractor) and the tapes may be
recycled at the Contractor’s discretion.
4,3,2.10,During the Monitoring Period the Contractor shall measure and report to POCL the
Coniractor’s performance against the service levels contamed in paragraph 4.3.2.1 of
this Schedule G10 on a daily basis for Wednesday and Thursday in each Help Desk
Week. The report for each of the first five Help Desk Weeks in the Monitoring
Period shall be provided to POCL no later than the Monday following the end of that
Help Desk Weck. [n respect of the sixth Help Desk Week the Contractor shall report
to POCL the Contractor's performance for the period up to and including Wednesday
of that week and deliver such report by 6 p.m, on Thursday 13th January, 2000.
Following the end of the Monitoring Period the Contractor shall at any time upon
written request by POCL given not less than two days prior to the first Wednesday of
any month, measure and include in the Contractor’s monthly service review report to
POCL for that month the Contractor's performance against the service levels
contained in paragraph 4.3.2.1 of this Schedule GLO on a daily basis for Wednesday
and Thursday in each Help Desk Week which ends in that month.
No separate liquidated damages provision or termination threshold applies to daily
performances reported pursuant to this paragraph 4.3.2.10.
.The Contractor shall with effect from-8th December, !999 instal! and thenceforth at
all times have available the necessary equipment to enable Help Desk calls to be
recorded for the purposes of pat phs 4.3.2.8 to 4.3.2.10 above. The Contractor
shall, on not less than two days’ writlen notice, implement recording of cash account
calls at POCL’s request for periodic audit purposes. POCL shail be given access to
all such recordings as soon as reasonably practicable following its demand therefor at
any time during normal working hours or any other time when the Help Desk service
is operational.
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4.3.2.12.To the extent that such notification is required by law, the Contractor shall be
responsible for ensuring that Help Desk staff are properly notified that calls will be
recorded and POCL shall be responsible for ensuring that Users (and others who call
the Help Desk on POCL business) are properly so notified.
4.3.2.13,For the purposes of this Schedule:~
“Help Desk Week” shall mean each week commencing on the opening of business
ona Friday and ending on the close of business on the following Thursday;
“Monitoring Period” shall mean the six week period commencing on Friday 3rd
December, 1999 and éfiding on Thursday 13th January, 2000; and
“cash account calls” means calls to the Help Desk relating to cash accounts.
43.2.14.The sample sizes and sampling methodology for measuring compliance with
approved scripts for cash account calls under paragraphs 4.3.2.8 and 4.3.2.9 of this
Schedule G10 will be developed by POCL such that in the long term they would be
expected to result-in a “false failure rate” of 5% or less in each service level
measurement period, and a “false success rate” of 10% or less in each service level
measurement period.
These rates are defined in terms of the outcomes set out in the following table:
Sample estimate of I Sample estimate of
compliance rate less I compliance rate greater
than 95% than or equal to 95%
True compliance rate less I True failure False success
than 95%
True compliance rate I False failure True success
greater than or equal to
95%
The “false failure rate” is the expected number of false failure outcomes expressed as
a proportion of the total of true and false failure outcomes.
The “false success rate” is the expected number of false success outcomes expressed
as a proportion of the total of true and false success outcomes.
The method for selecting samples and determining sample sizes to achieve the above
characteristics will be decided by POCL and recorded in a Contract Controlled
Document. The Contractor will be entitled to review this to gain assurance that the
methodology is in line with accepted practice in-statistical sampling, and to require
POCL to make changes if it is not. Any disagreements about appropriate statistical
methodology will be resolved by reference to Chapter 7.13 (“Determining Sample
Size to Control Type [ and Type I Errors”) of the publication “Business Statistics for
Management and Economics” by Wayne W. Daniel and James C. Terrell,
7th Edition, 1995.
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44,
4.4).
4.4.2.
4.4.3.
4.44
POCL will carry out the initial analysis of the tapes (which will be provided by the
Contractor) and will document findings in relation to which calls are and are not
compliant with the relevant scripts.
The Contractor will review and agree these findings, or provide a factual statement of
any cases where it takes a different view of the compliance. In the event of any
disagreement as to compliance, the matter at,issue shall be dealt with in accordance
with Clause 807 of the Codified Agreement.
To the extent that the method involves more than one stage of sampling, POCL may
decide to deem the service level to have been achieved on the basis of the first stage
sample, notwithstanding that that sample estimate may show a compliance level
below 95%.
Once sufficient samples have been analysed to comply with the requirements for
probabilities of errors as above, then either party may request a full analysis of all
calls in the relevant period (rather than a sample). In that case, the results based on
the full analysis will be used in place of the sample estimates and in the event of any
disagreement as to compliance, the matter at issue shall be dealt with in accordance
with Clause 807 of the Codified Agreement.
The reasonable additional costs of both parties will be bome by the party requesting
such a full analysis.
TMS Service Levels - transaction monitoring
POCL are not concerned with the performance of individual elements of the POCL
Infrastructure Services per se. The primary concem 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 be 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. [R869]
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;
b) 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 report against all performance requirements identified in section
4.4.3 above. [R869]
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4.4.5. 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 within ten (10) POCL Core Days after
the change has been implemented. [R869]
4.5. Implementation - Service Level Agreements: [Installation of Service
Infrastructure
4.5.). Site survey
4.5.1.1. The Contractor shall co-operate with POCL to establish the appropriate action to be
taken in cach instance in order to resolve any concems raised in any quality survey
conducted as described in Schedule G06.
4.5.2. Modifications
4.5.2.1, The Contractor shall co-operate with POCL to establish the appropriate action tobe
taken in each instance in order to resolve any concems raised in any quality survey
conducted as described in Schedule G06.
4.5.2.2. 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]
4.5.3, Installation
4.5.3.1. The Contractor shall co-operate with POCL to establish the appropriate action to be
taken in each instance in order to. resolve any concerns raised in any quality survey
conducted as described in Schedule G06.
4.5.3.2. 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]
4.5.3.3, 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]
4.6. Reboot Incidents
4.6.1. The Contractor shall use: all reasonable endeavours to ensure that the number of
Reboot Incidents reported to the Help Desk does not exceed the equivalent of one
Reboot Incident per automated Counter Position in any period of four months.
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4.6.2.
4.7.4.
ATA,
4.7.5.
4.75.1.
For the purposes of paragraph 4.6.1 above “Reboot Incident” shall mean Help Desk
authorised reboots, Help Desk authorised office snapshot print previews and any
work-arounds authorised by the Help Desk to remove the necessity to carry out a
reboot or office snapshot print preview where the time taken to carry out such work-
around (as demonstrated by the Contractor in the test environment normally used to
validate test scripts) is four minutes or longer.
For the avoidance of doubt, it is agreed that the Contractor shall be permitted to
continue the good business practice of carrying out planned reboots outside working
hours, such planned reboots not to exceed one per Counter Position per month.
Message Broadcast Service
Introduction
This section’ 4.7 sets out the service levels which apply to the Message Broadcast
Service (MBS) as described in section 7 of Schedule GOt.
Availability
. The Contractor shal! provide the MBS such that:
a) messages can be submitted at any time during the POCL Core Day;
b) messages stored at an Outlet can be viewed at the Outiet at any time that the OPS
service is available. .
Message delivery
For each valid message successfully passed to the Contractor in accordance with the
standards and procedures set out in “CCD to be identified”, the target shall be that
messages shall be available for onward transmission to the outlets, within 3 hours, of
the “message receipt time” as defined in “CCD to be identified’ such that valid
messages would be expected -to be available to be viewed in each targeted outlet
within 4 hours of the “message receipt time” provided that the targeted outlet is
operating and communicating normaliy. The 3 and 4 hour targets only apply within
the hours of the POCL core day, will not be reported upon and will have no
associated remedies or termination rights, but from time to time POCL may monitor
performance by inspection. The Contractor’s sole obligation with regard to the 3 and
4 hour target times shall be to use reasonable endeavours to achieve them.
Report delivery
The report of Outlets which may have been unable to receive messages shall
normally be available to POCL by 08:00 the following POCL Core Day.
Volumes
As a minimum, the MBS sha!! have sufficient capacity to support:
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CODIFIED AGREEMENT SCHEDULE G10 RESTRICTED CONTRACTS
a) the submission of 6 messages per day by POCL; and
b) 3 new messages for any given Outlet per day.
4.7.5.2. The Contractor shail use reasonable endeavours to process messages above these
volumes, up to:
a) the submission of a maximum of 13 messages per day by POCL; and
b) a maximum of 7 new messages for any given Outlet per day.
4.7.5.3. The message delivery service levels in 4.7.3 above shall only apply to message
volumes up to the limits set out in paragraph 4.7.5.1 For message volumes above
these limits, no service.levels shall apply.
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SCHEDULE G12 - PIN PAD IMPLEMENTATION
Version Reason for Change Frozen/Issue Date
Reference
4.0a New Schedule to introduce Network Banking Service 20/06/02
and PIN Pad implementation
4.0 To Introduce Network Banking Service 21/06/02
1. DEFINITIONS
41 in this Schedule G12 the following expressions shal! have the following meanings:
“Actual Shortfall” means the difference (if any) between:
(i) 99.9%; and
(i) the actual percentage of Networked Sites where the operational version of the PP
Test Software has been installed by the date specified in paragraph 3.5 (A),
or zero if that actual percentage is greater than 99.9%.
“Actual Shortfall Site” means each Networked Site classified in the Contractor's list
provided in accordance with paragraph 3.3(I} as an actual shortfall site.
“{nstalier” means POCL or the third party appointed by POCL to install the PIN Pads
and/or the Paypoles, as the case may be.
“Networked Site” means a PIN Pad Site where there is a network connection.
“OBC Stock” means the stock of PIN Pads held from time to time by the Contractor, for
Operational Business Change requirements, in accordance with paragraph 5.1 and
paragraph 5.2 of this Schedule G12.
“PIN Pad Site” means all automated Counter Positions, mobile configurations (2s.
described in row 8 of Annex 5 to Schedule A12), Admin Positions and trolley based
solutions in Outlets.
“PP Test Software” means the PIN Pad test software to be developed by the Contractor
which shall: .
() in respect of a PIN Pad Site, detect installation of a PIN Pad in accordance with
the specification set out in the CCD entitled “PIN Pad Technical Installation
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Training Guide" (IM/MAN/022 ) and that the PP Test Software has been run at
that PIN Pad Site;
(ii) in the case of Networked Sites only, incorporate a mechanism to notify the
Contractor that a PIN Pad Fas been successfully ‘ncorporated into the POCL
Service Infrastructure;
(ii) in the case of Networked Sites only, test that the PIN Pad is functioning as an
integrated element of the POCL Service Infrastructure; and
{iv) have the functional characteristics described in the CCD entitled “PIN Pad
Technical Installation Training Guide" (IM/MAN/022).
“Paypole” means the fixture to which a PIN Pad is attached as described in the CCO
entitled “Paypole Product Specification” (IM/SPE/026).
Unless stated otherwise, any reference to a paragraph is to the relevant paragraph of
this Schedule G12. .
DESIGN AND DEVELOPMENT
The Contractor shall:
complete and maintain the design for the PIN Pad in order that the PIN Pad shall
comply with the CCD entitled “PIN Pad Product Specification” (NB/PDN/010) and in
order that the PIN Pad shall support the N8S; and
by the relevant date specified in the NB Project Pian provide the design and
specifications for the installation and connection of PIN Pads to be used in mobile
configurations (as described in row 8 of Annex 5 to Schedule A12) and insiallation of
PIN Pads in standard configurations on trolieys and vans. When producing the design of
the installation and connection of PIN Pads to be used in mobile configurations the
Contractor shall seek to keep the aggregate weight of the mobile configuration with the
PIN Pad connected as low és is reasonably practicable in the circumstances. For the
avoidance of doubt and unless agreed otherwise under the Change Control Procedure,
the Contractor shall not be required to supplemert the design and/or specifications or
provide a further design arid/or specification in the event that POCL does not wish to
proceed with procurement of connections for mobile configurations in accordance with
the design and specifications provided: by the Contractor in accordance with this
paragraph 2.1.2.
The size and specification of the boxes to be used for PIN Pad and Paypole delivery,
the size of batches of PiN Pads which are returned to the Contractor by POCL under
paragraph 4.3(D} (which shail in any event be between 10 and 50), and the addresses
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for PIN Pad delivery and return specified in accordance with paragrapns 3.3{D) and
4.3(D) and 4.3(E)(ii)shall be 2s set out in the Working Document entitled “Pin Pad
Supply Logistics Requirements” (IM/REQ/093).
PRE-INSTALLATION
The Contractor shall procure PIN Pads (but for the avoidance of doubt not the
connections for PIN Pads referred to in paragraph 2.1.2 above) to the specifications set
out in the CCD entitled “PIN Pad Product Specification” (NB/PDN/010) and Paypoles to
the specifications set out in the CCD entitled “Paypole Product Specification”
(IM/SPE/026) to be deliverec in the following quantities:
(A) PIN Pads - 38,000; and
(B) Paypoies - 37,000
POCL may at its option increase either or both of the quantities set out in paragraph 3.1
by a maximum of 2,000. To exercise that option POCL shali give notice in writing to the
Contractor no later than 31 August 2002, after which that option shail expire.
The Contracior shall:
(A) provide to POCL the results of any tests which the Contractor may carry out,
prior to authorising production, on manufactured quality prototypes of the PIN
Pad;
(B) provide to POCL detaits of testing to be carried out by the supplier of the PIN
Pads at the supplier's premises and shal! procure that all PIN Pads are tested
accordingly; .
({C) carry out the tests set out in the Working Document entitied “PIN Pad Sample
Test Specification” (NB/SPE/01 4) in the UK on a sample of PIN Pads, following
delivery of the sample by POCL to the Contractor, and provide the results of the
tests to POCL. The sample size will be 1 in 500 and the samples will be drawn
by POCL from stock delivered to POCL. Each PIN Pad, once it passes'the
tests carried out in accordance with this paragraph 3.3 (C), shall be added to
the Contractor's stock of spare PIN Pads;
(D) detiver the PIN Pads and Paypoles to such single UK mainland iocation as
POCL may, on 30 days written notice to the Contractor, specify from time to
time. POL shall notify Pathway of the initial delivery location no jater than 17
June 2002; :
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(F)
(S)
(J)
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ensure that PIN Pads are key loaded and ready for installation, before delivery
to POCL, such that installation can be effected in accordance with the CCD
entitled “PIN Pad Technical Installation Training Guide" (iM/MAN/G22),
Not used.
provide on or defore the applicable date specified in the NB Project Pian a draft
of such installation instructions (including screen layouts for the PP Test
Software) as are necessary and reasonably required for connection of a PIN
Pad at each mobile configuration and at each standard configuration on a troiley
or van, as specified in paragraph 2.1.2, to be documented in a future update of
the CCD entitled “PIN Pad Technical installation Training Guide” (IM/MAN/022),
produce and distribute the PP Test Software to PIN Pad Sites in accordance
with its obligations contained in this Schedule;
‘on 23 April 2002 and or each workng day thereafter until compietion of
installation of the PP Test Software, copy to POCL the iist of (i) PIN Pad Sites
with PP Test Software installed and (ii) PIN Pad Sites with PP Test Software not
installed; and
procure at the Contractor's cost (ard in the circumstances described in
paragraph 3.3(J)(i) below, at the Contractor's cost. deliver to POCL) a
replacement PIN Pad for each PIN Pad which is:
(i) returned in accordance with the Working Document entitled “Pin Pad €
Supply Logistics Requirements” (IM/REQ/093) to the Contractor wheré
found (inciuding by the PP Test Software) to have been supplied faulty;
or
{il) found by the Contractor to be defective where the Contractor attends a
PIN Pac Site to complete the installation of a PIN Pad in accordance
with the provisions of this Schedule G12.
34 POCL shall:
(0)
plan and manage the programme for PIN Pad Deployment (but not deployment
of PIN Pads through the Operational Business Change procedure);
by 30 June 2002 provide the Contractor with the Insialler’s training pian;
permit the Contractor to observe such of the Installer’s training sessions as the
Contractor may request to attend; and
in the case of each Actual Shortfaii Site, inform the Contractor as soon as -
reasonably practicable after it has installed the Paypole anc, as far as possible,
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3.6
37
3.8
3.9
the P!N Pad (such installation having been carried out in accordance with the
CCD entitled “PIN Pad Technical installation Training Guide" (IM/MAN/022)) in
order that the Contractor can then compiete the P!N Pad installation in
accordance with paragraph 3.6.
The Contractor shall:
{A) use reasonable endeavours to ensure that the operational version of the PP
Test Software is installed at 99.9% of the Networked Sites by 19 June 2002;
and
(B) ensure that the operational version of the PP Test Software is installed at 100%
of the Networked Sites by 14 August 2002.
Subject to paragraph 3.7, in the event that on the date specified in paragraph 3.5 (A)
there is an Actual Shortfall the Contractor shall by 1 December 2002 or such later date
as POL may specify with the Contractor's agreement (such agreement not to be
unreasonably withheld or delayed):
(A) in accordance with the specification set out in the CCD entitled “PIN Pad
Technical Installation Training Guide” (IM/MAN/022) complete the installation.
(commenced by POCL), at its own cost, of a properly functioning PIN Pad; and
(B) run the PP Test Software in accordance with the CCD entitled "PIN Pad
Technical Installation Training Guide" (iM/MAN/022)},
at each Actual Shortfall Site.
The Contractor's obligations in paragraph 3.6 shall not apply to any Actual Shortfail Site
where:
(A) by the date on which POCL intended installation of the PIN Pad to take place
the PP Test Software has been installed; and/or
(B) the Installer has failed to install the Paypole, and as far as possibte, to install the
PIN Pad in accordance with the CCD entitled “PIN Pad Technical installation
Training Guide" (IK4/MAN/022) prior to the date on which the Contractor has
been advised by POCL that it may attend the Actual Shortfall Site to compiete
such installation
The Contractor shall use reasonable endeavours to install the PP Test Software at each
PIN Pad Site which is not a Networked Site by the date 10 weeks after Release
Authorisation for deployment of the NBS to all Outlets.
The Contractor warrants and represents to POCL:
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(A)
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o
that all PIN Pads procured oy the Contractor under this Codified Agreement
shail comply with the CCD entitled “PIN Pad Product Specification”
(NB/PDN/010);
(B) that all Paypoles procured by the Contractor under this Codified
Agreement shall comply with the CCD entitled “Paypole Product Specification”
(IM/SPE/026);
that ali Paypoles procured by the Contractor under this Codified Agreement
snail be physically compatible with the PIN Pad;
that the components of all PIN Pads procured by the Contractor under this
Codified Agreement shall be fully functional in accordance with the
specifications of their respective manufacturers; and
that all PIN Pads procured by the-Contractor under this Codified Agreement
shall .
(i) support the NBS; and
(iil) be compatible with the POCL Service Environment.
4. INSTALLATION
41 The Contractor shall:
(A)
(8)
provide POCL with such user name or names and password or passwords as
are required for PIN Pad installation (as referred to in CCN 934); and
provide Help Desk support between 8am to 8pm Monday - Saturday (excluding
Bank Holidays) to resolve:
{i) technical faults in the POCL Service Infrastructure (each a “Technical
Fault”) found during PIN Pad installation; and
{ii} queries where the PP Test Software produces results which are not
envisaged’in accordance with the CCD entitled "P/N Pad Technical
Installation Training Guide" (IM/MAN/022) (each an “Installation Fault").
Support outside of the hours specified in this paragraph 4.1(B) shall, if required,
be an Additional POCL Service to be introduced through the Change Control
Procedure.
4.2 in the event that:
Pin Pos tmplemanteuen
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(A) the Contracior is required to deal with any Help Desk calls dy Installers not
resulting from either a Technical Fault or an Installation Fault (ar both); and
(8) as a result the Contractor fails to reach any of the service targets set out in
paragraphs 4.3.2.1, 4.3.2.2, 4.3.2.3 and 4.3.2.4 of schedule G10, requirement
914 paragraphs 1.164.25, 1,164.26 and 1.164.27 of Schedule A1S and solution
reference 914 paragraphs 2.1.3 and 2.11.1 (targets 1, 2, 3, 5 and 6) of Schedule
AM6.
all such Heip Desk calls shall be disregarded for the purposes of assessing the
Contractor's performance against those service targets to the extent the Contractor can
show that the failure occurred as a result of receipt of such Help Desk calls. ‘This
provision shall apply notwithstanding any conflict or inconsistency between it and any
provision of Schedule G10.
43 POCL shall or shall ensure that the Installer shall (as the case may be):
(A) carry out such counter modifications as are necessary for PIN Pad insiallation;
{B) save to the extent that the Contractor is required so to do in accordance with
this Schedule G12, using all reasonable skill and care install and connect PIN
Pads at all PIN Pad Sites in accordance with the specification set out in the
CCD entitled “PIN Pad Technical Installation Training Guide” (IM/MAN/022) ;
(c) save to the extent that the Contractor is required so to do in accordance with
this Schedule G12, using all reasonable skill and care run the PP Test Software
provided by the Contractor at all PIN Pad Sites in accordance with the CCD
entitled “PIN Pad Technical Installation Training Guide" (IM/MAN/022),
{D) save as specified otherwise in paragraph 4.3 (E), in accordance with the
Working Document entitled “Pin Pad Supply Logistics Requirements”
(IM/REQ/0S3), return to the Contractor, at such single mainland UK address as
the Contractor shall on 30 days notice notify POCL from time to time, any PIN
Pads which fail the PP Test Software tests on installation: and
{E) where a PIN Pad fails the PP Test Software tests on instaliation:
(i) attempt to install a second PIN Pad at the PIN Pad Site in question.
POCL may, at its discretion, attempt to install further repiacement PIN
Pads at that PIN Pad Site following the second (or subsequent) PIN
Pad failing on installation;
(ii) having installed the Paypoie, leave a PIN Pad physically installed at the
PIN Pad Site in question in accordance with the CCO entitled “PIN Pad
Technical installation Training Guide” (IM/MAN/0220 and report that fact
in Pod tmpwamentation Poge7 Version 4.9
to the Contractor through the Horizon System Help Desk in which case
the provisions of paragraph 4.4 shall apply; and
(iii) at its discretion, either return (in accordance with paragraph 4.3(D)) any
failed PIN Pads or attempt installation using the failed PIN Pads at
another PIN Pad Site or Sites (in each case, the obligation shall not
apply to the PIN Pag left at the PIN Pad Site in accordance with
paragraph 4.3(E)ii) above).
4.4 Where POCL makes @ call to the Horizon System Help Desk in accordance with
paragraph 4.3(E)(ii) the following provisions shall apply:
(A)
{8)
the Contractor shall, subject to having received the necessary number of PIN
Pads from POCL in accordance with paragraph 5.1, use reasonabie
endeavours to complete the installation of a properly functioning PIN Pad at that
PIN Pad Site within 48 hours of the call being received, except in the
circumstances described in paragraph 4.4(B) below;
in the event that any calls made in accordance with paragraph 4.3(E)(il) are
received during the period of two weeks before PIN Pad Deployment by or on
benalf of POCL is due to be completed (POCL having notified the Contractor at
teast one week prior to its commencement of when that two week period is due
_ to commence) the Contractor shall, subject to having received the necessary
(Cc)
and
45 Where:
number of PIN Pads from POCL in accordance with paragraph 5.1 and save as
provided in paragraph 4.4(C) below, use reasonable endeavours to complete
the installation of a properly functioning PIN Padat that PIN Pad Site within 24
hours of each such call;
POCL acknowledges and agrees that the 24 hour target referred to in this
paragraph 4.4 is based upon the assumption that during such two week period
the profile of daily PIN Pad installation (both completed anc initiated) by or on
behalf of POCL (the “Profile”) will not be materially different from the Profile (the
“Previous Profile") for each day during the previous four weeks.
In the event that that the Profile is materially different from the Previous Profile
the Contractor's obligations under this paragraph 4.4 shail be to complete the
installation of the PIN pad as soon as reasonably practicable (which may be
after expiry of that 24 hour period);
the above targets of 24 and 48 hours shall be applied and the Contractor's
performance measured against them, for the purposes of this paragraph 4.4, by
counting time (hours) in the POCL Core Day only.
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(A) a PIN Pad is found to be faulty on instailation; and
(B) the PIN Pad supplier, upon subsequent testing of thal PIN Pad, reports that it is
not fauity ("No Fault Found”),
the Contractor shall retain that PIN Pad anc shall not send it to POCL for installation.
The Contractor's charges for dealing with each No Fault Found PIN Pad where the
attempted installation of that PIN Pad was not in accordance with the CCD entitled “PIN
Pad Technical Installation Training Guide" (IM/MAN/022) shall be as specified in part D
of Schedule A12
In the event that the number of PIN Pads retained by the Contractor in accordance with
paragraph 4.5 reaches 26 the parties shall use all reasonable endeavours to discover
the.reason for the discrepancy between the Instalier finding P!N Pads to be faulty on
installation and the PIN Pad supplier's test results.
Where a faulty PIN Pad is repaired by the PIN Pad supplier and returned to the
Contractor, or a repiacement PIN Pad is delivered to the Contractor by the PIN Pad
supplier that PIN Pad will be added to the Contractor's stock of spare PIN Pads.
The Contractor shall (in addition to its obligations specified in paragraph 4.4) complete
the installation of a properly functioning PIN Pad:
{A) at a PIN Pad Site where the Installer has installed a faulty PIN Pad and on
installation of that faulty PIN Pad the PP Test Software was used but the fault in
the PIN Pad was not detected;
(B) subject to paragraph 3.7 at each Actual Shortfall Site in the circumstances
specified in paragraph 3.6; and
{C) where the PP Test Software was available at a PIN Pad Site but POCL failed to
use the PP Test Sofware on installation of the PIN Pad. In the circumstances
specified in this paragraph 4.8(C) POCL shall be liable for all of the Contractor's
costs in running the PP Test Software and completing instaltation of the PIN Pad
at that PIN Pad Site.
In the case of Networked Sites, once the PP Test Software has recognised the presence
of an installed PIN Pad:
(A) the Contractor's SMS software shall capture the presence of and serial number
of that PIN Pad and that PIN Pad will then be deemed accepted as part of the
POCL Service Infrastructure, and
(B) folowing recognition by the Contractor's SMS software in accordance with
paragraph 4.9(A) if there is a printer available and functioning at the Networked
Site two receipts will be produced in accordance with the CCD entitled “PIN Pad
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Technical Installation Training Guide” (iM/MAN/922) to show that the PIN Pad
has been recognised by the PP Test Software. If the Networked Site is not
connected to a printer, or it is connected to a printer but the printer is not
functioning properly at that time, a print preview of the receipt shall be used in
accordance with the CCD entitied “P/N Pad Technical Installation Training
Guide” (IM/MAN/022) to show that the PIN Pad has been recognised by the PP
Test Software.
In the case of each PIN Pad Site which is not a Networked Site where PIN Pad
installation is carried out by the Installer, POCL shall notify the Contractor in writing
forthwith upon completion of installation of a PIN Pad at the PIN Pad Site and the PIN
Pad shall be deerned accepted as part of the POCL Service Infrastructure upon receipt
by the Contractor of such notification.
In the case of each PIN Pac Site which is not a Networked Site where PIN Pad
installation is carried out by the Contractor, the Contractor shal! notify POCL in writing
forthwith upon completion of installation of a PIN Pad at the PIN Pad Site and the PIN
Pad shall be deemed accepted as part of the POCL Service Infrastructure upon
completion of installation
POCL may at its option from time te time (out no more frequently than once per week)
send to the Contractor a list of the PIN Pad Sites where POCL believes a PIN Pad has
been successfully installed and the Parties shail then resolve any discrepancies with the
Contractors’ records as soon as reasonabiy practicable.
Where: be
(A) a PIN Pad is left at a PIN Pad Site in accordance with paragraph 4.3(E)(ii);
(B) installation of the PIN Pad by the Installer nas not been in accordance with the
CCD entitled "PIN Pad Technical Installation Training Guide", and
(C) the PIN Pad ieft at the site is not found to be faulty when installation is
completed by she Contractor,
the Contractor's charges for completion of the PIN Pad installation shall be as specified
in part D of Schedule A12.
OBC.STOCK AND SPARES ANO POST INSTALLATION OBLIGATIONS
Of the PIN Pacs to be procured under paragraph 3.1, POCL shal! deliver ta the
Contractor by 2 weeks after the completion of the celivery to POC of ail of the PIN
Pads to be procured under paragraph 3.1 500 PIN Pads to be heid as spares and 500
PIN Pads to satisfy Operational Business Change requirements for new PIN Pads.
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5.2 Where, in accordance with Operational Business Change a PIN Pad is removed from
an automated Counter Position and is not moved to another automated Counter
Position the retained PIN Pad shail be added to the OBC Stock. In the event that,
following delivery by POCL to the Contractor of 500 PIN Pads to be held as OBC Stock
in accordance with paragraph 5.1 of this Schedule G12, the OBC Stock is reduced to
100 PIN Pads the Contractor shall notify POCL of such in writing or by email. POCL
shail within 5 working days of receipt of such notification fram the Contractor confirm to
the Contractor in writing or by email (an “OBC Stock Notice”) whether or not it requires
the Contractor to increase the OBC Stock. Where an OBC Stock Notice requires the
Contractor to augment the OBC Stock the Contractor shall procure the required number
of PIN Pads and shall use reasonable endeavours to do so within 100 days of receipt of
tne OBC Stock Notice. The Contractor's Charges for such additional PIN Pads
procured shall be as set out in part D of Schedule A12.
5.3 The Contractor shall:
(A) maintain each PIN Pad as part of the POCL Service infrastructure once that PIN
Pad has been accepted into the POCL Service Infrastructure in accordance with
paragraphs 4.9, 4.10 or 4.11 as the case may be;
(B) save as specified in paragraph 5.4 and paragraph 5.5, from the commencement
of PIN Pad Deployment, include PIN Pads:
(i) where new automated Counter Positions are added at an Outlet if the
Counter Positions already instalied at that Outlet are fitted with PIN
Pads; and
(ii) whenever there is an Outlet change,
deait with, in each case, through and in accordance with Operational Business
Change.
5.4 In the event that POCL fails to supply the number of PIN Pads necessary for the
Contractor to meet its obligations in paragraph 5.3(B) the Contractor shall, after having
notified POCL that the OBC Stock is insufficient, be relieved of its obligations in
paragraph 5.3(8) untii POCL has supplied the Contractor with the number of PIN Pads
necessary for the Contractor to fulfil tnose obligations.
55 Where:
(A) the Contractor receives an O8C Stock Notice siating that the OBC Stock should
not be increased; or
(B) POCL fails to respond to a notification from the Contractor under paragraph
5.2),
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6.1
6.2
6.3
64
6.5
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the Contractor shail be relieved of its obligations in paragraph 5.3(B) where it does not
have the necessary OBC Stock, until the Contractor receives the required PIN Pads to
be added to OBC Stock (following written notification from POCL to the Contractor that it
requires the Contractor to increase the OBC Stock).
POCL shail use POCL's own installation help desk for all matters other than Technical
Faults and/or Installation Faults.
The Contractor's SMS software shall monitor installed PIN Pads and detect PIN Pad
failures.
Physical damage to PIN Pads (once installed) will be reported by POCL to the Horizon
System Help Desk.
if a PIN Pad is sent to the PIN Pad supplier for repair the Contractor shail procure that it
shall perform that repair promptly and then return that Pin Pad to tne Contractor.
PAYPOLES
POCL will instail Paypoles at all PIN Pad Sites.
POCL may disconnect and reconnect PIN Pacs, where necessary, when repairing
Paypoies. in such circumstances disconnection and reconnection of PIN Pads shall be
in accordance with operational procedures specified by the Contractor to be
documented in the CCD entitled “P/N Pad Technical Installation Training Guide"
(IM/MAN/022) ; .
In the circumstances described in paragraph 5.3(B) any necessary Paypoles anc cable
routing (which shall include dummy cabling) wil! be installed by POCL prior to the
Contractor installing the required Counter Equipment and the PIN Pads.
In any circumstances where a Paypole and the associated PIN Pac both need to be
repaired POCL shall first repair the Paypole and then report the fact that the PIN Pad
requires repair to the Contractor by telepnone to the Horizon System Help Desk.
Following receipt of such call from POCL the Contractor shall ensure that there is a
properly functioning PIN Pad at that PIN Pac Site. For the purposes of measurement of
the time to repair Service Cevel for repair of the PIN Pad measurement shall commence
only once a cail has been made to the Horizon System Help Desk in accordance with
this paragraph 6.4.
Once the initial order of Paypoles under paragraph 3.1 has been exhausted, POCL may
‘on giving the Contractor at !east 100 calendar days’ prior written notice, require the
Contractor to procure further Paypoles. in the event that POCL serves notice on the
Contractor in accordance with this paragraph 6.5, the Contractor shail procure the
number of Paypoles specified in the notice and shall use reasonable endeavours to do
in Pad tmotemeniaiion Page 12 Version 4.0
74
7.2
73
74
75
76
77
13
so within that 100 calendar day notice period. The Contractor's Charges for procuring
such additional Paypoies shall be as specified in part D of Schedule Ai2.
LIABILITY FOR HARDWARE FAULTS
POCL shall be fiable for the cost of damage to:
(A) PIN Pads;
(B) any Hardware elements of the POCL Service Infrastructure at PIN Pad Sites
(not including Software wherever located); and
(C) any costs of remedying defective installations;
as a result of the negligence or wilful acts or omissions during the PIN Pad and Paypoie
installation process of POCL's installation contractors, employees or agents
POCL shall be tiable for the costs (including service call costs) of any damage to, loss or
theft of PIN Pads to the extent caused by or contributed to by POCi's employees,
contractors or agents and, where the damage, joss or theft occurs at a PIN Pad Site, by
the public
The Contractor shall be liabie for the costs of any damage to, loss or theft of a PIN Pad
to the extent caused by or contributed to by the Contractor's employees, contractors or
agents during such times as Pathway retains risk in that PIN Pad.
The aggregate limit on POCL's liability under Clause 810.2.1.1 shall apply to any sums
paid by POCL under paragraphs 7.1 or 7.2.
The aggregate limit on the Contractor's liability under Clause 8.0.2.3 shall apply to any
sums paid by the Contractor under paragraph 7.3.
Nothing in this Schedule G12 shail act to alter the position under the remainder of this
Codified Agreement in respect of iiabitity and cosi for pre-existing damage to the POCL
Service Infrastructure discovered during PIN Pad installation.
if an automated Counter Position is found to be damaged or inoperable at the time of
installation of a PIN Pad then:
(i) POCL shall install or procure the installation of the PIN Pads and Paypoles as
far as possible; and
(ii) the Contractor shall, when repairing that Counter Position, compiete the
installation.of and test the 1N Pad;
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8.2
8.3
8.4
O41
in accordance with the CCD entitled “PIN Pad Technical Installation Training Guide”
{IM/MAN/022).
RISK AND TITLE
The risk of ioss of or damage to each Paypole shail pass from the Contractor to POCL
upon celivery of that Paypole to POCL
Title in each Paypole shall pass from the Contractor to POCL when the Contractor
receives al! payments due in respect of that Paypole.
The risk of loss of or damage to each PIN Pad shali pass from the Contractor to POCL
upon delivery of that PIN Pad to POCL and shail remain with POCL until that PIN Pad
has been accepted into the POCL Service Infrastructure in accordance with paragraph
4.9, 4.10 or 4.71 of this Schedule G12 or delivered to the Contractor by PCCL in
accordance with paragraph 5.1 (as the case may be) whereupon it shall pass to the
Contractor.
Title in:
(A) each PIN Pad other than those PIN Pads referred to in paragraph 8.4(B) shail
pass from the Contractor to POCL when the Contractor receives all payments
due in respect of that PIN Pad (provided that such payments are made prior to
acceptance of that PIN Pad into the POCL Service Infrastructure) and shal! thea
pass from POCL to the Contractor upon acceptance of that PIN Pad into the
POCL Service Infrastructure under peragraphs 4.9, 4.10 or 4.11 of this
Schedule G12; end
(B) each PIN Pad delivered to the Contractor in accordance with paragraph 5.1
shall pass from the Contractor to POCL when the Contractor receives ail
payments due in respect of that PIN Pad (provided that such payments are
made prior to delivery of the PIN Pad to the Contractor) and shali then pass
from POCL to the Contractor upon delivery of the PIN Pad to the Contractor by
POCL.
If the payments referred to in paragraphs 8.4(A) or (B) are made ater acceptance of the
PIN Pad into the POCL Sefvice Infrastructure or after delivery of the PIN Pad to the
Contractor (respectively) then titie to that PIN Pad shail not pass to POCL but shail
remain with the Contractor. ,
GENERAL
The Contractor shall not de liable to POCL in respect of any breach of its obligations in
this Schedule G12. {the “PP Dependent Obligations”) or any delay in performing the
PP Dependent Obligations to the extent that such breach or delay was caused by the
failure by POCL to comply (or to ensure that the Installer complies, as the case may
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9.2
9.3
9.4
be) with its obligations under paragraphs 3.4{D}, 4.3(E}(ii), 6.3, 6.4 or 7.7. of this
Schedule G12 (a “PP Dependency Failure”). :
The Contractor shail notify POCL in writing as soon as reasonably practicable after the
Contractor becomes aware of any PP Dependency Failure or becomes aware of any
matters or circumstances which would with the effluxion of time result in 2 PP
Dependency Failure.
In the event of a PP Dependency Failure, the Contractor shall be entitied to recover
from POCL such reasonably incurred increased costs and expenses (if any) which it
incurs in performing the PP Dependent Obligation in question to the extent that such
increased costs and expenses were the resull of the PP Dependency Failure. The
Contractor shal! provide a statement of such increased costs and expenses incurred
for approval by POCL, such approval not to be unreasonably withheld
The Contractor shall use all reasonable endeavours to mitigate the amounts (if any)
payable under paragraph 9.3 of this Schedule G12.
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26 JUN 202 GRO i
CODIFIED AGREEMENT 7 SCHEDULE L2 RESTRICTED CONTRACTS
SCHEDULE L2- OPERATIONAL TRIAL PLANS
Version Reason for Change Frozen/issue date
Reference
1.0 Original baseline 28 July 1999
12a Applying CCN323a to 3.1.3, 3.2.1, 3.3.1; CCN494 io
3.1.3, 3.241, 3.3.1
1.2 Baseline copy of t.2a 30 Nov 1999
13a Applying CCN593 to 2.1
13 Baseline copy of 1.3a (and change font) 30 March 2000
4.0b New Schedule to introduce Network Banking Service 20 June 2002
+ 4.0 To Introduce Network Barking Service 21 June 2002
1° PURPOSE .
1A. This Schedule describes the phases of the Operational Trial.
2. PLANS
2.1. The testing strategy for the Operational Trial is defined in the documents General
Testing Policy at version 2.0 (VIYPOL/001), Testing and Integration. Strategy at
version 2.0 (VI/STR/001) and Revisions to the Testing and Integration Approach for
Pathway Release 2 at version 2.0 (VI/STR/O06).(R958). All references to those
documents, in connection with the Operational Trial, in other CCDs or elsewhere in
this Codified Agreement shall be interpreted as a reference to version 2.0 of the
document referred to.
3. PHASES IN THE OPERATIONAL TRIAL
3.1. Introduction
3.1.1. The Operational Trial shall consist of the following three distinct phases: (R925)
. a technical test
. a model office test
. a live trial.
Phases in the Operational Trial may overlap but shall finish in sequence. (R925)
wo
iv
1.3. The Contractor shall produce ali of the detiverable documents defined in the General
Testing Policy (v2.0), Testing and Integration Strategy (v2.0), and Revisions to the
Testing and Integration Approach for Pathway Release 2 (v2.0). (R925)
ws
.1.4. The Contractor shall produce test scripts to reflect all test conditions supplied by
POCL’s test team. POCL reserves the right to define and produce other test scripts as
required. (R925)
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3.2 Technical Test
3.2.1. The Contractor shall undertake the technical test which shall be monitored by POCL
in accordance with the General Testing Policy (v2.0), Testing and Integration
Strategy (v2.0), and Revisions to the Testing and Integration Approach for Pathway
Release 2 (v2.0). 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)
3.3. Model Office Test
3.3.1. The Contractor shall support testing within the model office test in accordance with
the Genera! Testing Policy (v2.0), Testing and Integration Strategy (v2.0), and
Revisions to the Testing and Integration Approach for Pathway Release 2 (v2.0).
(R925; $925)
3.3.2. The Contractor shall install the necessary elements of the POCL Service
Infrastructure to enable testing at the model office site. The Contractor shall instal!
Equipment equivalent to forty-eight (48) Counter Positions at the model office site.
(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 L1.
3.4.2. The live trial shall not start until the model office test has been successfully
completed. (R925)
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26 JUN 2002
CODIFIED AGREEMENT “SCHEDULE NOL RESTRICTED CONTRACTS
SCHEDULE N01 - NETWORK BANKING SERVICE DEFINITION
Version Reason for Change Frozen/Issue Date
Reference
4.0 New Schedule to introduce the Network Banking 19/06/02
Service
1. INTRODUCTION
This Schedule details the Network Banking Service (“NBS”) and the NB System
required to support the operational use of the NBS which the Contractor shall
provide.
Requirements, functionality and/or services which will not be supported by or are
excluded from the scope of the NBS are set out (without limitation) in Annex 1 to
this Schedule NOL.
Not used.
The NBS constitutes the elements of End to End Banking (supporting Banking
Transactions) that are within the Service Boundaries referred to in paragraph 2.8 of
this Schedule NO1 for which the Contractor shall have responsibility.
All references in the form “NBRXXX” or “PPRXXX” (or similar) which follow at
the end of provisions of this Schedule NOL are references to POCL’s requirements
which correspond to those provisions. However, all such references are for each
party’s internal reference and information use only and none of those references, or
the requirements to which they relate, shall be relevant either in construing or
interpreting any of the provisions of this Schedule NOI or otherwise in determining
the extent of Contractor’s obligations.
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nN
SCOPE OF THE NBS
In developing the NBS, the Contractor shall:
rs)
io
use the message server elements of WebRiposte [NBR022] (but not the
Framework or Asset Manager);
ensure that the Counter Equipment configuration and specification set out in
the CCD entitled “Counter Hardware Design Specification” (BP/DES/003)
will not need changing for the introduction of the NBS (and in particular
that no memory upgrade to counter equipment wil! be necessary or carried
out), other than for PIN Pads in accordance with paragraph 2.7 of this
Schedule; and
ensure that Banking Transactions shall be in a standard format for all
Banks, and shall be driven by POCL Reference Data e.g. each type of
Banking Transaction shall be Bank independent with the context being set
by the [IN. [NBR023]
Not used.
The NBS shall be available at all automated Counter Positions, mobile configurations
(as described in row 8 of Annex 5 to Schedule A12), operational sets of Counter
Equipment which are not Counter Positions { “Admin Positions”) and troiley based
solutions in Outlets in each case wherever there is a network connection, unless
otherwise specified by POCL, subject to the overall limits applicable to each as set
out in Schedule Al2.
The availability of the NBS in any other location in addition to the locations specified
in paragraph 2.3 shall be dealt with through the Change Control Procedure.
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2.5
Subject to the overall limits set out in Schedule A12, in relation to those Outlets and
Admin Positions where there is no network connection point or where POCL or its
Agents do not use such connection provided to it the NBS software shall be installed
but will not be able to commence or perform Banking Transactions. The NBS
software installed in those Outlets and Admin Positions shall not be kept up to date
with new NBS Releases or Reference Data other than by way of the Optional POCL
Services (if any) introduced by CCN 898. [NBR0S53, NBR235] :
The Contractor shall inform POCL monthly of any operational and external technical
constraints which relate to the allocation of Outlets where the NBS is available
between the categories set out in sub-paragraphs 2.6.1 - 2.6.4 of this Schedule NO1
which shall apply in addition to the constraints agreed between the parties and
specified in the CCD entitled “Horizon New Service Business Volumes”
(PA/PER/031). The Contractor shall each month carry out an initial allocation of
those Outlets where the NBS is available between the categories set out in sub-
paragraphs 2.6.1 - 2.6.4 of this Schedule NO. POCL shall be entitled each month to
change the Contractor’s initial allocation of Outlets where the NBS is available
between the categories set out in sub-paragraphs 2.6.1 - 2.6.4 of this Schedule NOL
within such constraints notified by the Contractor on a monthly basis and within the
titled “Horizon New Service Business Volumes”
constraints specified in the CCD
(PA/PER/031).
2.6.1 Bronze Service Outlet;
2.6.2 Silver Part Time Service Outiet;
2.6.3 Silver Daytime Service Outlet; or
2.6.4 Silver 24 Hour Service Outlet.
PIN Pads
2.7.1 Subject to paragraph , the Contractor shall ensure that all automated
Counter Positions where the NBS is available (as set out in paragraphs 2.3
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2.7.2. PIN Pad support provided by the NBS shall be for the purposes of Customer
Verification and change of PIN, and no other purpose. [NBR250] [PPROOL}
[PPRO12] [NBR431] It shall be possible to add additional Banking
Transactions through the Change Control Procedure and the Contractor shall
design the NBS so as not to inhibit such additions. PIN Pad support
provided for CAPO shall be no different to that provided for any other Bank.
2.7.3. Not used.
2.7.4 The specification for the interface and interaction required between PIN
Pads and other elements of the NB System shall be documented in the CCD
entitled “Generalised API jor OPS/TMS” (TD/STD/004).
2.7.5. The NB System/Counter Clerk dialogue required for Customer Verification
by PIN entry shall be as documented in the CCD entitled “Network Banking
Counter Dialogue ~ Activity & Screen Flows’ (NB/SPE/003). [NBR250}
(PPR002] [PPRO14]
2.8 The NBS shall be bounded by Service Boundaries with the following computer
systems:
2.8.1 NBE;
2.8.2 POCL RDS; and
2.8.3 TIP Gateway,
and 2.4 of this Schedule) shall have the capability to support the use of PIN
Pads. [PPRO10} (NBRO66]
as specified in the relevant AIS and TIS.
2.9 The Contractor shall be responsible for provision of, security of, and management of
the communications link between the Data Centres and the NBE (which for the
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CODIFIED AGREEMENT SCHEDULE NOI RESTRICTED CONTRACTS
purposes of this schedule shall include the physical routers, encryption devices, file
transfer management servers and associated cabling), subject to POCL complying
with (and ensuring that any third party POCL uses for siting or storage of such
equipment complies with) the following:
2.9.1 provision of a suitable physical operating environment for the Contractor’s
equipment used for or in connection with the communications link including
the following:
(a) _ ensuring the physical security of all equipment which is located on POCL
and/or any such third party’s premises to protect against unauthorised
access; and
(b) _ provision of environmental conditions as reasonably required by the
Contractor,
2.9.2 permitting the Contractor to gain access (at reasonable times and on reasonable
notice) to all locations where such equipment is held or is to be instatled, in
order to enable the Contractor to effect or procure the installation, maintenance,
repair, renewal and support of such equipment.
2.10 For the purposes of paragraphs 2.!1 and 2.12 of this Schedule NOi:
“NB System Desigo Information” means information concerning the design and
characteristics of the NB System held by the Contractor but not available to POCL;
and
the “Purpose” means the operation of End to End Banking and the integration of the
NB System with other elements of End to End Banking.
211 The Contractor shall supply or give access to POCL such NB System Design
Information as POCL reasonably requires for the Purpose, subject to the following
conditions and restrictions:
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CODIFIED AGREEMENT SCHEDULE N01 RESTRICTED CONTRACTS
2.11.1 the provision of copies of or access to NB System Design Information to
POCL by the Contractor shall be subject to such confidentiality provisions
and restrictions on disclosure or access as the Contractor may reasonably
specify, taking into account the sensitivity of the particular System Design
information concemed and any obligations of the Contractor to third parties
in respect of that NB System Design Information; and
2.11.2 where the Contractor is restricted or prohibited by binding obligations to
third parties from disclosing NB System Design Information to POCL:
(a) the Contractor shall use all reasonable endeavours to procure the
mitigation and release of those restrictions or prohibitions; and
(b) the Contractor shall not be obliged to disclose to POCL any NB
System Design Information which it is prohibited from so
disclosing.
2.12 POCL shall not use NB System Design Information for any purpose other than the
Purpose.
213 The provisions of paragraph 2.11 and paragraph 2.12 of this Schedule NO1 shall be in
addition to and without prejudice to the provisions of Clause 607 of this Codified
Agreement.
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3.4
3.5
INTERFACES
The data flows and the NBS interfaces at the Service Boundaries referred to in
paragraph 2.8 of this Schedule NOI and the responsibilities of each party for the
transmission and receipt of data in either direction across those interfaces shall be as
set out in the AISs and TISs applicable to those interfaces. [NBR285]
The interfaces between the Data Centre and the NBE shall support the transmission
of data defined in the CCD entitled “NBE — Horizon Application Interface
Specification "(NB/IFS/008). The technical detail of the interfaces between the Data
Centre and the NBE shal] be defined in the CCD entitled “Technical Interface
Specification — Horizon to NBE”(NB/IFS/009). The procedures which each party
shall follow and the responsibilities of each party in respect of the transmission of
Requests, Authorisations, Confirmations, D Messages and any other data to be
transmitted between the Data Centre and NBE interfaces shall be defined in the
Working Document entitled “WBE Operational Level Agreement”.
[NBROS0, NBR285, NBR020, NBR219, NBR037, NBRO45, NBR109, NBR147,
NBR202, NBR228, NBR277, NBR286, NBR536, NBR537, NBR252, NBR278]
‘The interfaces between the Data Centre and TIP shall support the transmission of
data (to be used by POCL for Banking Transaction settlement and exception
reporting) from the DRSH to the TIP Gateway as documented in the CCD entitled
“Network Banking End to End Reconciliation Reporting” (CS/SPE/011}. The
Contractor shal! update the TIS required for those interfaces for approval by POCL,
such approval not to be unreasonably withheld. [NBR109] [NBR147]
The interfaces between the Data Centre and POCL RDS shall support the
transmission across those interfaces of POCL Reference Data for the NBS as
documented in the AIS entitled “A/S Reference Data to Pathway” ([BP/IFS/010)).
The Contractor and POCL shall agree from time to time the procedures which each
party shall follow and the responsibilities of each party in respect of the transmission
cf POCL Reference Data which shail be documented in Working Documents.
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CODIFIED AGREEMENT SCHEDULE NOt RESTRICTED CONTRACTS
3.6 The Contractor shall use all reasonable endeavours to update the CCD entitled
“Generalised API for OPS/TMS”(TD/STD/004) to describe the NB Counter
Application interfaces as developed by the Contractor by the date three months after
the NBS Acceptance Date and shall in any event do so by the date six months after
the NBS Acceptance Date.
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4. NBS QUALITIES
4. Extensibility
4.1.1 The NBS shall support, through changes to or the introduction of
appropriate Reference Data, the introduction and removal of new instances
of and changes to each of the items listed in the table below for the
purposes of the NBS. The initial allocation of each of the items to the
classifications described in the CCD entitled “/CL Pathway/ PON Interface
Agreement for Operational Business Change — Product’ (CS/PRD/058)
shall be as specified in the table below. The parties may agree to vary the
allocation of the items from time to time, such vanation to be documented
by the Contractor in the Working Document entitled “Reference Data
Change Catalogue” (CS/IFS/001).
Bank issuer schemes
(CCD description ~
Issuer scheme)
Advanced Complex
I Advanced Complex —
I unless name change
only, in which case
High Risk
Banking operation
NBS Service Definition
I
{ Advanced Complex
Advanced Complex —
unless change to
presentation sequence
only, in which case
High Risk
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SCHEDULE NOI
RESTRICTED CONTRACTS
TINs for an existing
Bank card
(CCD. description -
IIN range)
High Risk
High Risk 7}
NB Token element
definitions
(CCD description -
Bank card and bank
card element)
Advanced Complex
Advanced Complex
Method of data entry
(CCD description ~
Permitted method of
entry}
High Risk
High Risk
NBE Routing IDs,
item names, minimum
value, maximum
value, multiple
allowed value
N/A (Reference Data
used in the Existing
Services ~ except
NBE Routing ID
which is a new
element within the
existing item history
record)
N/A (Reference Data
used in the Existing
Services - except NBE
Routing ID which is a
new element within the
existing item history
record)
Screen displays,
changes to menu
hierarchy, new
desktop buttons, help
text and picklists
N/A (Reference Data
used in the Existing
Services)
N/A (Reference Data
used in the Existing
Services)
MCWP and MAAWP
(NB: Not described in
the CCD entitled “A/S
Reference Data to
Pathway”
(BP/IFS/010))
N/A (as both are
system parameters,
they may be changed
but can not be
introduced)
System Parameter —
Pure
NBS Service Definition
[NBR405, NBR401, NBR404, NBR406, NBR023, NBR168]}
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Not used.
4.1.3 The introduction of changes to and new instances of items specified in
NBS Service Definition
paragraph 4.1.1 of this Schedule NOI:
(a)
(b)
(c)
and
shall be in accordance with the procedures and timescales as
specified in the CCD entitled “/CL Pathway/ PON Interface
Agreement for Operational Business Change ~ Product”
(CS/PRD/058) The CCD shall be updated by the Contractor before
the start of the Full E2E Testing Stage to include the procedures for
dealing with items classified as System Parameter - Pure and any
other new procedures for introduction of and changes to those items
and in that first updated version of that CCD, it shall be provided
that changes to an item classified as System Parameter — Pure,
insofar as such changes are undertaken by the Contractor shall take
no more than 2 working days;
shall be effected using only the functions and processes used for
introduction of and changes to Reference Data for the Existing
Services;
shall not cause to be exceeded
(O) any limit or range in respect of any such item (including,
without limitation, limits or ranges on the number of IINs)
where such limit or range is specified in the CCD entitled
; “Horizon New Service Business Volumes” (PA/PER/O3 1);
and/or
(ii) if no such limit or range is specified in that CCD then a
reasonable limit or range [NBRO25];
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44
4.1.5
(d) shall not cause to be exceeded the limits in respect of the rates of
change of introduction of and/or changes to any such item specified
in the CCD entitled “7CL Pathway/ PON Interface Agreement for
Operational Business Change ~ Product” (CS/PRD/058).
[NBRO25] [NBR024] (NBR416]
POCL shall be responsible for verifying and validating all NBS related
POCL Reference Data for use in End to End Banking, save to the extent that
the Contractor is obliged to do so (for the purposes of the use of such POCL
Reference Data within the POCL Service Infrastructure) in accordance with
paragraph 4.1.3 of this Schedule NO1. For the avoidance of doubt, the
Change Control Procedure shall be used if POCL requires, in connection
with the introduction of any of the items referred to in paragraph 4.1.1,
Reference Data validation or testing of the NB System (or any element
thereof) outside the scope of the CCD entitled “/CL Pathway/ PON
Interface Agreement for Operational Business Change ~ Product” :
(CS/PRD/058).
For the avoidance of doubt, where POCL Reference Data contains future
fields which are not enabled at the time of introduction of that POCL
Reference Data as set out in the CCD entitled “4/S Reference Data to
Pathway” (BP/IFS/010), the Contractor shall not carry out any processing of
data in those fields until use of such fields is agreed through the Change
" Control Procedure. [NBR410, PPRO14]
The Contractor's charges and rates for the creation and the introduction of
new icons shall-be as set out in Schedule A12.
4.2 Integration with Existing Services ~
The NBS shall coexist with the Existing Services and the NBS shall appear as
another service at automated Counter Positions alongside the Existing Services.
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Banking Transactions shall be reflected in EPOSS (including integration in Customer
Sessions) and the Cash Account. The counter dialogue for the NBS shall be as
documented in the CCD entitled “Nerwork Banking Counter Dialogue ~ Activity &
Screen Flows” (NB/SPE/003) and by the applicable date specified in the NB Project
Plan the Contractor shall propose and POCL shall agree (such agreement not to be
unreasonably withheld) any enhancements required to the CCD entitled “Horizon
OPS Style Guide” (SD/STD/001) for the NBS. [NBR448 NBR493, NBR159]}
[NBR028]
43 Reference Data
Components of the NBS shall be controllable by Reference Data defined in the AIS
referred to in paragraph 3.4 of this Schedule NO! such that new or changed items
referred to in paragraph 4.1.1 of this schedule may be introduced under Operational
Business Change or the Change Control Procedure, as applicable. [NBR460]
“44 POCL Reference Data Distribution
4.4.1 Onand after the applicable date specified in the NB Project Plan, POCL
shall be responsible for generating and transmitting (as reasonably required
by the Contractor) test Reference Data to the Contractor’s RDMC.
[NBRO96]
4.4.2 POCL Reference Data used in the NBS shall be processed in accordance
with the CCD entitled “/CL Pathway/ PON Interface Agreement for
Operational Business Change — Product” (CS/PRD/058) once that CCD has
been amended in accordance with paragraph 4.1.3 (a) of this Schedule NO1.
[NBR025]
4.4.3, POCL shall be responsible for ensuring that POCL Reference Data is
introduced and is effective in the NBE no later than the date and time on
which it is due to be made effective in the NBS by the Contractor and that
POCL Reference Data shall continue to be valid in the NBE until a date and
time no earlier than that on which it is due to cease to be valid in the NBS.
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Subject to the lead times in the CCD entitled “/CL Pathway/ PON Interface
Agreement for Operational Business Change — Product" (CS/PRD/058) the
Contractor shall ensure that POCL Reference Data is implemented in the
NBS on the date and time specified by POCL and that it remains valid until
the expiry date and time specified by POCL. [NBR418]
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COUNTER POSITION FUNCTIONALITY, PROCEDURES AND
PERFORMANCE
3.1 Supported Tokens and Transactions
5.1.1 ° The Tokens which shall be supported by the NBS (“NB Tokens”) and shall
be used to initiate Banking Transactions exclude smart cards [NBR063] and
are limited to those which:
(a) have a magnetic stripe; [NBROOL]
(b) conform to ISO 7810, 7811, 7812, 7813; [NBR394] [NBR395]
{NBR396] [NBR397] [NBRS5O1] and
(c) relate to a single account (including multiple account cards where
these automatically default to a single account). [NBR165]
5.1.2 The Transactions which shall be supported by the NBS (“Banking
Transactions”) are listed in the table below:
Cash Deposit
Cash Withdrawal
Balance Enquiry
Cash Withdrawal with Balance
Withdraw Limit
Change of PIN at PIN Pad
{NBROO1] [NBR003] [NBRO04]
5.1.3. In addition, the NBS shall provide capability for further types of Banking
Transaction to be supported but the Contractor shall not develop that
capability for any further types of Banking Transaction unless and until
agreed under the Change Control Procedure.
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5.2
S14
Banking Transactions in the table above shall all be carried out across on-
line network communication links between the NB System and the NBE.
[NBRO009}
Where required in respect of a Banking Transaction in accordance with the
terms of this Schedule, Customer Verification shall take place in accordance
with paragraph 5.8.2 of this Schedule N01.
The Banking Transactions (and underlying POCL Products) and Issuer
Schemes (as such expression is defined in the CCD entitled “A/S Reference
Data to Pathway" (BP/IFS/010)) supported by the NBS for each type of NB
Token shall be identified by the Contractor through the POCL Reference
Data associated with the ITN contained in each NB Token. [NBR006,
NBR429, NBRO18] :
Application Principles
5.2.1
POCL shall be responsible for the integration of the NBS and the NB
System into End to End Banking.
The NB Counter Application shall comply with the CCD entitled “Network
Banking Counter Dialogue ~ Activity & Screen Flows” (NB/SPE/003).
POCL Reference Data held locally in Outlets shall be used by the NB
System to determine the appropriate counter dialogue for each Banking
Transaction. Each type of Banking Transaction may involve a number of
different dialogues between the NB System and the Counter Clerk and
between the PIN Pad and Customer, depending upon a number of variable
factors (such as, without limitation, whether, and if so what method of
Customer Verification is required in respect of a Banking Transaction).
Prompts to Counter Clerks displayed by the NB Counter Application shall
be standard for ail Banks. The principles upon which text is to be generated
by the NB Counter Application and displayed to Counter Clerks and text
displayed to.Customers on 2 PIN Pad, together.with specific agreed text
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shall be as set out in the CCD entitled “Nerwork Banking Counter Dialogue
~ Activity & Screen Flows” (NB/SPE/003). (NBR451, NBR439] [PPROIL,
PPRO21, PPRO23]
5.2.3. Not used.
5.2.4 The front-end processes for the Existing Services (e.g. menu hierarchy) shall
be reviewed and modified if reasonably necessary (subject to the Change
Control Procedure) in order to support the NBS functionality [NBR463].
The NB System shall be integrated within the POCL Service Infrastructure
such that a Counter Clerk:shail be able to serve a Customer by carrying out
any of the various types of Transaction supported (e.g. OBCS, EPOSS, APS
and NBS) as required by that Customer and all Transactions for that
Customer shall be included in the same EPOSS Customer Session. For the
avoidance of doubt, a Banking Transaction shall not automatically conclude
a Customer Session even if it brings the balance to zero. [NBR448,
NBR450]
5.2.5 Not used.
5.2.6 Input of Banking Transaction data by Counter Clerks at Counter Positions
shall be supported by touch screen and keyboard in combination or
separately, as described im the CCD entitled “Network Banking Counter
Dialogue — Activity & Sereen Flows” (NB/SPE/003). [NBR438, NBR484]
5.2.7 All Transactions Shall be conducted under a common access control regime
such that a Counter Clerk is required to log-on once only (providing only
their allocated user identification and password) in order to make use of
both the NBS and Existing Services. [NBR449]
5.2.8 Reference Data held locally in Outlets shall be used to carry out initial
validation of NB Tokens presented by Customers for the purpose of carrying
out Banking Transactions. [NBR240]
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5.2.10
5.2.11
NBS Service Definition
Once a Banking Transaction has been initiated, and a Request generated,
that Banking Transaction shall be completed and the Banking Transaction
outcome added to the EPOSS transaction stack before any other Transaction
can commence. {NBR468]}
Not used.
The NBS shall operate in a single currency and Banking Transactions shall
be recorded in that currency which, unless agreed otherwise under the :
Change Control Procedure, shall be sterling. The Contractor shall design the
NB System in a way which will not preclude a future development to
transact business in EUROs. However any such development shall be
subject to agreement through the Change Control Procedure. [NBR153]
The NB Counter Application shall be designed and implemented to
minimise (within the constraints associated with performing Banking
Transactions in accordance with the CCD entitled “Network Banking
Counter Dialogue — Activity & Screen Flows” (NB/SPE/003) and the
constraints imposed by the Hardware and the development tools connected
with the Software used to develop the NB Counter Application) the counter .
times for the system processing elements particular to each variation of a
Banking Transaction involving data entry via screen or keyboard (and not
using an NB Token swipe). The CCD entitled “Generalised API for
OPS/TMS” (TD/STD/004) shall be updated to reflect the design
characteristics and limitations of the NB Counter Application as
implemented. [NBR447]
Banking Transaction data that the Contractor is responsible for shall be
recorded at source to ensure the integrity of that data. [NBR453]
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5.2.14
The NB Counter Application shall provide a print preview facility
incorporating all details on the NB Receipt to enable the Counter Clerk to
produce a manual NB Receipt in the event of printer fatlure. [NBR155]
Transaction Flow
3.3.1
5.3.2
Banking Transactions shall follow the RACOC1] Model. [NBR038,
NBRO20] Requests, Authorisations and CO Confirmations shall be
processed using on-line network communication links between the NB
System and NBE. [NBRO38] The C1 Confirmations committed to the
transaction stack shall be replicated in the manner used for Existing
Services. [NBRO21]
The date/time stamp which shall be inserted in Requests shall be based on
the local time in the relevant Outlet, as present on Counter Equipment in
that Outlet. Such date/time stamps shall be carried through any dialogue
with a Bank (in Requests, Authorisations and Confirmations) and the
Customer receipts to ensure consistency. [NBR157]
The Request, Authorisation and Confirmations for each Banking
Transaction shall have a common identifier as defined in the CCD entitled
“NBE ~ Horizon Application Interface Specification” (NB/IFS/008) which is
unique io that Banking Transaction. [NBR158, NBR536]
The Ci Confirmation shall form part of the associated EPOSS Transaction
such that a message shail be recorded at the Outlet at the end of a Customer
Session in addition to any CO Confirmation recorded at the Outlet during a
Customer Session. [NBR182]
Cl Confirmations shall be generated in all cases where a Request has been
generated. CO Confirmations will be generated and transmitted on-line to the
NBEift
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54
us
us
(a) a Banking Transaction is Declined at the Counter Position (unless a
Decline has been received from the NBE);
(b) a Banking Transaction is failed at the Counter Position; or
(c) there is system time-out either at the Counter Position or at the
Authorisation Agent such that an NBE Authorisation is not
received at the Counter Position for a corresponding Request.
POCL shall be responsible for ensuring that the NBE supports receipt of CO
Confirmations sent to the NBE, and is able to generate C4 Confirmations to
the DRSH, as applicable. .
Processes and Procedures
3.4.
uw
Pad
iv
1
The Contractor shall develop for agreement by POCL (such agreement not
to be unreasonably withheld) clear and unambiguous processes and
procedures for the operation of the NBS in Outlets. The Contractor shall
document such agreement in a PPD (the “NB PPD”) and such other PPDs as
the parties agree to be appropriate. However, until such time as the NB PPD
is agreed by the parties, the processes and procedures to be followed at
Counter Positions shall be those set out in the CCD entitled “Network
Banking Counter Dialogue - Activity & Screen Flows” (NB/SPE/003). The
parties intend that the content of the CCD entitled “Neswork Banking
Counter Dialogue - Activity & Screen Flows” (NB/SPE/003) which needs
to be maintained after completion of development of the NBS shall be
included in such other CCDs as the parties agree to be appropriate and
references in this Schedule NO1 to that CCD will be replaced as appropriate.
[NBR232, , NBR463, NBR026}.
The Contractor’s Help Desk and the NBSC processes for dealing with
enquiries from Outlets in connection with the NBS shall be enhanced by the
Contractor and POCL respectively to support the NBS and each party shall
ensure that it follows any related new procedures, [NBR248, NBR046,
NBR047, NBR452] (NBR272]
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5.4.3 In addition to its obligation in paragraph 5.4.2 of this Schedule NO1, POCL
shall be responsible for providing a support desk service which in respect of
the NBE and its associated links to LINK and/or Banks, shall act as a central
point for obtaining information on the working state of the NBE, and shall
be responsible for notifying the Contractor of any scheduled interruptions
Such support desk service shall be the reporting point for the Contractor to
log faults in systems and services outside the POCL Service Infrastructure
and shall be responsible for progressing the resolution of faults and for
notifying the Contractor when faults have been resolved. A description of
the service operation of such support desk shall be documented in the
Working Document entitled “ICL Pathway/POCL Interface Agreement for
the NBSC and HSH Interface” (CSHFS/007).
5.4.4 POCL shall ensure that all Users of the NBS in Outlets are trained in the use
of the NBS within their role and the procedures as set out in the NB PPD.
Each User shall be so trained prior to using the NBS, POCL shall be
responsible for the production of the relevant training material.
5.4.5. To enable POCL to design and develop training for NBSC personnel the
Contractor shall provide in a timely manner such accurate information about
the NBS (beyond that which is contained in the NB PPD or other NBS
related CCDs) as may be reasonably requested by POCL.
wa
uu
Counter Environment
The counter environment for the NBS shall comply with the CCDs entitled “7M@S
Architecture Specification” (TD/ARC/029) and the “OPS Architecture Specification”
(TD/ARC/030) which shall be updated by the Contractor before the start of NBS
Tests to include the amendments required to those CCDs to reflect changes to the
counter environment required for the NBS including, without limitation, the
development, introduction and use (for the purposes of the NBS) of WebRiposte, the
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NB Counter Application, new POCL Reference Data objects, PIN Pads, and any
consequential changes to the counter environment to be made by the Contractor.
5.6 Customer Sessions
5.6.1
uw
a
iv
uw
a
a
Banking Transactions shall be carried out within a Customer Session.
Each Banking Transaction shall be separate from other Banking
Transactions, such that, for example, a deposit and a withdrawal by a
Customer shall be two separate Banking Transactions with no system _
relationship between them. [NBR151]
The NBS shall ensure that Session Mobility is prohibited between the start
of a Banking Transaction and the time that the Cl Confirmation is written to
the transaction stack. [NBRO70]
The NBS shall ensure that suspend session as described in Requirement 825
of Schedule A15 of this Codified Agreement is prohibited between the start
of a Banking Transaction (as described in paragraph 5.7.2(a) of this
Schedule NOL) and the time that the C1 Confirmation is written to the
transaction stack. [NBRO71]
The NBS shall ensure that forced end of session shall not compromise the
integrity of the RACOCI Model. [NBRO72}
5.7 Data Capture
S74.
NBS Service Definition
The NBS shall enable the Counter Clerk to capture certain details from the
Customer’s NB Token electronically or manually (as described in this
paragraph 5.7 below), select the Banking Transaction type (e.g. withdrawal)
required by the Customer and the details of that Banking Transaction (e.g.
withdraw £50). Banking Transactions shall be capable of being initiated
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only when in the serve customer mode described in the CCD entitled
“Generalised API for OPS/TMS” (TD/STD/004).
For the purposes of data capture, the NBS shall operate in accordance with
uw
=~
iv
the following principles and in compliance with the provisions applicable to
data capture set out in the CCD entitled “Network Banking Counter
Dialogue - Activity & Screen Flows” (NB/SPE/003):
(a) Initiation of Banking Transaction shall occur when a NB Token is
swiped through and recognised by the magnetic card reader, or
when the Counter Clerk manually selects a Banking Transaction
(e.g. because the NB Token swipe fails) using the keyboard or
touch screen. [NBR164] [NBR486]
(b) The [IN recorded on the NB Token in conjunction with the method
of data entry and whether or not a PIN Pad has been installed shall
determine the Banking Transactions which the NBS shall support
for that NB Token. [NBR0O06] A separate NB Token swipe will be
required:
Q for each individual Banking Transaction; and
(ii) unless a PIN is determined to be invalid at the Outlet, if an
incorrect PIN is input to the PIN Pad.
(c) Once thé NB Token details have been successfully captured and
validated in accordance with paragraph 5.8.1(a) of this Schedule
NOI, only the Banking Transactions available to the Customer
using that NB Token shall be selectable. The Counter Clerk shall
be prompted to select the Banking Transaction type required and, in
the case of cash deposits and cash withdrawals (excluding Banking
Transaction type “Withdraw Limit”) to enter the appropriate
financial amount in the prevailing currency.
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(a)
Following Banking Transaction initiation by manual selection, once
data entry is complete, the Banking Transaction data flow shall be
the same as for a Banking Transaction initiated by NB Token
swipe, with the NB Counter Application recording that initiation
was manual rather than automatic. [NBR536}
5.8 NB Token Validation and Customer Verification
5.8.1 NB Token Validation
NB Token Validation shall operate in accordance with the following
principles and shall be carried out in accordance with the provisions
applicable to NB Token Validation set out in the CCD entitled “Network
Banking Counter Dialogue - Activity & Screen Flows”. (NB/SPE/003):
(a)
()
(c)
(d)
NBS Service Definition
NB Tokens shall be validated against Reference Data held locally
in Outlets, and Banking Transactions shall be terminated where
such validation fails. [NBR240] [NBR168] [NBR007] [NBR008}
[NBR033]
Multiple and minimum Banking Transaction limits shall not apply
to the Banking Transaction type ‘Withdraw Limit”. [NBR166,
NBR168, NBR430}
If before a Request is generated, the Banking Transaction is
abandoned by the Counter Clerk or terminated at a Customer’s
request, no Cl Confirmation, CO Confirmation or other record of
that attempted Banking Transaction shall be recorded by the NB
System. [NBR008]
Following successful validation of the NB Token, a screen prompt
shall tell the Counter Clerk to perform the agreed checks.
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documented in the CCD entitled “Network Banking Counter
Dialogue ~ Activity & Screen Flows” (NB/SPE/003). [NBR161]
Customer Verification
wu
hed
iv
Customer Verification shall operate in accordance with the following
principles and shail be carried out in accordance with the provisions
applicable to Customer Verification set out in the CCD entitled “Network
Banking Counter Dialogue ~ Activity & Screen Flows” (NB/SPE/003):
(a) In respect of each Banking Transaction, whether or not Customer
Verification is required, and if required the verification method
applicable, shall be identified through the POCL Reference Data
held locally at Outlets associated with the IN contained in the NB
Token presented to the Counier Clerk. Each method of verification
shall be able to operate independently of the others (e.g. it will not
be necessary to have installed a PIN Pad in order to operate
functionality associated with Customer Verification by signature
comparison). If Customer Verification is required the method used
shall be one of the following:
. Verification by the Counter Clerk comparing the
Customer’s signature with that on the NB Token, as the
only method
. - Verification involving the Customer entering a PIN using
the PIN Pad, as the only method; or
° Verification by signature comparison as an alternative to
PIN entry, where the PIN Pad is not available by reason of
it not having been deployed in accordance with Schedule
G12.
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[NBR002] [NBR250] [NBR251] [NBR583] [NBR!52] [PPROO1]
[PPROO2] (PPRO!4]
0)
(ii)
(iii)
Verification by signature comparison
The result of verification by signature comparison shall be
recorded in the Cl Confirmation and, as applicable, in any
CO Confirmation produced for the relevant Banking
Transaction. [NBR173]
Verification by PIN entry
Where a Customer’s NB Token is verified by PIN entry,
the encrypted PIN value shall be encapsulated in the
Request and the outcome (e.g. whether or not the PIN
value is correct) shall be returned via the Authorisation.
Where verification is by PIN entry the Customer will not
be required to sign a NB Reccipt. The PIN shall not be
displayed nor printed on any NB Receipt. [PPRO71]
[NBR575, NBR577] [PPRO71]
Verification by signature comparison as an alternative to
PIN entry I
The principles set out in paragraph 5.8.2 (a)(i) of this
Schedule NO1 shall apply.
5.9 Request, Authorisation and Confirmation Action
5.9.1 The Contractor shall ensure that:
(a) Following successful NB Token Validation, a Banking Transaction
shall not proceed unless a network connection to the Data Centre
can be reasonably expected to be established to obtain on-line
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NBS Service Definition
(b)
(©)
@
Authorisation, as set out in the CCD entitled "“Nerwork Banking
Counter Dialogue ~ Activity Screens & Flows” (NB/SPE/003).
Once that connection has been established, a Request shall be sent
to the NBE, and the Banking Transaction shall only proceed if a
positive Authorisation is received from the NBE and that Banking
Transaction is not Declined by the Counter Clerk. In the event that
the Counter Clerk Declines a Financial Transaction a CO
Confirmation shal] be sent on-line to the NBE. [NBR010, NBROO8,
NBROi!, NBRO12]
There shall be no local facility within an Outlet to override a
Decline response in an Authorisation. [NBR156]
If the Authorisation is not for the same amount as the Request, the
Banking Transaction will be Declined by the NB System, except in
the case of a Request for a Banking Transaction type “Withdraw
Limit”, which will be permitted to proceed subject to the maximum
limit set by Reference Data.
The MAAWP and the MCWP shall be:
(i) set as parameters in the NB System;
(ii) common for all Banks; and
(iii) configurable by Pathway Reference Data.
and in any event the MCWP shall not exceed 40 seconds
If after the generation of a Request at a Counter Position or after the
Authorisation Agent makes a Request available to the NBE a
corresponding Authorisation is not received within the MCWP or
MAAWP respectively, the Banking Transaction shail be Declined.
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(e) The outcome of each Banking Transaction shal] be written to the
EPOSS stack. Each Banking Transaction shal! be identifiable to an
individual Counter Clerk “log-in ID” and Stock Unit. {NBR239]
5.9.2 For the purposes of the NBS, and in particular the NBS Service Levels
described in Schedule N08, the result of the following calculation:
° MCWP minus MAAWP,
(such result being referred to in this paragraph 5.9.2 as the “Additional
Time’) shall not be Jess than 15 secorids. Once set, or as otherwise
specified in this Schedule changes to the MCWP and/or MAAWP where the ~
resulting MCWP is less than or equal to 40 seconds and where the-resulting
Additional Time is more than or equal to 15 seconds shall be subject to
change under Operational Business Change, and changes where the resulting
MCWP is greater than 40 seconds and/or the resulting Additional Time is
less than 15 seconds shall be subject to agreement iunder the Change Control
Procedure. (NBR221]
5.10 Withdraw Limit
5.10.1° In the case of the Banking Transaction type “Withdraw Limit”, the NBS
shall not require the Counter Clerk to enter the withdrawal amount into the
NB System. [NBR430]}
5.10.2 Following transmission of the Request for such Banking Transaction,
POCL shail ensure that the amount which is permitted to be withdrawn
shall be included in the Authorisation. The NB System shall not allow the
amount permitted to be withdrawn to be overridden locally at the Outlet
other than by Declining the Banking Transaction. [NBR430)
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$.11
uw
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Declined Transactions
Banking Transactions shall be Declined or shall be capable of being Declined by a
Counter Clerk or the NB System in accordance with the applicable processes and
procedures set out in the CCD entitled “Network Banking Counter Dialogue -—
Activity & Screen Flows” (NB/SPE/003), and in particular the provisions of that
CCD which relate to the:
(a) rules which govern when a Banking Transaction may or shall be Declined;
(NBR008] [NBRO10] [NBR458] [ NBR480]
(b) NB Receipts which shall be produced when a Banking Transaction is
Declined; [NBR167]
(c) prompts and messages which shall be displayed to a Counter Clerk when a
Banking Transaction is Declined; [NBR480] and
(d) Confirmation messages which shall be produced in event of a Decline.
[NBR167] [NBRO08]
Reversed (Contra Entry) Transactions
The NBS will not support contra entries, that is Banking Transactions which negate
preceding Banking Transactions to which they refer. [NBRO15]
Receipts
5.13.1 NB Receipts shall be produced by the NB System in accordance with
paragraphs 5.13.2 to 5.13.4 (inclusive) of this Schedule NO1 and the
applicable provisions of the CCDs entitled “Network Banking Counter
Dialogue - Activity & Screen Flows” (NB/SPE/003) and “Horizon OPS
Reports and Receipts" (SD/DES/005).
5.13.2 Derivation of NB Receipts
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(a)
(b)
(c)
The same form of NB Receipt shall be used for ali Banks for each
Banking Transaction type. [NBR029]
The NB System shall provide the capability for printing NB
Receipts in English and bilingual NB Receipts in English and
Welsh in the same manner as for the Existing Services. The
language used by the NBS in printing Outlet specific headers and
* footers in such NB Receipts shall be determined by Reference Data.
[NBRI49]
The NB System shail support the interpretation of messages
received from the NBE in accordance with the CCD entitled “WBE
~ Horizon Application Interface Specification” (NB/IF S/008)) and.
such messages shall be printed within defined areas on NB Receipts
and documented in the CCD entitled “Network Banking Counter
Dialogue ~ Activity & Screen Flaws” (NB/SPE/003). [NBR149,
NBRO31]
5.13.3 Production of NB Receipts
(a)
(b)
NBS Service Definition
The NB System shall print NB Receipts for all Banking
Transactions undertaken using the NBS other than those which are
abandoned before a Request is-generated. [NBR030] [NBR238]
An NB Receipt shail be produced where an Authorisation is
received with instruction to retain the NB Token in accordance with
paragraph 5.17 of this Schedule N01.
The circumstances in which the NB System shall support the
capability of reprinting a current NB Receipt are described in the
CCD entitled "Network Banking Counter Dialogue — Activity &
Screen Flows” (NB/SPE/003).
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5.13.4 Content of NB Receipts and reports
(a) The detailed content and layout of each type of NB Receipt and
report and the circumstances in which they shall be printed shall be?
@ consistent with paragraphs 3.13.1 and 5.13.2 of this
Schedule NOL;
(ii) as described in the CCD entitled “Network Banking
Counter Dialogue — Activity & Screen Flows”
(NB/SPE/003), and
(iii) documented by amendment to the CCD entitled ‘Horizon
OPS Reports and Receipts” (SD/DES/005}. [NBRO30,
NBRO32, NBR539, NBRO31, NBR429] [NBR237}
(b) The NBS shall support printing of free text in agreed fields where
this is received from the NBE provided the free text does not
exceed the limit specified in the CCD entitled “NBE - Horizon
Application interface Specification” (NB/HFS/008).
(c) The provision of information required via the NBE for printing on a
NB Receipt is the responsibility of POCL.
5.14 Error Screens
Error messages displayed by the NB System shail be as set out in the CCD entitled
“Network Banking Counter Dialogue — Activity & Screen Flows” (NB/SPE/003).
5.15 Settlement
For the purposes of this paragraph, “EPOSS Settlement” is the process at the end ofa
Customer Session whereby monies and Receipts (as appropriate) are exchanged
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between the Counter Clerk and Customer and all Transactions on the transaction
stack are written to the message store. Transactions wmitten to the message store at
EPOSS Settlement shal! include C1 Confirmations for Banking Transactions carried
out during the relevant Customer Session. [NBR254]
5.16 Messages
5.16.1
5.16.2
The Authorisation received from the NBE may contain codes for translation
into messages for display to the Counter Clerk or for printing on the NB
Receipt (or both) and the NB System ‘shall display or print such messages as
described in the CCD entitled “Nenwvork Banking Counter Dialogue —
Activity & Screen Flows” (NB/SPE/003) and in accordance with the CCD
entitled “NBE — Horizon Application Interface Specification” (NB/IFS/008).
The NB System shall display a message to the Counter Clerk asking him to
notify the Customer of any fees chargeable by a Bank for the Banking
Transaction requested by that Customer, provided that all required fee data
is included in the Authorisation received from the NBE. [NBR150} The NB
System shall allow the Customer the option to elect not to continue with that
Transaction without incurring the fee, or to proceed with that Transaction
with the fees as notified. [NBRI50]
Collection of the fees referred to in paragraph 5.16.2 of this Schedule NO1
shall not be supported by and is excluded from the NBS. [NBR242}
5.17 Retained NB Tokens
5.17.1
NBS Service Definition
Where an Authorisation is received instructing that a NB Token be retained,
the NB System shall require the Counter Clerk to indicate whether or not”
that NB Token has been retained and the result shall be included in the Cl
Confirmation. [NBRO14] [NBR252]
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io
5.17.2. The NB System shal! print a NB Receipt when a NB Token is retained in
accordance with the CCD entitled “Network Banking Counter Dialogues -
Activity and Screen Flows” (NB/SPE/003).
5.17.3 The production of NB Token retention reports shall not be supported by the
NBS. [NBR064}
Recovery of Banking Transactions
Where a failure at a Counter Position causes Confirmation messages not to be written
to the message store or to be lost before they are replicated, irrespective of whether
such failure is catastrophic (requiring replacement of an element of the NB System)
or temporary (cured by “re-booting”) and whether such failure is at a single or multi
Counter Position Outlet, the NB System shal! initiate a recovery process in
accordance with the CCD entitled “Network Banking Counter Dialogues — Activity
and Screen Flows” (NB/SPE/003) (the “Recovery Process”).
[NBR035, NBR176, NBRO13, NBRS505]
Outlet Reports
The reports that shall be capable of being generated on demand in respect of the NBS
in Outlets (in relation to the Outlet in which such reports are requested) shall be in
the form described in the CCD entitled “Network Banking Counter Dialogue -
Activity & Screen Flows” (NB/SPE/003). [NBR256]
Help Functions
The NB System shall display integrated context sensitive help messages to assist
Counter Clerks at key points in the Banking Transaction as described in the CCD
entitled “Network Banking Counter Dialogue - Activity & Screen Flows”
(NB/SPE/003). [NBRO28] °
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$.21 Cash Account
q
The total value of successful Banking Transactions and the aggregate number of
successful and Declined Banking Transactions conducted in an Outlet shall be
recorded in the Cash Account for that Outlet using the mechanisms controlled by :
POCL Reference Data which are used for Existing Services. [NBR017, NBRO18,
NBR464, NBR258, NBR263]
“a
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6.1
6.4
BANKING TRANSACTION MANAGEMENT FUNCTIONALITY
[ntroduction
The functions of the TMS in supporting each element of the NBS shall be as set out
in the CCD entitled “7MS Architecture Specification” (TD/ARC/029).
Interactive Communications between NBE and Horizon
The NBS shall support the RACOC1 Model and the sequence for each Banking
Transaction, as set out in the CCDs entitled “NBE — Horizon Application Interface
Specification.” (NB/IFS/008) and “Network Banking Counter Dialogues — Activity
and Screen Flows" (NB/SPE/003). The Contractor shail document the RACOC1
Model in detail in a Working Document within a reasonable time (and in any event
not more than three months) after signature of the NBS CCN.
Bulk Agents
The TPS Agent shall harvest Ci Confirmations originating from each Outlet for
transmission via the TPS Host to POCL TIP (as for EPOSS as an Existing Service)
making-them available to the Data Warehouse and the DRSH.
Message Store Archive
The contents of the message store in the Data Centre shall be archived to the Archive *
Server in accordance with the CCD entitled “Audit Trail Functional Specification’
(CR/FSP/006).
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7.
TW
MANAGEMENT INFORMATION, AUDIT AND ARCHIVE
TPS Host
The TPS Host shail process C1 Confirmations harvested by the TPS Agent.
Transaction Recording and Archiving
7.2.
1
iv
All Banking Transaction messages (including those to and from the NBE)
will be auditable consistent with the principles set out in the CCD entitled
“Audit Trail Functional Specification” (CR/FSP/006) and an audit trail of
each Banking Transaction message will be maintained for fifteen years after
its creation. [NBR441, NBRO16, NBR542] All such audit trails shall:
{a) have protection against unauthorised alteration and deletion;
(b) be irretrievably deleted or destroyed as soon as reasonably
practicable after that fifteen year period has expired, except where
POCL has requested (prior to such deletion or destruction) an Audit
Record Query in connection with litigation support (in accordance
with paragraph 7.3 of this Schedule NO1), in which event the
relevant audit trail data (extracted by the Audit Record Query) shall
be retained for the duration of the associated investigation; and
(c) ‘identify the log-on identification used for each Banking
Transaction. [NBR541}
For the avoidance of doubt, the data contained in such audit trails are POCL
Data.
It shall be POCL’s responsibility to ensure that Users of the NBS, log-on
with separate log-on “IDs” and do not perform Banking Transactions under
a different log-on ID in order that the User responsible for each Banking
Transaction may be identified from audit trail data. [NBR541]
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73 Information Retrieval and Audit
7.3.1 For the purposes of this paragraph 7.3:
“Banking Transaction Record Query” means a Record Query in respect
of a Banking Transaction which the Data Reconciliation Service has
reconciled or has reported as an exception, the result or records of which are
subsequently queried or disputed by POCL or a third party;
“Audit Record Query” means a Record Query which is not a Banking
Transaction Record Query and which relates to Transactions;
“Old Format Query” means the extraction of records created before
commencement of NB Pilot (Soft Launch) relating to Transactions (other
thar. Banking Transactions) meeting the Search Criteria, such extraction
being limited to the following specific types of information/data fields: the
ID for the user logged-on, Counter Position ID, stock unit reference,
Transaction ID, Transaction start time and date, Customer Session ID, mode
(e.g. serve customer), product number and quantity, and sales valuc;
“Period One” means, in respect of each Transaction the period of 90 days
commencing on the date of that Transaction;
“Period Two” means, in respect of each Transaction the period
commencing the day after expiry of Period One for that Transaction,
expiring the earlier of the date:
{a) 18 months (in the case of Transaction records created before
* commencement of NB Pilot Soft (Soft Launch)) or 15 years (in the
case of Transaction records created after commencement of NB Pilot
Soft (Soft Launch)), afer the records of that Transaction were first
created; or
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NBS Service Definition
(b) of completion of transfer of POCL Data (including the record of that
‘ransaction) in accordance with paragraph 4.1 of Schedule N06 or
paragraph 4.1 of Schedule A07, as applicable;
“Query Day” means each date against which an Audit Record Query or an
Old Format Query is raised;
“Record Query” means the extraction of records created after
commencement of NB Pilot (Soft Launch) in accordance with the terms of
this paragraph 7.3 relating to Banking Transactions (and, in the case of
Audit Record Queries relating to all Transactions) meeting the Search
Criteria, such extraction being limited to specific types of information/data .
fields as follows:
- in the case of an Audit Record Query - the ID for the user logged-
on, Counter Position ID, stock unit reference, Transaction ID,
Transaction start time and date, Customer Session ID, mode (e.g.
serve customer), product number and quantity, and sales value; and
- in the case of a Banking Transaction Record Query - Banking
Transaction ID, Banking Transaction type, receipt date, receipt
time, the reason code (in the case of a discrepancy) and DRSH sub-
value(s) (eg CO ‘Confirmation, C1 Confirmation, Decline), and
“Search Criteria” means:
- in the case of an Audit Record Query or Old Format Query either
oft
(a) date or dates (not exceeding 31 consecutive days), time-
range, Outlet and PAN (or equivalent identifier); or
(b): date or dates (not exceeding 31 consecutive days), time-
range and Outlet; and
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st
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iv
~
ia
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NBS Service Definition
- in the case of a Banking Transaction Record Query either of:
(a) date, time-range, Outlet and PAN; or
(b) date, time-range and Outlet, [NBR544]
to be specified for each individual Record Query or Old Format
Query (as applicable).
~ The Contractor shall have access (such access being restricted to properly
authorised Contractor staff) to records of each Banking Transaction during
Period One and Period Two.
Limits and target times for Record Queries
{a) The table below sets out the limits on Record Queries and/or Old
Format Queries which the Contractor shall be obliged to carry out and
the target times for carrying out each Record Query and/or Old Format
Query:
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#I 900 per year (on
rolling year basis)
sI with no more than
126 in any
calendar month
fs
100 per yeur (on a
rolling year basis) with
no more than 14 in any
calendar month
: oe
Subject to paragraph 7.3.6 below, the
limit per year (on a rolling year basis) j
shall be the first of the following to be
reached: (i) 550 (in agureyate) Audit
Record Queries and Old Format Queries;
or (ii) 7700 Query Days, and the limit per
calendar month shail be the first of the
following to be reached (i) 77 (in
aygregate) Audit Record Queries and Old
Format Queries, or (ii) 1078 Query Days
‘The limit per year (on a rolling
year basis) shall be the first of
the following to be reached: (i)
50 Old Format Queries; of (ii)
700 Query Days, and the imit
per calendar month shall be the
first of the following to be
reached: (i) 7 Old Format
Queries; or (ii) 98 Query Days.
5 MSU Days
TMSU Days
Subject to paragraph 7.3.4 below and
appticable only in respect of Audit
Record Queries, 7 working days (for
queries of 14 or less days’ duration) and
14 working days (for queries of greater
than 14 days’ duration).
Subject to paragraph 7.3.4
below, 14 working days (for
queries of 14 or less days’
duration) and 28 working days
(Jor queries of greater than 14
days’ duration).
NBS Service Definition,
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(b)
(©)
(d)
(e)
The limits set out in columns numbered I and 2 in the table above and
the provisions of this paragraph 7.3 relevant in connection with the
application of those limits shall apply with effect from commencement
of NB Pilot (Soft Launch).
The limits set out set out in the column numbered 3 in the table above
and the provisions of this paragraph 7.3 relevant in connection with
the application of those limits shall apply with effect from the date of
approval by both parties of the CCN which introduces the NBS
(CCNIaeh id shall, eoase to be applicable 18 calendar months after
the donitiSbcehient 3 NB Pilot (Soft Launch).
For the purpose of applying the limits in column 3 from the date of
approval by both parties of the CCN which introduces the NBS
he equivalent of Old Format Queries (and associated
ut in the 12 months prior to that date shal! count
towards the annual limit (on a rolling year basis) and the equivalent of
Old Format Queries carried out in the calendar month in which the
NBS CCN is approved (prior to the date of such approval) shall count
towards the limits for that month.
For the purpose of applying the limits in columns 2 and 3 after
commencemeni of NB Pilot (Soft Launch), any Old Format Queries
(and associated Query Days) carried out in the 12 months prior to ”
commencement of NB Pilot (Soft Launch) shall count towards the
annual limits (on a rolling year basis) and Old Format Queries cartied
out in the calendar month in which NB Pilot (Soft Launch)
commences (prior to that commencement) shall count towards the
limits for that month
7.3.4 Where:
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73.5
NBS Service Definition
(a) anew Audit Record Query or Old Format Query is received by the
Contractor or POCL requires analysis of an existing Audit Record
Query or Old Format Query; and
(b) a member of the Contractor’s personnel is needed to deal with tha: -
new or existing Audit Record Query or Old Format Query; but
(c) that person is unavailable due to his or her attendance at court or
other proceedings in connection with an Audit Record Query or
Old Format Query,
the target times specified in paragraph 7.3.3 shall not apply to that new or
existing Audit Record Query or Old Format Query referred to in paragraph ©
7.3.4 (a) which the Contractor shall instead deal with as soon as reasonably
practicable.
For the avoidance of doubt, the limits set out in paragraph 7.3.3 in respect of
Banking Transaction Record Queries shall not apply in respect of
reconciliation incident management and settlement repofting carried out as a
function of the Data Reconciliation Service.
{NBR260, NBR546]
POCL may at any time on three months’ notice (such notice expiring no
earlier than commencement of NB Pilot (Soft Launch) vary the aggregate
limits of Audit Record Queries and Old Format Queries which the
Contractor is required to carry out as specified in column numbered 2 in the
table in paragraph 7.3.3,
7.3.6.1 between
(2) the limits specified in paragraph 7.3.3; and
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(b) the following substitutes for those limits (applicable on the
same basis): 800 Audit Record Queries or 11200 Query
Days per year on a rolling year basis, and 112 Audit
Record Queries or 1568 Query Days per calendar month;
- 7.3.6.2 and between
{a) the substitute limits set out in paragraph 7.3.6.1(b); and
(b) the following substitutes for those limits (applicable on the
same basis): 1050 Audit Record Quenes or 14700 Query
Days per year on a rolling year basis, and 147 Audit
Record Queries or 2058 Query Days per calendar month,
and in each case the Contractor’s charges in respect of dealing with any
Audit Record Queries and/or Old Format Queries up to the limits as varied
in accordance with this paragraph shall be as specified in part C of Schedule
Al2.
7.3.7 Not used.
7.3.8 POCL shall-:submit:
(a) Banking Transaction Record Queries to the Horizon System Help
Desk which will pass the Record Query to the Contractor’s
customer service management support unit; and
(b) Audit Record Queries and Old Format Queries to the Contractor’s
customer service security prosecution support section.
The Contractor shall accept Record Queries and Old Format Queries only
from properly authorised POCL staff.
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7.3.9 Litigation Support
Where POCL submits an Audit Record Query or Old Format Query, at
POCL’s request the Contractor shall, in addition to conducting that query:
(a)
(b)
NBS Service Definition
present records of Transactions extracted by that query in either
Excel 95 or native flat file format, as agreed between the parties;
and
subject to the limits set out below:
(i)
(i)
(iii)
analyse: ;
. the appropriate Contractor's Help Desk records
for the date range in question;
° Outlet non-polling reports for the Outlet in
question; and
. fault logs for the devices from which the records
of Transactions were obtained
in order to check the integrity of records of Transactions
extracted by that query; [NBR260, NBRS45]
request and allow the relevant employees of the Contractor
to prepare witness statements of fact in relation to that
query, to the extent that such statements are reasonably
required for the purpose of verifying the integrity of
records provided by Audit Record Query or Old Format
Query, and are based upon the analysis and documentation
referred to in this paragraph 7.3.9; and [NBR547]
request and ailow the relevant employees to attend court to
give evidence in respect of the witness statements referred
to in (ii) above,
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provided that:
{iv) the Contractor’s obligations set out in (1) and (ii) above
shall be limited, in aggregate, to dealing with a maximum
of 250 (in aggregate) Record Queries and Old Format
Queries per year (on a rolling year basis); and -
(v) the Contractor’s obligations in the case of provision of
witnesses referred to in paragraph (tii) above shall be to
provide witnesses to attend court up to a maximum (for all
such.attendance) of 190 days per year (on a rolling year
basis).
For the avoidance of doubt the target times set out in paragraph 7.3.3 for
dealing with Audit Record Queries and Old Format Queries shall not apply
in respect of the Contractor’s obligations under paragraph 7.3.9.(b).
7.3.10 Any information requested beyond that available by Record Query and/or
any witness statements or witness atiendance beyond that available in
accordance with this paragraph 7.3 shall be agreed on a case by case basis
and shall be dealt with in accordance with the Change Control Procedure.
7.3.11 Sensitive Data included in records of Banking Transactions extracted by
Record Query and provided to POCL (but, for the avoidance of doubt, not
that included in records for Transactions extracted for Audit Record Queries
in respect of any other POCL Service) shall be in the encrypted form in
which they are held by the NB System. [NBR538] :
7.3.12 Audit Access
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Reasonable access to the audit trai! of Banking Transactions for POCL
auditors for audit purposes shall be by request (and reasonable notice to) the
Contractor’s Audit Manager. [NBR444]
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8.1
DATA RECONCILIATION SERVICE
Introduction
The reconciliation and settlement reporting services for Banking Transactions (the
“Data Reconciliation Service”) are described in this paragraph 8.
Reconciliation
8.2.1
This paragraph 8.2 describes the functionality for that part of the end-to-end
network banking reconciliation system required by POCL which shail be
developed and operated by the Contractor as part of the NBS. Such part is
referred to in this Schedule N01 as the “Reconciliation System”. [NBR040]
POCL and the Contractor shall follow the reconciliation and incident
management procedures (applicable to each of them) for the investigation,
reporting and resolution of business incidents related to the NBS as set out
in the CCD entitled “Network Banking Reconciliation and Incident
Management” (NB/PRO/002). [NBRO41, NBR500, NBR504]
POCL shall not unreasonably withhold or delay its agreement to the design
of back end processes and Banking Transaction processing procedures
required to support the reconciliation and incident management of Banking
Transactions. [NBRO41, NBR495, NBR496]
Reconciliation between counter:and Cash Account
Reconciliation of EPOSS Transactions to the Cash Account shall be dealt
with at summary level using the reconciliation functionality used for EROSS
as an Existing Service [NBR454]. Such reconciliation functionality shall
ensure that all Banking Transactions (reflected in C1 Confirmations) are
included in the Cash Account, but shall not identify erroneous Cash Account
mappings which cause such Banking Transactions to be included in the
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8.2.5
wrong line of the Cash Account, or non-Banking Transactions to be
included in Cash Account lines intended for Banking Transactions.
Reconciliation to the Cash Account described in this paragraph 8.2.4 will be
performed after the electronic Cash Account is produced, which will be an
indeterminate time after the Transactions have been settled (in the same
manner as for the Existing Services).
Branching data-flows
(a)
‘(b)
NBS Service Definition
The Reconciliation System shall enable reconciliation of Financial
Transactions arriving at the DRSH from the following three sources:
{[NBR183, NBR212, NBR229]
(i) _ the Confirmation Agent (i.e. the C] Confirmations received by
the Confirmation Agent from the Counter Position);
(ii) the NBE (i.e. D Messages and C4 Confirmations) [NBR294,
NBR389]; and
(iii) the TPS Host (ie. the C1 Confirmations harvested by the TPS
Agent as described in paragraph 6.3 of this Schedule),
which reconciliation shal! be reported by the Contractor in accordance
with the CCD entitled “Network Banking End to End Reconciliation
Reporting” (CS/SPE/01 1).
In the event that a CO Confirmation is sent to the NBE the relevant C1
Confirmation will indicate that a CO Confirmation has been generated.
The Reconciliation System shall monitor the Financial Transactions
and report Banking Transaction states which are:
(i) intrinsically anomalous, in that their occurrence implies
malfunction in End to End Banking; or
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NBS Service Defininon
(c)
(@)
(ii) anomalous in that an expected state has persisted for an
unexpected duration (e.g. where Cl Confirmations are
received from the Confirmation Agent and C4
Confirmations are received from the NBE but the
Confirmation from the TPS Host has not been received
after an abnormal delay),
identifying any such anomalous Banking Transaction states which
require human analysis for resolution. [NBR042, NBR228}
The expected Banking Transaction states and Banking Transaction
states which constitute exceptions are those set out in the CCD
entitled “Network Banking End to End Reconciliation Reporting”
(CS/SPE/01 1). .
The Data Reconciliation Service shall not produce reports which
relate Banking Transactions included in Cash Accounts to Banking
Transactions included in the Transaction files sent by the TPS Host
to TIP, as these shall be covered by the reconciliation reporting and
processes used for EPOSS (as an Existing Service) and for TIP.
Complete processing
(a)
The Reconciliation System shall:
(i) ensure that al] data received by it are processed;
‘{ii) check for completeness of Financial Transactions; and
Giid) report exceptions/anomaiies for resolution as described in
paragraphs 8.2.5 (b) and 8.2.5 (c) of this Schedule NO1.
(NBR227, NBR042]
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(b) The Reconciliation System shall not regard 2 Banking Transaction
as complete until reported as such in accordance with the CCD
entitled “Nerwork Banking End to End Reconciliation Reporting”
(CS/SPE/011).
8.3 Reconciliation and Settlement Reporting
The Reconciliation System shall transmit to the TIP Gateway the reports described in
the CCD entitled “Nerwork Banking End to End Reconciliation Reporting”
(CS/SPE/O1 1)) at intervals set out in that CCD. [NBR456]
8.4 Widespread Errors (as referred to in the CCD entitled “Nerwork Banking
Reconciliation & Incident Management” (NB/PRO/002)}) shail be dealt with in I
accordance with the provisions of that CCD.
8.5 The Contractor shall use reasonable endeavours to resolve all exceptions in each of
the following categories within 3 MSU Days:
(a) Priority Exceptions to which the Minimum Acceptable Threshold set out in
paragraph 2.4.6 of Schedule NO$ does not apply, as specified in paragraph
2.4.5 of Schedule NOS; and .
(b) all other exceptions in any of the system state categories set out in the CCD
entitled “Network Banking End to End Reconciliation Reporting”
(CS/SPE/01 1).
8.6 For the purposes of paragraph 8.5 of this Schedule NO1, the resolution time for:
(a) Priority Exceptions shall be measured by the Contractor in accordance with
paragraph 2.4.1 of Schedule N08; and
(b) all other exceptions shall be measured in accordance with the CCD entitled
“Network Banking Reconciliation and Incident Management”
(NB/PRO/002).
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8.7 The Contractor shall report on a monthly basis (in the Working Document entitled
“TIP Operational Review Book” its performance against the 5 MSU Day target
referred to in paragraph 8.5 of this Schedule NO1.
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9. COMPLIANCE
: ‘
9.1 Subject io paragraph 9.2 of this Schedule NOL, the Contractor shail after completion
of NB Go Live provide reasonable co-operation and support as reasonably requested .
by POCL in carrying out the following activities:
(a) 1SO17799 policy and system audit: a single external audit, conducted by an
independent third party appointed by POCL, of the documented policies,
procedures and processes adopted within each of the network banking
domains to validate conformance to ISOL7799. The audit shal! be
conducted at a mutually convenient time for all parties, and
(b) LINK compliance: as required by LINK when the POCL Services change
the Contractor shall assist POCL to review LINK security compliance
requirements to identify any changes required.
9.2 The Contractor’s obligations to provide co-operation, support and assistance under
paragraph 9.1 of this Schedule NOt shall be introduced in accordance with the
Change Control Procedure and the Contractor shall not unreasonably withhold
agreement to provision of such co-operation, support and assistance.
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10. SYSTEM AND DATA SECURITY
10.1 Legal and Regulatory Controls
10.1.1
10.1.2
10.1.3
Regulation of Investigatory Powers Act 2000
The security features, capabilities and related procedures provided by the
Contractor in respect of the NBS shall be compliant with the requirements
of Part 3 of the Regulation of Investigatory Powers Act 2000-(the “Act”). In
the event that any provision of this Codified Agreement imposes an
obligation on the Contractor which is inconsistent with any requirement
imposed by the Act, the requirement of the Act shall prevail over the
provisions of this Codified Agreement and those provisions shall cease to
apply to the extent of such inconsistency.
Other Legal and Regulatory Controls
The Contractor shall comply with all banking laws and regulations,
including all relevant instructions, standards and directions of a regulatory
authority, which are in force and applicable to the Contractor on signature of
the CCN to introduce the NBS into the Codified Agreement. The
Contractor shall co-operate with POCL to agree any necessary changes to
ensure compliance with any subsequent changes to such laws, regulations,
instructions, standards and directions and the Banking Code, such changes
(and the Contractor's reasonable charges in respect of such changes) to be
agreed and introduced under the Change Control Procedure. [NBR503]
CAPO
The parties agree and acknowledge that in the event that additional or
different legal or regulatory requirements arise in respect of provision of the
NBS to CAPO beyond those which apply for provision of the NBS to other
Banks then compliance by the Contractor with such additional or different
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legal and/or regulatory requirements and the charges for such compliance
€
will be dealt with through the Change Control Procedure.
10.2 Security for the Existing Services
The security features, facilities and functionality of the NBS set out in this paragraph,
10 shall not reduce, mitigate, add to or modify any of the Contractor’s security
obligations under this Agreement in respect of the Existing Services. [NBR568} .
10.3 Security Standards
10.3.1. The Contractor shall adhere, in providing the NBS, to the security standards -
and requirements referred to in paragraph 4.1.4 (b) and (c) of Schedule A02.
The Contractor shal! co-operate with POCL (and shall provide such
assistance as may reasonably be required by POCL) in developing POCL’s
network banking automation security policy, but shall not undertake any
new or modified obligations arising in respect of that policy, save as may be
agreed and introduced under the Change Control Procedure. The .
Contractor's charges in respect of such co-operation and assistance provided
at any time following completion of NB Go Live shall be paid by POCL to
the Contractor and calculated on a time and materials basis using the
applicable Contractor’s rates specified in paragraph 22.1 of Schedule A12.
10.3.2 The Contractor shall update the CCDs entitled “/CL Pathway Security
Policy” (RS/POE/002) and “Security Functional Specification”
(RS/FSP/001) to document the NBS security features, facilities and/or
functionality provided by the Contractor in accordance with this Schedule
NO1. [NBR479, NBR501, NBR557}
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10.4 Security Organisation and Management
10.4.1
10.4.2
10.4.3
Security for the NBS shall be managed and organised by the Contractor in
accordance with the CCD entitled “ICL Pathway Security Policy”
(RS/POL/002) once updated in accordance with paragraph 10.3.2 of this
Schedule NO1. [NBR359]
In any investigation carried out by POCL and/or by the Contractor of any
potential or actual security breach or threat, POCL and the Contractor shall
report to each other (or the Contractor shall report to Consignia, if required
by POCL) any actual or potential threats identified in the course of such
investigation that may have a material adverse effect upon the NBS itself or
“End to End Banking. The Contractor and POCL shall agree the procedures
by which such threats shall be reported and the methodology for
investigating and resolving security incidents (including disputed Banking
Transactions) associated with the NBS and/or End to End Banking. Such
methodology shall be recorded by POCL in the CCD entitled “Security
Incident Management” by the applicable date specified in the NB Project
Plan and, once agreed by the Contractor (such agreement not to be
unreasonably withheld), the relevant sections of that CCD setting out those
procedures which impose obligations on the Contractor in respect of the NB
System shall be referenced in the CCD entitled “CL Pathway Security
Policy” (RS/POL/002) by the applicable date specified in the NB Project
Plan. [NBR3563]
The Contractor shall not unreasonably withhold assistance requested by
POCL (or by POCL on behalf of Consignia) in connection with the
investigation and resolution of any actual or potential security breach or
threat.
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10.4.4 The scope of the CCDs entitled “Security Incident Management” and “ICL
Pathway Security Policy” (RS/POL/002) shall include all potential security
breaches or threats, other than those arising in exceptional circumstances.
10.4.5 Where this Codified Agreement does not cover potential security breaches
or threats the Contractor’s charges in respect of co-operation and assistance
in respect of such breaches or threats (which shall be paid by POCL to the
Contractor) shall be calculated on a time and materials basis using the
applicable Contractor’s rates specified in paragraph 22.1 of Schedule Al2.
(NBR562]
10.5 Development and Maintenance
The Contractor shail comply with the relevant parts of ISO17799 in the development
and implementation of the NBS. Security related assumptions and processes, upon
which the NBS may depend, which aré identified and/or developed by the Contractor
during the design of the systems required to support the operation of the NBS shall
be reported to POCL’s network banking automations security working group and, as
may be required by POCL, to Consignia, unless POCL requests otherwise. [NBR561,
NBR560} :
10.6 Network Banking Security Architecture
10.6.1 PIN Pads
(a) The use of PIN Pads and the associated cryptographic management
shall be supported by the NBS. P{N Pads shall-comply with the
requirements of [SO 9564. The Contractor's key management for
any key directly or indirectly protecting the secrecy of PIN values
(together, "PIN Encryption Keys") shall comply with ISO 11568"
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©)
NBS Service Definition
(c)
Parts 1 to 3. The key management scheme used between each PIN
Pad and the rest of the POCL Service Infrastructure shall be the
DUKPT scheme as described in section 4.7 and Appendix A of the
ANSIX9.24-1998 standard. Secure remote initialisation of any PIN
Encryption Keys held in PIN Pads will be put in place (by the
applicable date specified in the NB Project Plan by the Contractor) .
for PIN Encryption Keys within the NB System using an enhanced
version of the key management service and manual procedures used
for the Existing Services. Until such time as remote key
initialisation is in operation, the Contractor shail use secure key
generation and loading processes managed in conjunction with the
supplier of the PIN Pads. [NBR582, NBR506] [PPRO95]
(NBR575]
Whenever information is passed between the POCL Service
Infrastructure and the NBE the NBS shall translate any encrypted
PIN value received from a PIN Pad used within the POCL Service
Infrastructure into a different encrypted value, using the PIN
Encryption Keys in force at the time, prior to transmission of that
PIN value to the NBE. Each translation shall be performed as a
result of a single call toa HSM. Any HSM used to process
encrypted PIN values or PIN Encryption Keys shall be conformant
to the requirements of the versions of FIPS 140-1 level 3 and ISO
9564-1 section 6.3.1 as specified in the LINK Information Security
_ Standard issued January 2001 (subject to such dispensations from
that Standard (if any) as LINK may grant from time-to time).
(NBRSO1, NBR575,] (PPRO28]
In the event of an actual or suspected key compromise in respect of
a PIN Encryption Key used within the POCL Service Infrastructure,
the Contractor shall implement key change mechanisms in
accordance with the principles stated in ISO 11568 Parts I to 3.
Where the actual! or suspected compromise affects a key shared
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@
(e)
with the NBE the parties’ obligations in respect of key change
mechanisms shall be as documented in the CCD entitled “NBE —
Horizon Application Interface Specification” (NBAIFS/008)
[NBRS74]
The Contractor shall provide preventative measures against replay -
of encrypted PIN values between the PIN Pad and the Counter
Position in accordance with the principles set out in the CCD
entitled “Security Functional Specification “(RS/FSP/001) in
respect of protection against replay attacks, [NBR5Si J
PIN values shall be protected in accordance with the requirements
of ISO 9564 from the point of entry to the PIN Pad to the Service
Boundary with the NBE. The Contractor shall ensure that any
plain-text PIN block is formatted as specified in [SO 9564 prior to
encryption, that PIN values do not appear in plain text other than
within a HSM as specified in paragraph 10.6.1 (b) above or within
a PIN Pad and that any PIN Encryption Key used to encipher a PIN
block shal! not be used for any other cryptographic purpose.
{NBR375] [NBR576] [NBR577] [NBRS78]
10.6.2 The Counter Terminal
“(ay
NBS Service Definition
The NBS shall provide cryptographic protection of discretionary
data held on track 2 of a NB Token magnetic stripe and NB Token
details entered by a Counter Clerk (which will be one of or a
combination of the start date, NB Token issue number, validation
period and/or expiry date, according to the specific Banking
Transaction) (together, “Sensitive Data”) between the NB Counter
Application and the Service Boundary with the NBE. [NBR538]
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(b)
(©)
Once captured, Sensitive Data shall remain encrypted whilst it is
within the POCL Service Infrastructure whether in transit or in ~
storage, save as necessary during the process.of translation from
encryption under keys used within the POCL Service Infrastructure
to encryption under keys in force at the relevant time in the NBE.
[NBR567] [NBR445} [NBR538]
The technical security architecture shall differ between those
Outlets with PIN Pads and those Outlets that do not have PIN Pads
in that where a PIN Pad has been installed an encrypted PIN block
and associated cryptographic controls will be present within the
message following entry by the Customer of the PIN value.
(NBRS84]
10.6.3 Data transit across the POCL Service Infrastructure
(a)
(b)
NBS Service Definition
All NBS Request, Authorisation and Confirmation messages will
be digitally signed prior to transmission. [NBR567] (NBR569]
(NBR558] [NBR228] (NBR445]. For the avoidance of doubt, the
use of such digital signatures is in addition to the security provided
by the virtual private network deployed at the Outlet LAN and the
WAN between the Outlet and the Data Centres. [NBR445]
In the event of a duplicate Request being submitted to the Data
Centre, which has been copied from the original Request without
authority, the NBS software will identify the duplicate Request as
having been originated at the Data Centre. Only Requests that
originate at a Counter Position will be passed to the NBE.
Furthermore if by some other means a duplicate Request is
submitted, the Authorisation arising from a duplicate Request
would not be processed by the Counter Position as it could not be
paired with the originating Request. {NBR580]
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10.6.4 The Data Centre/NBE Interface
(@)
(b)
©)
(d)
©)
NBS Service Definition
All interface connections between the Data Centres and the NBE
shall in addition to other security measures specified in this
paragraph 10 be protected by a combination of firewalls and
filtering routers to guard against unauthorised access, protocols arid
services. [NBR55$]
Message authentication codes (“MACs”) shall be used to verify and
authorise the integrity of all message or file data exchanged
between the Data Centres and the NBE. The MACs shall be
calculated using uni-directional MAC keys (“MAC Key”).
(NBR228] [NBR445] The process and procedures which the
Contractor uses for MAC computation and MAC Key management
shall comply with the CCD entitled “NBE — Horizon Application
Interface Specification" (NB/IFS/008).[NBR569j [NBR570]
[NBR582] [NBRS06]
The Contractor's encryption devices for the network
communications link between the Data Centre and the NBE (other t
than those located on POCL’s premises or POCL’s agents’
premises) shail be located within the physical security boundary of
the Data Centre. [NBR573]
The crypto keys used by the Contractor in respect of PIN Pads shall
be different from any other crypto keys used by the Contractor.
The crypto keys used by the Contractor in respect of the network
communications link between the Data Centres and the NBE shall
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(h)
@
an)
NBS Service Definition
be different from any other crypto keys used by the Contractor.
[NBR573] [NBR445}
The protection of encrypted PIN values in transit between the
POCL Service Infrastructure and the NBE shall be performed in
accordance with paragraph 10.6.1(b) of this Schedule NO1.
(NBRS75] [NBR576] [NBRS77] [NBR578]
The protection of Sensitive Data in transit between the POCL
Service Infrastructure and the NBE shall be as documented in the
‘CCD entitled “WBE - Horizon Application Interface Specification”
(NBHFS/008).
POCL shall ensure the security, safe keeping and proper
management (as defined in ISO 11568 parts I to 3) of all keys
shared between the Data Centre and the NBE on the NBE side of
the interface between the Data Centre and the NBE. The Contractor
shall ensure the security, safe keeping and proper management (as
defined in ISO 11568 parts 1 to 3) of all keys which are used by it
in connection with the NBS.
POCL shall be responsible for ensuring that the link from the NBE
to the Data Centres and information transmitted from the NBE to
the Contractor across that link shall be in accordance with the
CCDs entitled “NBE - Horizon Application Interface
Specification” (NB/IFS/008) and “Technical Interface Specification
- Horizon to NBE” (NB/IFS/009).
If data received by the Contractor from the NBE is in accordance
with or as described in the CCDs entitled “NBE - Horizon
Application Interface Specification” ( NB/IFS/008) and “Technical
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(ky
(0)
10.6.5 Audit
Interface Specification -Horizon to NBE"( NB/IFS/009) then the
Contractor shall not be liable to POCL for acting in accordance
with that data.
If data received by the Contractor from the NBE is not in
accordance with or as described in the CCDs entitled “NBE —
Horizon Application Interface Specification” (NB/IFS/008) and
“Technical Interface Specification — Horizon to NBE*
(NBIFS/009) then:
() the Contractor shail reject such data and not act upon it;
and
(ii) to the extent that the Contractor can show that such data
caused it to fail to comply with Service Levels under this
Codified Agreement, it shall be released from such
obligations and shall use reasonable endeavours to achieve
such Service Levels.
For the purpose only of Clauses 102.5.1 and 102.5.2, the provisions
of paragraph 10.6.4(k)(ii) of this Schedule NO1 shall be deemed to
be included also in Schedule A06. -
The Contractor shall be responsible for ensuring that the link from
the Data Centres to the NBE and information transmitted from the
Data Centres to the NBE across that link shall be in’ accordance
with the CCDs entitled “WBE — Horizon Application Interface
Specification” (NB/IFS/008) and “Technical Interface Specification
- Horizon to NBE” (NB/IFS/009).
Notwithstanding any requirements in Schedule AQ3, any PIN values or
Sensitive Data held in audit and archive logs or trails maintained by the
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10.6.6
10.6.7
Contractor shall only be held in encrypted form and not as a plain text
value. [NBR577] [NBR538] The Contractor shall retain the encryption keys
used to encrypt Sensitive Data but not those used to encrypt PIN values, For
the avoidance of doubt the Contractor shal! not be required to provide a
mechanism or means to decrypt any Sensitive Data or PIN values held on
audit and archive logs and trails.
Protection against malicious software
‘The Contractor shall provide in relation to the NBS such protection against
malicious software (including viruses, network worms, logic bombs and
Trojan horses) and such physical security as commensurate with the
protection it provides in relation to the Existing Services including (to the
extent not already provided):
{a) the use of logical and physical floppy drive locking mechanisms to
prevent the unauthorised physical introduction of malicious
software; and
(b) the installation and appropriate configuration of NBS-dedicated
firewails at the interface between the NBE and each Data Centre.
[NBR589]
Operational System and Security Management
The NB System elements in Outlets shall be remotely managed from the
Data Centres and the Contractor’s other premises at Stevenage and Belfast
over public bearer networks by an operational management team authorised
by the Contractor. Such team shall carry out legitimate maintenance and
diagnostic functions authorised in accordance with the CCD entitled
“Security Functional Specification” (RS/FSP/001) and the Working
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Document “Access Control Policy” ((RS/POL/003). All public networks
between the Data Centres and the Outlets shall be protected by a virtual
private network. {NBR572]
10.7 Conflict and precedence
For the avoidance of doubt, the provisions of this Schedule NO] in respect of
_ cryptographic mechanisms (e.g. encryption key lengths) and the security architecture
of the NBS shall apply to the NBS and to the extent that they differ from other
provisions relating to cryptographic mechanisms set out elsewhere in this Codified
Agreement (excluding the N Schedules) shall not apply to the Existing Services.
e
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M1 PLN PADS - ADDITIONAL PROVISIONS
ILL Not used.
11.2 The Contractor shall provide and maintain firmware distribution facilities from the
applicable date specified in the NB Project Plan to ensure the distribution of
firmware from the Data Centres to PIN Pads. The facility shall meet the software
control requirements of ISO 9564. [PPRO31] [NBR575]
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NBS CAPACITY MANAGEMENT SERVICE
12.1 For the purposes of this paragraph 12:
12.1.1 the following terms shall have the following meanings:
“Contracted Notice Period”
The meaning ascribed to it in the CCD entitled “Horizon New Service Business
Volumes” (PA/PER/Q31);
“Design Limit”
Each of the levels defined as a Design Limit in the CCD entitled “Horizon New
Service Business Volumes” (PA/PER/031) applicable to components of the POCL
Service Infrastructure as specified in that CCD;
. “Design Limit Notice Period”
The meaning ascribed to it in the CCD entitled “Horizon New Service Business
Volumes” (PA/PER/O3 1), and
“Scalability Threshold”
Each of the tevels defined’as a Scalability Threshold in the CCD entitled “Horizon
New Service Business Volumes” (PA/PER/031) applicable to the components of the
POCL Service Infrastructure as specified in that CCD; and
12.1.2 the Contracted Volumes, Design Limits and Scalability Thresholds shall, save as
provided in paragraph 12.2, be those applicable im respect of Phase I (as such term is
defined in the CCD entitled “Horizon New Service Business Volumes”
(PA/PER/031)). :
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12.4,
In the event that POCL serves a Phase 2 Notice on the Contractor, the Contracted
Volumes, Design Limits and Scalability Thresholds shall, with effect from the date
specified in the Phase 2 Notice, be those applicable in respect of Phase 2 (as such
term is defined in the CCD entitled “Horizon New Service Business Volumes”
(PA/PER/031)). For the purposes of this paragraph 12.2, a “Phase 2 Notice” shall be
a notice in writing given by POCL to the Contractor specifying a date, at least six
months after the date of service of that notice but not earlier than 1 September 2003,
on which POCL requires Phase 2 to commence.
The NB System shail support the Contracted Volumes. EFTPoS volumerrics shall be
included in the capacity sizing for the NB System, to the extent and for such purposes
as described in the CCD entitled “Horizon NewService Business Volumes”
(PA/PER/03 1), and in accordance with the assumptions described in that CCD, but
the introduction of EFTPoS shall be subject to agreement under the Change Control
Procedure.
On each day that any of the following Contracted Volumes is exceeded the measures
of the Contractor's performance for the applicable. NBS Service Level(s) listed in the
table below shall be disregarded on that day:
aie Bee
Network Banking - 5 minute (per Request and Authorisation transmission
second) Contracted Volume-—CCD__ I times — paragraph 2.1 of Schedule NO$
paragraphs 2.2.1 and 2.2.2
Online transactions - 5 minute (per Request and Authorisation transmission
second) Contracted Volume- CCD times ~ paragraph 2.1 of Schedule NO8
paragraphs 4.2.1 and 4.2.2
Outlet to Data. Centre network — Request and Authorisation transmission
5 minute online transaction rate (per I times — paragraph 2.1 of Schedule NOS
second); and
5 minute dialled transaction rate I NBS reliability measures - Paragraph 2 2.3
eriod I (per second); “of Schedule NO8
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5 minute dialled transaction rate I
period 2 (per second); and/or
5 minute dialled transaction rate
period 3 (per second)CCD paragraph I
5.3.1
and the Contractor shall use reasonable endeavours to meet the applicable Service
Levels (specified in the table above) on that day.
12.5 If any of the Design Limits is exceeded then this paragraph 12.5 shail apply (in
addition to paragraph 12.4, as may be applicable):
(a) the measures of the Contractor's performance for:
@ any Service Level related to data processing by the Contractor
(involving cither automated or manual processing or both), whether
in respect of the NBS or any other POCL Service; and/or
Gp (in the case of Help Desk calls) any of the service targets set out in
paragraphs 4.3.2.1, 4.3.2.2, 4.3.2.3 and 4.3.2.4 of Schedule G10,
requirement 914 paragraphs 1.164.25, 1.164.26 and 1,164.27 of
Schedule A15 and solution reference 914 paragraphs 12
1, 2,3, $ and 6) of Schedule A16, GRO :
shall be disregarded to the extent the Contractor can show that failure to
meet the Service Level and/or service target, as the case may be, occurred.as
aresult of the Design Limit being exceeded. The Contractor shall use
reasonable endeavours to meet those Service Levels and/or service targets
during the period when the measures of the Contractor's performance i
" disregarded; and
(b) the Contractor shall not be in breach and shall not be liable to POCL for any
failure to perform its obligations related to data processing (involving either
automated or manual processing or both).and/or related to dealing with Help
Desk calls, whether in respect of the NBS or any other POCL Service, under
this Codified Agreement, or delay in performing such obligations, to the
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12.8
12.10
extent it can show that such failure or delay occurred as'a result of any of the
Design Limits being exceeded.
In the event of a Design Limit being exceeded, the Contractor shall be entitled to
recover from POCL its reasonably incurred, increased costs and expenses of
performing obligations under this Codified Agreement to the extent that such
increased costs and expenses were the result of that Design Limit being exceeded.
The Contractor shall use all reasonable endeavours to mitigate the amounts payable
in accordance with this paragraph and shall provide a statement of such increased
costs and expenses incurred for approvai by POCL, such approval not to be
unreasonably withheld.
In the event that POCL requires a Contracted Volume or a Design Limit to be
increased it shall only be increased where such increase (and the amount of any
additional NB System equipment required and/or the allocation of any system
capacity or equipment to the NBS from any other POCL Service) has been agreed,
through the Change Control Procedure, in advance of the required Contracted Notice
Period or Design Limit Notice Period as applicabie.
For the avoidance of doubt any proposed increase in the Scalability Thresholds shall
be in accordance with the Change Control Procedure.
The Contractor shall monitor the actual volumes as against the volumes specified in
the CCD entitled “Horizon New Service Business Volumes” (PA/PER/O31) and shall
report such numbers and resulting trends at each meeting of the Service Review
Board. The Service Review Board shall review volume forecasts and may in the
light of such reports, recommend changes that may be required to the CCD entitled
“Horizon New Service Business Volumes”(PA/PER /031). The parties shall agree
volumes, trends and/or peak thresholds which, if they occur or are exceeded in live
operation, shall be reported by the Contractor to the Service Review Board.
For the purpose only of Clauses 102.5. and 102.5 2,,the provisions of paragraphs
12.2 and 12.4 of this Schedule NOI shal! be deemed to be included also in Schedule
A06.
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ANNEX 1 TO SCHEDULE NOL ‘
1. EXCLUDED AND UNSUPPORTED REQUIREMENTS
Ll For the avoidance of doubt, the following features, functionality, equipment, services
and/or requirements that are referenced in the POCL document “Network Banking
Automations Requirements Catalogue” shall not in any respect be provided,
supported, met or installed by or as part of the NBS:
L.1.1 training mode; [NBR027}
1.1.2 any form of fraud risk management service; [NBR0638}
1.1.3 Banking Transactions involving cheque deposits; [NBR069]
1.1.4 any form of NBS demonstrator; [NBR186, NBR307, NBR308, NBR309,
NBR310, NBR311, NBR312, NBR313, NBR314, NBR378]
1.1.5 _ any support for a banking transaction type “cash deposit” with provision of
balance information (except as two separate Banking Transactions which
may be within a single EPOSS Customer Session); [NBR467]
1.1.6 functionality associated with Bank account opening, Customer enquiries or
Customer complaints; [NBROO1]
1.1.7 functionality associated with delivery of NB Tokens to Outlets or Customers
or receipt of NB Tokens at Outlets, “pick-up” notices, or notification of
initial PIN to Customers;
1.1.8 functionality associated with NB Token reporting or redirection;
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1.1.9 resilience features over and above those provided in respect of the Existing
Services, other than for the infrastructure that supports on-line Banking
Transactions;
1.1.10 direct connections between the POCL Service Infrastructure and the
internet; [NBR571]
L.4.11 the requirement that messages are delivered to the NBE once only, although
the circumstances in which the same message may be delivered to the NBE
more than once shall be the exception (e.g. during recovery from system
failure) rather than the rule and shall be as specified in the CCD entitled
“NBE — Horizon Application Interface Specification” (NB/IFS/008); and
1.11.12 extended verification procedures. [NBR152]
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SCHEDULE N02 - NBS ACCEPTANCE
Version Reason for Change Frozen/issue
Reference date
4.0 New Schedule to introduce Network Banking I 19/06/02
Service
1. GENERAL
l,l This Schedule sets out the procedures and responsibilities of each party relating to
NBS Acceptance.
1.2. For the purposes of this Schedule N02:
“CAPO Testing Stage” has the meaning ascribed to it in paragraph 1.6 of Annex I to
this Schedule N02;
“Expert” means the individual appointed by POCL and the Contractor to resolve
Disputes relating to NBS Acceptance in accordance with paragraph 7 of this Schedule
N02;
“High Severity” has the meaning ascribed to it in paragraph 4.4.2 of this Schedule
N02;
“NBS Acceptance Date” means the date that NBS Acceptance occurs in accordance
with paragraph 3.1 of this Schedule N02;
“NBS Acceptance Progress Incident” means an NBS Acceptance Incident classified
for the purposes of NBS Stage Progression as high, medium or low, in accordance
_with paragraph 4.4.2;
“NBS Review” means a type of NBS Test described in paragraph 3.3 of Annex 1 to
this Schedule N02;
“NBS Testing Evidence” has the meaning ascribed to it in paragraph 4.1.3 of this
Schedule N02;
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i)
“NBS Testing Plan” means the testing plan described in paragraph 5 of Annex I to
this Schedule NO2;
“NBS Testing Specification” means a specification described in paragraph 4 of Annex
1 to this Schedule NO2;
“NBS Trials” means a type of NBS Test described in paragraph 3.2 of Annex I to this.
Schedule N02;
“NBS/NBE Testing Stage” has the meaning ascribed to it in paragraph 1.5 of Annex 1
to this Schedule N02; ,
“Partial E2E Testing Stage” has the meaning ascribed to it in paragraph 1.3 of Annex
{ to this Schedule N02.
NBS ACCEPTANCE TEST STAGES AND DOCUMENTATION
2d NBS Testing Stages
2.1.1 Testing of End to End Banking shall be carried out in seven stages (as described in
Annex I to this Schedule) and one testing phase (the NB Pilot (Soft Launch) phase).
2.1.2. Testing of the NBS for the purposes of NBS Acceptance shall be carried out during the
following:
(a) the NBS Testing Stage (Acceptance Stage 1);
(o) the Partial E2E Testing Stage (Acceptance Stage 3), but only if the Contractor
identifies NBS Tests which may be carried out in that-stage;
(c) ‘the Full E2E Testing Stage (Acceptance Stage 4);
(d) the NBS/NBE Testing Stage (Acceptance Stage 5);
(e) the CAPO Testing Stage (Acceptance Stage 6) (subject to paragraph 2.1.3 of
this Schedule);
( the Bank Interface Testing Stage (Acceptance Stage 7) (subject to paragraph
2.1.3 of this Schedule); and
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(g) the NB Pilot (Soft Launch).
Testing of Bank interfaces which are not ready and available for testing within the
period from the beginning of the Full E2E Testing Stage to be agreed by the parties in
accordance with paragraph 2.1.8 below shall be carried out as part of the Bank
Interface Testing Stage (Acceptance Stage 7). Such interface testing shall be carried
out as and when required as an additional full end to end testing stage in parallel with
or, in respect of those elements of the Bank Imierface Testing Stage which are not NBS
Tests, subsequent to NB Pilot (Soft Launch).
The Contractor shall not be involved in and no NBS Tests shail take place during or as
part of Acceptance Stage 2. (as such stage is described in paragraph I of Annex 1 to
this Schedule N02).
The NBS Testing Stage and the Partial E2E Testing Stage shall each be independent
but may run in parallel.
The Full E2E Testing Stage and the NB Pilot (Soft Launch) phase shall commence in
accordance with the provisions of paragraph 3.2 of this Schedule NO2.
The Contractor’s NBS Acceptance Procedure obligations which relate to LINK are as
set out in Annex 2 to this Schedule NO2.
The period referred to in paragraph 2.1.3 above shall be no greater than 4 weeks and
shall be agreed by the parties no later than two (2) months prior to the commencement
of the Full E2E Testing Stage. In reaching agreement on a suitable period the parties
shall:
(a) not unreasonably withhold agreement; and
(b) take into account the resources available to each party and the availability of
testing rigs and other testing infrastructure.
POCL shall be responsible for ensuring that test versions of the NBE are made
available (from the applicable date specified in the NB Project Plan) for the purposes
of Direct Interface Tests and other testing by the Contractor of the interface between
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2.1.10
the Data Centres and the NBE (other than for the Contractor’s unit tests, system tests
and conformance tests).
POCL shall be responsible for preparing the contents of Direct Interface Tests to be
carried out to assess conformance against the AIS and TIS requirements, and the
Contractor shall agree such Direct Interface Tests (such agreement not to be
unreasonably withheld or delayed).
2.2 Documentation
2.2.1 In addition to the CCD entitled “NBS Acceptance Criteria’. (TBA), the following ©
CCDs are required for the purposes of NBS Acceptance:
{a) "the “NBS Testing Specifications”; and
(b) the “NBS Testing Plan" by reference to which the NBS Tests shall be carried
out (a single NBS Testing Plan may be produced which incorporates all NBS
testing stages).
2.2.2. The Contractor shall use reasonable endeavours to produce drafts. of the above CCDs
by the date specified in the NB Project Plan for such production. POCL and the
Contractor shall use reasonable endeavours in working towards approval of those
documents by POCL (such approval not to be unreasonably withheld) by the date(s)
specified in the NB Project Plan.
2.3. Changes to the Codified Agreement and/or CCDs
2.3.1 Prior to the NBS Acceptance Date, where either party requesis a change to any
provision of this Codified. Agreement or any CCD which relates to the NBS, the
Change Control Procedure shall be followed, save that POCL shall review the NBS
Acceptance Criteria to determine whether any changes are required. Such changes
may include:
(a) deletion of criteria that were derived from deleted provisions;
(b) addition of new criteria relating to new or extended provisions; and/or
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(c) modification of criteria relating to changed provisions.
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Changes requested by either party to the provisions of the Codified Agreement or any
CCD, and any related-changes to the NBS Acceptance Criteria (identified by POCL)
and/or to the relevant NBS Tests, NBS Testing Specifications and NBS Testing Plan
(such changes being identified by the Contractor) shall be agreed under a single CCN.
2.3.3. Ifchanges are made to NBS Tests that are already in progress, or have been completed,
then uniess the parties agree otherwise or the results of those changed NBS Tests can
be derived from the results of NBS Tests already carried out those tests shall be
repeated.
3. REQUIREMENTS FOR STAGE PROGRESSION. & NBS ACCEPTANCE
3.1 NBS Acceptance shall occur once all of the foliowing have been satisfied:
3.1.1 the earliest planned date as specified in the NB Project Plan for completion of NB
Pilot (Soft Launch) shali have occurred;
3.1.2 subject to paragraphs 3.6 to 3.10 of this Schedule N02 ali NBS Tests shall have been
completed;
3.1.3. there shail be no outstanding High Severity NBS Acceptance Incidents;
3.1.4 the number of outstanding Medium Severity NBS Acceptance Incidents shall be 5 or
less;
3.1.5 each Medium Severity NBS Acceptance Incident shall have an agreed rectification
plan, agreement to which shall not be unreasonably withheld; and
3.1.6 each Low Severity NBS Acceptance Incident shail have a target date and if
appropriate, a target Release for rectification.
3.2 NBS Stage Progression shall occur:
3.2.1 in relation to progression from the NBS Testing Stage to the Full E2E Testing Stage
once allt of the following have been satisfied:
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3.3
3.4
(a) subject to paragraphs 3.6 to 3.10 of this Schedule NO2 all NBS Tests scheduled
for the NBS Testing Stage shall have been completed;
(b) there shall be no outstanding High Severity NBS Acceptance Progress
Incidents; and
(c) the number of outstanding Medium Severity NBS Acceptance Progress
Incidents shall be 10 or less,
in relation to progression from the Full E2E Testing Stage to the NB Pilot (Soft
Launch) phase once ail of the following have been satisfied:
(a) subject to paragraphs 3.6 to 3.10 of this Schedule N02 all NBS Tests scheduled
for the Full E2E Testing Stage shall have been completed;
(b) there shall be no outstanding High Severity NBS Acceptance Progress
Incidents; and
(c) the number of outstanding Medium Severity NBS Acceptance Progress -
Incidents shall be 5 or less.
If the parties do not agree whether NBS Acceptance or NBS Stage Progression should
occur the provisions of paragraphs 6 and 7 of this Schedule N02 relating to Dispute
resolution shall apply.
A NBS Acceptance Incident or NBS Acceptance Progress Incident which. following
investigation by the Contractor is found to have been solely caused by a fault or
deficiency in End To End Banking other than those elements of End to End Banking
" provided by the Contractor shall not count towards the thresholds in paragraphs 3.1
and 3.2 of this Schedule.
NBS Acceptance Incidents or NBS Acceptance Progress Incidents which result from
the same failure or deficiency shall be counted as a single NBS Acceptance Incident or
NBS Acceptance Progress Incident (as applicable) for the purposes of the thresholds in
paragraphs 3.] and 3.2 of this Schedule.
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3.6
3.9
3.10
41
If, other than as a resuit of a Default of the Contractor, it is impossible for an NBS Test
to be carried out when scheduled in the NBS Testing Plan to be carried out then that
NBS Test (a “Deferred NBS Test") shall instead be carried out by the Contractor as
soon as reasonably practicable or at such later time as the parties may agree (which
shall be no later than 6 months afier NBS Acceptance) provided that performance on
that agreed date does not, other than as a result of a Default of the Contractor, become
impossible (in which event the Deferred NBS Test shall be carried out by the
Contractor as soon as reasonably practicable).
The non-occurrence of a Deferred NBS Test at the time originally scheduled in the
NBS Testing Plan shall not prevent NBS Stage Progression or NBS Acceptance, each
of which shall be assessed on the basis of:
(a) those NBS Tests scheduled to take place for that NBS Stage Progression or for
NBS Acceptance, as the case may be which are not Deferred NBS Tests; and
(b) those Deferred NBS Tests which, when rescheduled in accordance with
paragraph 3.6 of this Schedule N02 are due to take place for the purposes of the
next NBS Stage Progression or for NBS Acceptance, as the case may be.
{f when a Deferred NBS Test is carried out after NBS Acceptance it is not successfully
completed that failure shall not of itself constitute a Default under this Codified
Agreement or entitle POCL to raise an NBS Acceptance Incident or NBS Stage
Progression Incident.
The failure of the Contractor to carry out a Deferred NBS Test in accordance with
paragraph 3.6 of this Schedule NOQ2 shall constitute a Default under this Codified
Agreement.
Paragraph 3.8 of this Schedule N02 shall not act to reduce or alter the liability of the
Contractor for any breaches by it of this Codified Agreement.
NBS ACCEPTANCE TEST PROCEDURE
NBS Tests
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4.1.1
4.13
4.1.6
Each of the NBS Acceptance Criteria will be verified by one or more NBS Tests. A
NBS Test may be either a NBS Trial or a NBS Review (as described in paragraph 3 of
"Annex 1 to this Schedule N02).
NBS Reviews will only be used where more direct testing methods in the form of a
NBS Trial are not available or appropriate.
Evidence (including, without limitation, test results, test observations, data or other
information) provided by the Contractor for review in relation to NBS Tests (“NBS
Testing Evidence”) shall by default be available to all POCL employees and
contractors unless such evidence is:
(a) Confidential Information, in which case disclosure shall be governed by the
provisions of Clause 607 of this Codified Agreement; or
(b) considered to be or categorised as sensitive in accordance with paragraphs 4.1.4
or 4.1.5 of this Schedule N02, in which case disclosure will be governed by
those provisions (as applicable}.
NBS Testing Evidence that can reasonably be considered to be particularly sensitive
because access to such information could compromise the security of the NBS or other
POCL Services will be restricted to named employees or contractors of POCL who
shall be nominated by POCL to review it on POCL’s behalf and access to the
information shall be in accordance with such reasonable conditions as may be imposed
by the Contractor.
Subject to paragraph 4.1.6, NBS Testing Evidence which is categorised by the
Contractor (acting reasonably) as particularly commercially sensitive to the Contractor
shall only be disclosed to named employees or contractors of POCL (such named
individuals to be approved by the Contractor). POCL shall place such named
employees and contractors under a duty to keep confidential and not disclose the
Contractor’s commercially sensitive information to any other person or party without
the Contractor's, prior written consent (which consent shall not be unreasonably
withheld or delayed).
The Contractor shall not be entitled to categorise any NBS Testing Evidence as
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commercially sensitive where that evidence solely reflects a visible manifestation or
result of the operation of the NBS or the NB System, as opposed to how the NBS or
the NB System achieves that manifestation or result.
4.1.7 Sensitive information disclosed as evidence pursuant to paragraphs 4.1.4 or 4.1.5
above may also be disclosed by POCL or the Contractor to the Expert, the NBS
Acceptance Management Board or the NBS Acceptance Board if such disclosure is
necessary for the resolution of a Dispute.
4.1.8 The Contractor shall supply at POCL’s request such supporting evidence for the
completion of a NBS Test which can be reasonably regarded as necessary for POCL to
validate whether the NBS Acceptance Criteria for that test have been met.
4.2 Not used.
4.3 Raising of NBS Acceptance Incidents and other occurrences
4.3.1 Subject to paragraph 4.3.6 below, a NBS Acceptance Incident shall be raised by the
Contractor in each of the following circumstances:
(a) A NBS Trial fails to meet the NBS Acceptance Criteria for that trial;
(b) A document subject to a NBS Review fails to meet the NBS Acceptance
Criteria for that document;
{c) An observation of a NBS Trial or of the NB Pilot (Soft Launch) demonstrates
that: (i) the NBS Acceptance Criteria are not being met; (ii) the introduction of
the NBS has resulted or might reasonably be expected to result in the Existing
Services no longer being performed in accordance with the provisions of this
Codified Agreement or no longer having the capability to be performed in
accordance with the Service Levels; or (iii) the NBS will not have the
capability to meet the Service Levels set out in Schedule NO8 as and when
required by this Codified Agreement.
In addition, the Contractor shall report to POCL any material undesirable occurrences
which are not NBS Acceptance Incidents observed by it whilst conducting NBS Tests
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4.3.3
4.3.6
Subject to paragraph 4.3.6 below, POCL may raise a NBS Acceptance Incident
whenever POCL becomes aware of evidence that any of the above circumstances has
arisen or becomes aware that the NBS Acceptance Criteria are not being met or that
introduction of the NBS has resulted or might reasonably be expected to result in the
Existing Services no longer being performed in accordance with the provisions of this
Codified Agreement.
Where this Codified Agreement expressly states that the NBS will not:
{a} permit specified functions or activities; or
() cause certain specified behaviour,
and such functions, activities or behaviour are observed to occur during testing of the
NBS then, subject to paragraph 4.3.6 below, the observing party shall (in the case of
the Contractor) or may (in the case of POCL) raise a NBS Acceptance Incident.
If:
{a) a NBS Test is required in respect of a provision of the Codified Agreement of
the type referred to in paragraph 4.3.3 of this Schedule NO2; or
(b) a NBS Acceptance Incident is raised in relation to such provision,
the NBS Test or proof of resolution of that incident (as the case may be) shall take the
form of a reasonable demonstration or examination that the functions, activities or
behaviour referred to in paragraph 4.3.3 of this Schedule NO2 do not occur. The
Contractor shall not be required to demonstrate on an ongoing basis that such
functions, activities or behaviour do not occur or will not occur.
If following a successful NBS Test or proof of resolution of a NBS Acceptance
Incident as referred to in paragraph 4.3.4 of this Schedule N02, a further NBS
Acceptance Incident shall (in the case of the Contractor) or may (in the case of POCL)
be raised in accordance with paragraph 4.3.3 of this Schedule NO2 if the applicable
functions, activities or behaviour above are observed to occur again.
Each party shall raise a NBS Acceptance Incident as soon as reasonably practicable
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44
444
after becoming aware of such incident. However, NBS Acceptance Incidents shall not
be raised in respect of any NBS Acceptance Criteria before commencement of the
NBS Acceptance stage or phase designated in the NBS Testing Plan for testing those
NBS Acceptance Criteria. Once NBS Acceptance has occurred no new NBS
Acceptance Incidents may be raised. For the purposes of this paragraph 4.3.6, a “new
NBS Acceptance Incident” means a NBS Acceptance Incident which occurs after the
NBS Acceptance Date or which occurs on or before that date, but is not reported to the
Contractor before the NBS Acceptance Date. Once NBS Stage Progression has-
occurred no additional NBS Acceptance Incidents shail be classified as NBS
Acceptance Progress Incidents in respect of that NBS Stage Progression.
NBS Acceptance Incidents shall be raised by being reported in writing or by email by
POCL or the Contractor (as applicable) to the other party’s Acceptance Manager.
Analysis and classification of NBS Acceptance Incidents
The Contractor shall analyse each NBS Acceptance Incident and produce a written
report (which shall be provided to the POCL Acceptance Manager) detailing the
Contractor’s proposals for:
(a) the severity classification of the NBS Acceptance Incident;
(b) related rectification activities (if applicable);
(c) re-testing dates/periods (if applicable);
(d) the severity classification of the NBS Acceptance Incident as a NBS
"Acceptance Progress Incident (if applicable).
The Contractor shall not be obliged to repeat the detail set out above in written reports
relating to occurrences which are repeat instances of an outstanding NBS Acceptance
Incident, unless the Contractor is or becomes aware that any such repeat instance arises
from a cause which is different to that for other such instances where such: detail has
already been provided. Reference shall be made in such written reports to the orginal
written report for the applicablé outstanding NBS Acceptance Incident.
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4.4.2 Each NBS Acceptance Incident shall be classified according to its severity:
(a) for the purposes of NBS Acceptance; and
(b) if that NBS Acceptance Incident remains outstanding prior to either NBS Stage
Progression, for the purposes of the NBS Stage Progression in question. @
The Contractor shall propose and POCL and the Contractor shail agree (such
agreement not to be unreasonably withheld) such severity classifications for each NBS
e
Acceptance Incident in accordance with the criteria in the following table:
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SCHEDULE NO2
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i
I Severity
Description (for the purposes of NBS Acceptance)
=
Description (for the purposes of NBS Stage Progressiva)
I
: High
“The NBS Acceptance Incident was caused by the introduction
of the NBS and results in a defect which would render the
NBS or
ing Services unfit for operational use
The NBS Acceptance Incident was caused by the introduction of
the NBS and results in a defect which would render the NBS or
Existing $
vices unfit for testing during the Fuli £2
‘Testing
Stage or NB Pilot (Soft Launch) (whichever is applicable) or
unfit for live operational use during NB Pilot (Soft Launch)
(taking into account that NB Pilot (Soft Launch) will only take
place in a limited number of Outlets).
Medium
The NBS Acceptance Incident was caused by the introduction
of the NBS resulting in ct which would not prevent
operation of the NBS or the F vives bul would cause
isting §
significant problems in the operational use of the NBS or one
or more of the Existing Services.
The NBS Accepiance Incident was caused by the introduction of
the NBS and results in a defect which would significantly
prejudice the validity of the testing to be carried ont in the Full
E2E Testing Stage or NB Pilot (Soft Launch) (whichever is
applicable).
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Severity Description (for the purposes of NBS Acceptance) Description (for the purposes of NBS Stage Progression)
Low I The NBS Acceptance Incident was caused by the introduction I ‘The NBS Acceptance Incident was caused by the introduction of
of the NBS resulting in x defect which does not have uI the NBS resulting in a defect which would have some but no
significant effect on operational use of the NBS or the I significant effect on the validity of the testing to be carried out in
; Existing Services. the Fall ©
Testing Stage or NB Pilot (Sofi Launch) (whichever
is applicable).
Non n incident raised by either party which, following I An incident which
Incident I investigation is found: {a) isnot a NBS Acceptance Incident, or
(a) not to be a defect; (b) would have no effect on the validity of the testing w be
(b) not fo have resulted from the introduction of the NBS; carried out in the Pull B2E Testing Stage or NB Pilot (Soft
or Launch) phase.
(c) not to fall within the high, medium or low categories
set out in this column.
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4.4.3 Not used.
44.4 Not used.
4.4.5 For the purpose of paragraph 4.4.2 a NBS Acceptance Incident shall be regarded as
having been caused by the introduction of the NBS:
(a) _ if that incident is identified in a NBS Trial, NBS Review or the NB Pilot (Soft
Launch); and
(b) where the behaviour of the POCL Service Infrastructure giving rise to that
incident (i) has not been previously observed, or (ii) had been previously
observed in relation to the Existing Services but such behaviour had been
resolved prior to commencement of testing of the NBS,
unless following investigation by-the Contractor, that incident is found to be unrelated
to the introduction of the NBS.
4.4.6 Where a NBS Acceptance Incident can be attributed to faults in the NBS and faults in
other elements of End to End Banking, the severity of that incident (for the purposes of
NBS Acceptance and NBS Stage Progression) shall be classified with reference to the
fault in the NBS alone and not those faults in other elements of End to End Banking.
4S Repeat Testing
4.5.1 Any failed NBS Acceptance Test may prior to the end of the NB Pilot (Soft Launch)
phase be repeated by the Contractor as many times as necessary in order for NBS
Acceptance and/or NBS Stage Progression to be achieved. The Contractor shall
propose dates for such repeat tests having regard to the overall NB Project Plan.
POCL shall be responsible for making personnel available to observe such repeat
testing. In the case of repeated NBS Reviews, POCL shall be entitled to the same
elapsed time for the repeated review as was scheduled for the original failed review.
The Contractor shall only propose repeat tests when it reasonably believes a different
(i.e. improved) outcome wouid result.
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4.6 Rectification Plan
4.6.1 For each Medium Severity NBS Acceptance Incident which is outstanding on the NBS
Acceptance Date, the Contractor shall prepare a written plan which includes:
(a) a statement of the operational impact and any necessary temporary procedures to
be adopted by Users;
(b) a description of how rectification is to be achieved; and
(c) atimetable for rectification.
4.6.2 For each Low Severity NBS Acceptance Incident which‘is outstanding on the NBS
Acceptance Date, the Contractor shall identify a target date and, if appropriate, a target
Release for rectification. :
5. CONSEQUENCES OF ACHIEVING NBS ACCEPTANCE & NBS STAGE
PROGRESSION
After NBS Acceptance, provided that the Contractor continues to meet an obligation
using the NBS as tested or demonstrated to POCL during the NBS Acceptance
Procedure, POCL shall not be entitled to require that the Contractor meets that same
obligation in some other way.
6. MANAGEMENT
6.1 Approach
NBS Acceptance shall be managed by POCL and the Contractor at three levels
together with an independent Dispute resolution process as described in this paragraph
6 and paragraph 7 of this Schedule NO2:
_ 6.2 NBS Acceptance Board
The NBS Acceptance Board shall be constituted, deal with the matters and meet at the
intervals as set out in Schedule A04.
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6.3. NBS Acceptance Management Board
The NBS Acceptance Management Board shall be constituted, deal with the matters
and meet at the intervals as set out in Schedule A04.
6.4 NBS Acceptance Administration
Each of POCL and the Contractor shall nominate a NBS Acceptance Co-ordinator
with responsibility for maintaining records of the NBS Acceptance Procedure, for
preparing status reports for review by the NBS Acceptance Management Board and for
organising the attendance of participants in NBS Tests and meetings.
6.5 Resolution of NBS Acceptance Disputes
6.5.1 [f POCL and the Contractor do not agree on:
(a)
(b)
the form or content of NBS Tests or NBS Testing Specifications;
changes to NBS Acceptance Criteria, NBS Tests, NBS Testing Specifications
or the NBS Testing Plan consequent upon changes to the provisions of the
Codified Agreement or CCDs pursuant to paragraph 2.3.1 of this Schedule
* N02:
(c)
@
(©)
()
whether any NBS Tests should be repeated pursuant to paragraph 2.3.2 of this
Schedule NO2 as a consequence of changes to NBS Tests; -
results of NBS Tests;
whether an event or occurrence is a NBS Acceptance Incident or a NBS
Acceptance Progress Incident or both;
classification of severity of NBS Acceptance Incidents or NBS Acceptance
Progress Incidents;
whether a NBS Acceptance Incident has been caused by a deficiency or fault in
a component of the POCL Service Infrastructure used to provide the NBS, or in
the NBS itself (for which the Contractor is responsible) or a deficiency or fault
in other End to End Banking services, systems (such as the NBE) or data
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(including, without limitation, Reference Data) of POCL or a third party (for
which POCL is responsible); or
(h) adequacy of NBS rectification plans,
the parties shall refer such dispute (the “Dispute”) in the first instance to the NBS
Acceptance Management Board.
If within 5 working days (3 working days if within the NB Pilot (Soft Launch) phase)
of a Dispute having been considered by the NBS Acceptance Management Board the
Dispute is not resolved then either POCL or the Contractor may refer that Dispute to
the NBS Acceptance Board which shall be convened as soon as reasonably practicable
to resolve that Dispute.
If within 5 working days (3 working days if within the NB Pilot (Soft Launch) phase)
of a Dispute having been referred to the NBS Acceptance Board the Dispute is still not
resolved, then either the Contractor or POCL may refer the Dispute to the Expert for
determination in accordance with paragraph 7 of this Schedule NO2.
NBS ACCEPTANCE DISPUTES
Appointment Of Expert
The parties have agreed to appoint an expert (the “Expert”) as soon as reasonably
practicable (and in any event prior to the date of commencement of the NBS Testing
Stage) to assist in resolving Disputes relating to NBS Acceptance.
The Expert shall be an individual who is: ©
(a) qualified to resolve,such Disputes; and
(b) approved by both parties (such approval not to be unreasonably withheld or
delayed).
In the event that the parties fail to agree upon the Expert to be appointed, the Expert
shall be appointed at the request of POCL or the Contractor by the President for the
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time being of the Institute of Electrical Engineers so long as such appointee shall meet
the criteria in paragraph 7.1.2(a) above.
7.1.4 The Expert shall act as an expert and not an arbitrator and his fees shall be bome by
the parties in-equal shares.
7.1.5 General terms of reference for the Expert shall be agreed by the parties prior to the
commencement of the NBS Testing Stage
72 NBS Acceptance Dispute Resolution
7.2.1 Each Dispute referred to in the circumstances described in paragraph 6.5.3 of this
Schedule NO2 shail’be referred to the Expert to obtain initial guidance.
Within 5 working days after a reference pursuant to paragraph 7.2.1 above the parties
shall agree a joint statement to be submitted to the Expert describing the Dispute to be
resolved by the Expert, the scope of the Decision which may be required to be made by
the Expert in accordance with paragraph 7.2.4 of this Schedule NO2 and each party’s
position in relation to that Dispute.
7.2.3. Once the Expert has given to the parties his initial guidance on the Dispute, the NBS
Acceptance Board shall meet and attempt to resolve the Dispute with the advice and
guidance of the Expert.
724 Ifthe Dispute is not resolved during the meeting pursuant to paragraph 7.2.3 above,
then either the Contractor or POCL may request that the Expert make a decision (the
“Decision”) as to how the Dispute should be resolved.
7.2.5 The Decision shall be final and binding on the parties.
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1.2
14
ANNEX 1 TO SCHEDULE N02
TESTING STAGES
Acceptance Stage I (the “NBS Testing Stage”) — this stage involves the discrete
testing of the NBS and NB System solely within the Contractor’s domain and without
reference to or reliance on any other element of End to End Banking provided by
POCL or to POCL by third parties. This testing stage shall be under the Contractor’s
control.
Acceptance Stage 2 — this stage invoives partial End to End Banking (including NBE,
LINK, Banks and POCL and/or Consignia Group systems but excluding the NBS and
the NB System). This testing stage shall be under POCL’s control.
Acceptance Stage 3 (the “Partial E2E Testing Stage’) — this stage involves the testing
and early release of the NBS in a parallel end-to-end mode, including NBE, LINK,
Banks and POCL and/or Consignia Group systems. This stage will be undertaken
partially in parallel with NBS testing cycles 4 and 5 within the NBS Testing Stage.
This testing stage shall be under POCL’s control and POCL shall ensure that it and
other third parties with whom these tests are to be carried out are ready and available
to participate in such parallel end-to-end testing.
Acceptance Stage 4 (the “Full E2E Testing Stage”) ~ this stage involves testing of the
NBS as part of testing of full End to End Banking (including NBS, NBE, LINK,
POCL and/or Consignia Group Systems and Banks -ready and available for
participation in testing of full End to End Banking). POCL shall ensure that the other
parties with whom these tests are to be carried out are ready and available to
participate in such full end-to-end testing. This testing stage shall be under POCL’s
control.
Acceptance Stage 5 (“NBS/NBE Testing Stage”) — this stage shall be undertaken
within the NB Pilot (Soft Launch) phase and involves the testing of whether the NBS
and NBE work in an operational environment and are ready for full operational roll-
out. This testing stage shail be under POCL’s control.
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1.6
3.1
Acceptance Stage 6 (“CAPO Testing Stage”) - this stage involves end-to-end testing
with the CAPO. This stage shall be under POCL’s control.
Acceptance Stage 7 (“Bank Interface Testing Stage”) — this stage involves testing of
interfaces to Banks. This Acceptance Stage 7 will be repeated as each new Bank is
introduced. This stage shall be under POCL’s conwol. If Acceptance Stage 7 or any
elernent of Acceptance Stage 7 takes place following NBS Acceptance, the
Contractor’s involvement in any such stage will be agreed under the Change Control
Procedure.
The NB Pilot (Soft Launch) phase involves testing the NBS and NB System as part of
the End to End Banking service in a live environment. ‘This. NB Pilot (Soft Launch)
phase shall be under POCL control.
NOT USED
NBS TESTS
Form of NBS Acceptance Tests
Each NBS Test shall take the form of one or more NBS Trials as described in
paragraph 3.2 of this Annex 1, one or more NBS Reviews as defined in paragraph 3.3
of this Annex }, or combinations thereof.
NBS Trials
Each NBS Trial shall consist of one or more of the following:
(a) previously prepared and agreed scripted tests (recorded in a NBS Testing
Specification, or other document referenced by the NBS Testing Specification)
of elements of the NB System to be carried out in a test environment in which
the actual results are checked to conform with the expected results;,
(b) previously prepared and agreed scripted demonstrations (recorded in a NBS
Testing Specification, or other document: referenced by the NBS Testing
Specification) of the elements of the NB System in operation in a test
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3.3
3.3.1
environment in which the actual results are checked to conform with the
expected results;
(c) mmning a real, simulated or modeiled operational workload in a “test
environment on elements of the POCL Service Infrastructure, such workload to
be agreed by the parties (such agreement not to be unreasonably withheld) with
reference to the projected operational volumes (set out in the CCD entitled
“Horizon New Service Business. Volumes” (PA/PER/031))
POCL shall be entitled to send representatives to observe any NBS Trial and the
Contractor shall give 10 working days notice of the first occurrence of each NBS Trial
and three working days notice in the case of repeat testing to POCL to enable POCL to
determine whether or not to send representatives. Without prejudice to the preceding
paragraph, POCL shall notify the Contractor which NBS Trials it plans to send
representatives to attend so that a plan for witnessing the execution of those trials may
be prepared.
NBS Reviews
Each NBS Review shall consist of one or more of the following:
(a) inspection by one or more reviewers nominated by POCL of a deliverable or
documentary evidence that the part of the NBS in question has been provided.
Evidence for revicw may comprise documentation provided by the Contractor,
or documentation provided by the Contractor’s subcontractors or suppliers;
{b) a minuted meeting (minutes to detail meeting date, venue, agenda, attendees,
decisions made, actions, copies of any presentations made or documents
discussed at the meeting (save that copies of documents or presentations which ~
contain commercially sensitive or security sensitive information of either
POCL or the Contractor shall not be appended to such minutes but appropriate
identifying reference details shall be provided instead) ) between POCL and the
Contractor at which one or more of the following occur:
(i) documentary evidence is inspected;
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(ii) a presentation is given by the Contractor;
(iii) the results of prior inspections, visits or presentations are reviewed and
the outcome agreed;
(iv) the Contractor undertakes to conform to specific reasonable POCL
requirement(s) in cases which the parties agree are not appropriate for
testing by NBS Trial or other forms of NBS Review;
(c) any other form of testing or review as agreed by the parties.
NBS TESTING SPECIFICATIONS
The NBS Tests shall be documented by the Contractor in applicable NBS Testing
Specification(s) (there may be more than one NBS Testing Specification) no later than
eight (8) weeks prior to the agreed date for performance of the relevant NBS Tests.
In the case of NBS Trials, the NBS Testing Specification(s) shall identify the testing
cycles or testing elements which comprise each NBS Trial and the results expected for
that trial by reference to the relevant test script or scripts. NBS Trials shall not
commence until their respective NBS Testing Specification(s) or part thereof has been
agreed.
In the case of NBS Reviews, the NBS Testing Specification(s) shall state the purpose
and structure of the document to be reviewed, which sections of the document are
-relevant to the particular NBS Acceptance Criteria, and the review criteria to be
applied. NBS Reviews shall not commence until their respective NBS Testing
Specification(s) or part thereof has been agreed.
NBS TESTING PLAN
The NBS Testing Plan shail comprise:
a list of documents to be provided by the Contractor for NBS Review giving for each
such document the date on which it will be delivered by the Contractor and the date by
which POCL shall have completed the NBS Review in question;
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5.1.2 a list of the tests to be carried out by the Contractor that are relevant to NBS
Acceptance, showing the method and expected results of each such test by reference to
the NBS Testing Specifications or other applicable documents; and
5.1.3 a list of the tests to be carried out by POCL that are relevant to NBS Acceptance,
showing the method and expected results of each such: test.
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ANNEX 2 TO SCHEDULE N02
1. LINK TESTING
Ll During the NBS Testing Stage, Partial E2E Testing Stage and Full E2E Testing Stage,
the Contractor shall provide reasonable assistance when reasonably requested by
POCL to facititate LINK testing between the NBE and the Banks.
1.2. POCL shall be responsible for the operation and control of such LINK testing.
1.3 POCL shall be responsible for providing such documentation as is necessary for the
Contractor to plan and resource its activities in respect of supporting POCL gain LINK
accreditation in accordance with this Schedule N02.
2. LINK REQUIREMENT COMPLIANCE
nw
The Acceptance Criteria shall include criteria based upon the security requirements,
standards and test sequences applicable to the NBS as set out in the following
documents:
2.1.1 the LINK Information Security Standards (v1.0 dated January 2001); and
2.1.2 the LINK Member Test Strategy (version 2.6).
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SCHEDULE N03 - POCL NBS RESPONSIBILITIES AND NBS OBLIGATIONS
I Version Reason for Change I Frozen/Issue
Reference I Date
4.0 New Schedule to introduce Network Banking I 19/06/02
I Service I
1. INTRODUCTION
la Part 1 of this Schedule sets out the responsibilities of POCL in connection with the
NBS (“POCL NBS Responsibilities”).
12 Part 2 of this Schedule sets out the obligations of POCL in connection with the
provision of the NBS (“POCL NBS Obligations”).
13 Any failure by POCL to carry out a POCL NBS Responsibility shall not be a Default
under this Codified Agreement.
14 The-omission from the tables in this Schedule NO3 of an obligation or responsibility
of POCL connected with the NBS shall:
1.4.1 if the obligation is stated as something for which POCL “shall be responsible”,
result in that obligation being classed as a “POCL NBS Responsibility” for the °
purpose of this Schedule N03; ,
1.4.2 if the obligations is stated to be something which POCL “shall do” result in that
obligation being classed as a “POCL NBS Obligation” for the purpose of this
Schedule N03;
143 ifthe obligation is to make payment to the Contractor result in that obligation being
classed as a “POCL NBS Obligation” for the purpose of this Schedule N03; and
1.4.4 — inall other cases shall be, as the context so requires, a POCL NBS Obligation or
POCL NBS Responsibility for the purposes of this Schedule N03.
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1.6 The Contractor shall not be liable te POCL in respect of any breach of its obligations
17
to provide the NBS (including its obligations to achieve any Service Level related to
the NBS) (the “Dependent Obligations”) or any delay in performing the Dependent
Obligations to the extent that such*breach or delay was caused by the failure by
POCL to carry out a POCL NBS Obligation or a POCL NBS Responsibility (a
“Dependency Failure”).
The Contractor shall notify POCL in writing as soon as reasonably practicable after
the Contractor becomes aware of any Dependency Failure or becomes aware of any
matters or circumstances which would with the effluxion of time result in a
Dependency Failure.
In the event of a Dependency Failure (other than in relation to any Level 1, Level 2
or Level 3 T&M Work task under the NB Project Plan), the Contractor shall be
entitled to recover from POCL such reasonably incurred, increased costs and
expenses (if any) which it incurs in performing the Dependent Obligation in question
to the extent that such increased costs and expenses were the result of the
Dependency Failure. The Contractor shall provide a statement of such increased
costs and expenses incurred for approval by POCL, such approval not to be
unreasonably withheld.
The Contractor shall use all reasonable endeavours to mitigate the amounts (if any)
payable under paragraph 1.8 of this Schedule N03.
Part 1 - POCL NBS Responsibilities
Schedule I Paragraphs
NOt
I 3.3,3.5, 4.1.4, 4.2, 4.4.1 and 4.4.3, 5.2.1, 5.3.6, 5.4.1, 5.4.3, 5.10.2,
13.4(c), 7.2.2, 7.3.8, 8.2.3, 10.6.4(i), 12.6
wa
N02 “219, 2.10, 22.2, 4.5.1, 65.1, Annex 1.3.2.2, 1.3-1.8 (inclusive), Annex I
21.2, 13
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NO4 6.1, 7.1 (c) _
NOS I 2.1, 4.2-4.6 (inclusive) I
I
Nr 2.13, 2.2.1, 223,233,412, 413,422,423
_ NOS 18 '
Noo 11, 1.6, Lt
Part 2~ POCL NBS Obligations
Schedule I Paragraphs
Nol 12.9, 2.12, $.4.2, 5.4.4, 8.2.2, 10.3.1, 10.4.2, 10.4.3, 10.6.4(h)
NO2 (23.1, 4.1.4, 4.1.5, 4.4.2, 6.1, 64
NO4 42 —
NOS 5, 6.2.1, 6.2.4, 7.1, 7.5 ~~
N06 "14,214, 3.2, 33 ~
NOs 2.5.8
{
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NO9 None . ,
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Reference Date- I
4.0 I New Schedule to introduce Network Banking I 26/06/02
Service I i
INTRODUCTION
The NBS shall be implemented through a number of Releases with minimai
disruption to operational service. subject to the provisions of paragraph 5.3 of
Schedule GO1 and paragraph 4.7 of Schedule A06. [NBR498]
NB PROJECT PLAN
The Contractor shall produce and maintain a project plan (the “NB Project Plan”) for
the fulfilment of its obligation under this Codified Agreement in relation to the NBS.
The NB Project Plan shall comprise three Levels of detail. The Level 1 and Level 2
elements of the NB Project Plan shall be at a level of detail equivalent to that set out
in Annexes I and 2 to this Schedule, respectively.
Annexes I and 2 to this Schedule comprise the Level 1 and Level 2 elements of the
NB Project Pian as at the date of approval of CCN850.
The Level 3 elements of the NB Project Plan shall be at a level of detail equivalent to
that set out in the example at Annex 3 of this Schedule (which is included for
information purposes only)
In respect of each version of the NB Project Plan provided in accordance with
paragraph 2.7 of this Schedule, each Level 3 task on the NB Project Plan:
(a) having a deliverable to be produced as a result of that task shall have a
summary description of that deliverable; and
(>) if T&M Work, shall have a T&M Budget associated with it.
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Every fortnight (each fortnight running from Monday of the first week to Sunday.of
the second week) following the date of approval of CCN850, the Contractor shall
issue a revised version of the NB Project Plan which shall contain:
(a) thé Level 2 elements of the NB Project Plan for the 8 months following the
scart of the fortnight in which that revised NB Project Plan is issued (or until
the date shown in the table in paragraph 9.1.3 of this Schedule NO4 for
cessation of NB project planning. if shorter); and
{b) the Level 3 elements of the NB Project Plan for the 4 months following the
start of the fortnight in which that revised NB Project Plan is issued (or until
the date shown in the table in paragraph 9.1.3 of this Schedule NO4 for
cessation of NB Project planning, if shorter).
The Contractor shall issue such revised versions of the NB Project Plan within 8
working days of the start of each such fortnight.
REPORTING AND OBLIGATIONS IF DELAY OCCURS
From the date of approval of CCN850 the Contractor shall report to POCL on a
fortnightly basis (each fortnight running from Monday of the first week to Sunday of
the second week) on its progress in achieving the tasks set out in the NB Project Plan
for that fortnight and on its management of the work set out in that plan.
The Contractor shail report to POCL in accordance with paragraph 3.1 of this
Schedule not later than the eighth working day after the end of the fortnight to which
the report relates.
The Contractor shall provide together with the reports to be provided under
paragraph 3.1 of this Schedule a document setting out for the fortnight to which the
report relates:
(a) for each of the Contractor's personne! who worked on any T&M Work task
during that period, the proportion of that person’s working time spent on
T&M Work tasks and the proportion spent on non-T&M Work tasks;
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(b) time recording information showing for each T&M Work task on which work
was cartied out during that fortnight the amount of time for which each
individual who worked on that task did so; and
-(c) for each non T&M Work task on which work was scheduled to be carried out
Curing that fortnight the percentage of that task completed during that period
and the percentage of that task which was scheduled to be completed during
that period.
If at any time a Level 2 task has not been started or completed by the date set for that
event in the NB Project Plan the Contractor shall notify POCL forthwith. If the
failure to carry out that task:
(a) affects any Level 2 task T&M Budget or extemal touchpoint (as set out in or
derived from the NB Project Plan), the Contractor shall as soon as reasonable
practicable provide proposals to mitigate the failure; or
(>) affects neither any Level 2 task T&M Budget nor external touchpoint (as set
out in or derived from the NB Project Pian), the Contractor shall take
appropriate mitigating action and shall report such action to POCL in
accordance with paragraph 3.1 of this Schedule.
The Contractor shall notify POCL as soon as reasonably practicable after receipt of
such if at any time the Contractor receives any notice or information from any of its
subcontractors or suppliers which states or should reasonably lead the Contractor to
believe that any non T&M Work task will not be completed by the date scheduled for
its completion in the NB Project Plan.
BUDGET
The Contractor may allocate and subsequently re-allocate the T&M Budget for each
Level 2 T&M Work task in the NB Project Plan between the Level 3 T&M Work
tasks forming part of that Level 2 T&M Work task provided that in the case of such
re-allocation the variance is no more than 25% of the total original budgeted hours
for the task whose budgeted hours are to be increased.
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iv
6.4
Any re-aliocations of or increase to the T&M Budget other than in accordance with
paragraph 4.1 or 6.5.2 of this Schedule shall be agreed in writing by the parties and in
the absence of agreement shall be determined by POCL (acting reasonably) and
notified to the Contractor in writing
Ifa Level 2 or Level 3 T&M Work task has not been or cannot be completed within
the otiginal, increased or reallocated T&M Budget for that task, and the T&M Budget
is not increased by POCL (at the request of the Contractor), the Contractor shall fulfil
its obligations so far as it can do so within that original, increased or reallocated
T&M Budget and upon thai budget being exhausted, POL shail be deemed to have
exercised its option under paragraph 8.1 of this Schedule NO4 in respect of that task
and the Contractor shall be deemed to have received a Task Cancellation Notice (as
defined in that paragraph) in respect of that task.
Paragraph 4.3 of this Schedule N04, shall only apply to the extent that the Contractor
is not in Default of its obligations in respect of the Level 2 or Level 3 task in
question.
CONTRACTOR PERSONNEL
From the date of approval of CCN850 until the completion of all T&M Work, the
Contractor shall supply the name, job title, project role and Schedule Al2 grade for
each of its personnel working on the fulfilment of its obligations under this Codified
Agreement in relation to T&M Work. The Contractor shail supply a typical level of
qualification and experience for each grade type.
From the date of approval of CCN850 until the completion of all T&M Work, the
Contractor shall produce organisational charts showing the Contractor’s personnel
working on the fulfilment of the Contractor's obligations under this Codified
Agreement in relation to T&M Work. The Contactor shall provide revised versions
of those charts to POCL when there are materiai changes to them.
CHANGING THE NB PROJECT PLAN
Changes to scheduling of Level 2 elements of the NB Project Plan (other than in
accordance with paragraph 6.5 of this Schedule N04) shall require the written
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64
agreement (at “Authority Level 1”) of the Contractor’s NBS Programme Manager (or
nominated deputy) and the POCL NBS Project Manager (or nominated deputy) (such
agreement not to be unreasonably withheld by either of them) and shall take effect
immediately subject to written confirmation (at “Authority Level 2”) between
POCL’s Release 1 Programme Manager and the Contractor's Programmes Director
(or their nominated deputies). [f the parties fail to reach such agreement at Authority
Level !, the dispute shalt be referred to Authority Level 2. If the parties fail to Teach
such agreement at Authority Level 2, the dispute shall be subject to the dispute
resolution process referred to in paragraph 6.5.5 of this Schedule N04. If the parties
reach such agreement at Authority Level 1, but the parties fail to reach agreement at
Authority Level 2, the parties shall, unless agreed or determined otherwise, work to
the NB Project Plan as agreed at Authority Level 1, Notwithstanding anything to the
contrary in Clauses 101.2 or 603, written agreements and confirmations referred to in
paragraphs 6.1 to 6.6 of this Schedule N04 may be effected by, without limitation,
email exchange or agreed meeting minutes.
A refusal by POCL to agree a change to the NB Project Plan pursuant to paragraph
6.1 of this Schedule NO4 shall be deemed to be reasonable if, in POCL’s assessment,
the change would be detrimental to the network banking project as a whole even if
the change would not be detrimental to the implementation of the NBS.
The Contractor shall be entitled at its discretion to reschedule the Level 3 elements of
the NB Project Plan within the period bounded by the start and completion dates for
the associated Level 2 task in the NB Project Plan.
Whether or not delay has occurred to the NB Project Plan shall be on a neutral basis
of proof.
The provisions of this paragraph 6.5 shall apply if and to the extent that a failure to
carry out a Level 2 task by the completion date for that task in the NB Project Plan is
not due to a Default of the Contractor including (without limitation) where the delay
is caused by:
(a) a failure by POCL to fulfil its obligations or responsibilities set out or referred
to in Schedule N03;
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(b) unfulfilled dependencies of the Contractor on third parties which are
specifically shown in the NB Project Plan; or
(c) failures to agree agreements to agree.
6.5.1 if a Level 2 task is not completed or is forecast not to be completed by the date
specified in the NB Project Plan, the period for completing that delayed task shall be
extended by the minimum period reasonably necessary for the task to be completed,
taking into account, amongst any other factors which are relevant:
(a) to the extent they can be identified, the reasons for the delay, and whether
they would continue to cause delay;
(b) POCL's objectives in relation to End to End Banking;
(c) the availability of appropriate resources (both existing Contractor resources
and any available to buy in);
(d) the size of the T&M Budget originally allocated to the task (applicable if the
delayed task is a T&M Work task);
(e) the nature of the task to be completed; and
(f) other iasks which remain incomplete.
a
in
ia
The Contractor shall be entitled to increase the T&M Budget for completing each
delayed Level 2 T&M task to reflect:
(a) any additional work required; and/or
(b) additional resource required to be allocated to that task,
for it to be completed within the period of extension described in paragraph 6.5.1 of
this Schedule NO4.
6.5.3 Unless the reason for a Level 2 task not being completed by the date specified in the
NB Project Plan is a Planning Discrepancy. the Rate Reduction Date shall be put
back by the minimum period necessary to accommodate that task (as extended in
accordance with paragraph 6.5.1 of this Schedule N04) in the NB Project Plan (which
NBS Implementation Page 6 of 16 Version 4.0
CODIFIED AGREEMENT SCHEDULE N04 RESTRICTED CONTRACTS
period shall be nil if the extended task did not impact the critical path leading to NB
Event 1). For the purposes of this paragraph 6.5.3 a “Planning Discrepancy” means
any discrepancy or failure in the NB Project Plan not arising from a Default by the
Contractor including but not limited to
(a) @ structural oversight in the NB Project Plan such as a missed link in any
critical path in relation to an unknown dependency; and
(b) mis-scoped tasks.
For the avoidance of doubt, paragraph 7 of this Schedule N04 shall apply if any
discrepancy or failure in the NB Project Plan arises from a Default of the Contractor.
Time extensions to Level 2 elements of the NB Project Plan in accordance with
paragraph 6.5.1 of this Schedule NO4 and putting the Rate Reduction Date back (or
not putting it back as the case may be) in accordance with paragraph 6.5.3 or 6.6 of
this Schedule N04 shall require written agreement at Authority Level 1 (such
agreement not to be unreasonably withheld by either party) and shall take effect
immediately subject to written confirmation et Authority Level 2. If the parties fail
to reach such agreement at Authority Level I or Authority Level 2, for the purposes
of establishing the effective ongoing NB Project Plan, POCL shali be entitled to
determine:
(a) on the basis and taking into account the factors set out in paragraph 6.5.1 of
this Schedule N04, the amount by which time for a Level 2 task shall be
extended; and
(b) the amount (if any) by which the Rate Reduction Date shall be put back in
accordance with paragraphs 6.5.3 or 6.6 of this Schedule N04.
The Contractor shall work to that revised NB Project Plan but shall be entitled to
seek a further extension of time for such Level 2 T&M tasks and/or increase to the
amount by which the Rate Reduction Date should be put back through the dispute
resolution process referred to in paragraph 6.5.5 of this Schedule NO4.
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6.6
6.7
6.8
Disputes as to:
(a) whether or to what extent a Default by the Contractor, a Planning Discrepancy
or some other failure has caused a Level 2 task to be delaved;
(b) the amount by which the time for a task should be extended;
(c) the amount by which the Rate Reduction Date should be put back; or
(d) the increase (if any) required to the T&M Budget to reflect the additional
work or resource required to complete a task,
shall be referred to the Contract Administration Board and if not resolved by that
Board shall (unless the parties agree otherwise) be resoived pursuant to Clause 807.
If.
(a) the Contractor fails to carry out a Level 2 non-T&M Work task by the
completion date for that task in the NB Project Plan and as a result the
Contractor fails to carry out a Level 2 T&M Work task by the compietion date
for that task in the NB Project Plan; and
(b) neither failure results from a Default of the Contractor,
the Rate Reduction Date shall be put back by the minimum period necessary to
accommodate both Level! 2 tasks in the NB Project Plan (which period shail be nil if
the tasks do not impact the critical path leading to NB Event 1).
Subject to paragraphs 6.8 and 6.9 of this Schedule NO4, the obligations of the
Contractor in respect of completion of al! dates in the NB Project Plan (whether or
not T&M Work) shall be to use reasonable endeavours to achieve them.
The Contractor shal! achieve completion of NBS Deployment by the date (the “NBS
Release Complete Date”) specified for NBS Release Complete in the NB Project
Plan (as may be adjusted in accordance with the provisions of this Schedule N04).
Save as specified in paragraph 6.9 of this Schedule N04, failure by the Contractor to
achieve completion of NBS Deployment by the NBS. Release Compiete Date shall
not of itself constitute a Default and time shall not be of the essence in respect of the
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Contractor’s obligation to achieve completion of NBS Deployment by the NBS
Release Complete Date.
6.9 If the Contractor has not completed NBS Deployment by the NBS Release Complete
Date POCL may serve notice on the Contractor which specifies a reasonable time
period (after the NBS Release Complete Date) for NBS Deployment to be completed.
Time shall be of the essence in relation to the reasonable time period specified in the
notice for completion of NBS Deployment and failure to achieve NBS Deployment
by expiry of that reasonable time period shall constitute a Default of the Contractor
entitling POCL to terminate this Codified Agreement.
7 CONTRACTOR DEFAULT
71 If and to the extent that a failure to carry out a Level 2 task by the completion date for
that task in the NB Project Plan has been caused by a Default of the Contractor:
{a) the Contractor shall use reasonable endeavours to complete that task as soon
as practicable;
(b) if the failure to carry out that task affects the T&M Budget for that task or an
external touchpoint (as set out in or derived from the NB Project Plan), the
Contractor shall in addition to any other proposals for mitigation made under
paragraph 3.4(a) of this Schedule N04:
(i) use all reasonable endeavours to keep the same individual or group of
individuals as have been allocated to that task, working on that task
until its completion; and
(ii) optimise the allocation of resources between tasks;
so that potential overall delay to the NB Project Plan is minimised; and
(c) POCL shail be entitled to recover from the Contractor, POCL'’s additional
internal costs and sub-contractor costs reasonably incurred as a direct result of
that Default. POCL shall provide a statement of such costs incurred for
approval by the Contractor, such approval not io be unreasonably withheld;
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8.1
8.3
8.4
(d) the Rate Reduction Date shall not be put back to reflect delay to the NB
Project Plan caused by that Default.
TASK CANCELLATION
POCL may at any time before NBS Acceptance send 2 notice (a “Task Cancellation
Notice”) cancelling any Level 2 T&M Work task (the “Cancelled Task”).
Upon receipt of a Task Cancellation Notice the Contractor shall:
(a) not de obliged to complete the Cancelled Task;
(by not (except as set out in paragraph 8.3 of this Schedule NO4) carry out any
further work on or expend any further monies in relation to the Cancelled
Task; and
(c) be released from its obligations in this Codified Agreement to which that
Cancelied Task relates and obligations in respect of any other T&M Work the
performance of which is dependent upon the compietion of that Cancelled
Task.
In the § working days following the receipt of a Task Cancellation Notice the
Contractor shall, so far as reasonably possible and using no more resource than that
allocated to the Cancelled Task, close down and document the position reached in
respect of the Cancelled Task. All such work shall be T&M Work for which the
Contractor shall provide POCL with a T&M Budget. Such T&M Budget shall
inctude any third party costs which were part of the T&M budget for the Cancelled
Task which the Contractor is unable to mitigate (such costs to be agreed at Authority
Level 1) (such agreement not to be unreasonably withheld by either party)).
If the aggregate value (by T&M budget) of all Cancelled Tasks becomes more than
£6,500,000 POCL shall be deemed, as at the date of receipt by the Contractor of the
Task Cancellation Notice for the Cancelled Task which causes that sum to be
exceeded, to have exercised its right to terminate the NBS for convenience under
Clause 905.1.
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8.5
8.5.1
8.6
ol
Following the cancellation of a task:
The parties shal! amend:
(a) the NB Project Plan in accordance with paragraph 6.1 of this Schedule NO4;
and
(b) the NBS Acceptance Criteria, the provisions of this Codified Agreement and
any CCDs as necessary under the Change Control Procedure,
to reflect that the task-will not be carried out and the release of the Contractor’s
obligations as referred to in paragraph 8 2(c) of this Schedule NO4.
Where reasonably practicable, one CCN may be used to introduce the amendments .
required under sub-paragraph 8.5.1 for more than one such release. If the parties’
agreement to such amendments is required for the purposes of the NBS Acceptance
Procedure, such amendments may be agreed in- writing at Authority Level 1, and
shall be subsequently ratified using the Change Control Procedure.
The amendments referred to in clause 8.5.2 shall be such as to ensure that (subject to
paragraph §.4) the effect of cancellation is not to render NBS Acceptance impossible.
Lf POCL wishes the Contractor to resume work on any Cancelled Task, the parties
shall enter into good faith negotiations in relation to the terms of that restart.
DATES
The tables in paragraphs 9.1.1, 9.1.2 and 9.1.3 of this Schedule N04 set out the dates
contained in the initial version of the NB Project Plan (as at the date of approval of
CCN850) for the milestones and touchpoints between the Contractor and POCL or
third parties for the delivery of the NBS. The parties agree that the dates in those
tables need not be updated to reflect changes made subsequently to the NB Project
Plan and that the NB Project Plan shall have precedence over those tables.
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9.1.1 NBS Contract Controiled Documents
Activity Code
L2_1855
L2_1860
L2_1865
L2_1870
L2_1880
12_1890
L2_1910
L2_1980
L2_1945
L2_1950
L2_1960
L2_1976
L2_1940
12_1985
L2_1990
£21856
L2_1887
L2_1858
L2_1859
L2_1861
L2_1863
L2_1864
£2_1866
NBS Unplementation
Document
TD/ARC/030 OPS Architecture Specification
CS/SIP/002 Business Continuity Framework
TIFS/008 Pathway to Post Office Technical
Interface Specification
TD/STD/004 Generalised AP] for OPS/TMS
"RS/POL/002 ICL Pathway Security Policy
RS/FSP/001 Security Functional Specification
NB/SDS/008 Network Banking MIS Reports
Design
CS/IFS/003 [CL Pathway/POCL Interface
Agreement for Operational Business Change ~
Outlet .
SD/DES/005 Horizon’OPS Reports and
Receipts - Pathway Horizon Office Platform
Service
SD/STD/001 Horizon OPS Style Guide
CR/FSP/006 Audit Trai! Functional
Specification
VI/STRIOO! Revisions to the Testing and
Integration Strategy for Pathway for the NWB
Release
CS/PRD/058 ICL Pathway/PON Interface
Agreement for Operational Business Change
Product
BP/DES/003 Counter Hardware Design
Specification
TD/ARC/029 TMS Architecture Specification
CS/PRP/001 Counter Transaction Performance
Measurement and Benchmarking
XX/YYY/NNN NBS Testing Specifications
XX/YYY/NNN NBS Testing Plan
NB/PRO/OO! Networking Banking PPD
CR/FSP/004 Service Architecture Design
Document
~ XX/YYY/NNN Security Incident Management
(PO Limited Document)
IM/MAN/022 PIN Pad Technical Installation
Training Guide
XX/YYY/NNN (Caveat Clearance Version)
Technical [nterface Specification — Horizon to
NBE
XX/YY Y/NNN (Caveat Clearance Version)
NBE ~ Horizon Application Imerface
Specification
Page 12 of 16
Originator
issue first
draft
17 May 02
21 Jun 02
25 Jul 02
25 Jul 02
19 Apr 02
17 Jun 02
31 May 02
19 Jun 02
18 Jul 02
28 Jun 02,
31 Jui 02
13 Sep 02
12 Jul 02
i2 Jui oz
4 Jun 02
19 Aug 03
13 Sep 02
09 Apr 02
21 Aug 02
21 Aug 02
Originator
issue final
version for
agreement
18 Sep 02
03 Oct 02
05 Jul 02
09 Aug 02
12 Sep 92
12 Sep 02
07 Jun 02
05 Aug 02
19 Jul 02
07 Aug 02
02 April 02
19 Jul 02
05 Sep 02
16 Aug 02
18 Sep 02
O1 Nov 02
30 Aug 02
30 Aug 02
02 Aug 02
07 Oct 03
Oi Nov 02
28 May 02
09 Oct 02
090ct 02
Version 4.0
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RESTRICTED CONTRACTS
L2_1867
L2_1868
912
Activity Code
L2_ 1920
L2_1930
L2_1931
L2_1932
L2_1933
L2_1934
L2_1935
L2_1936
121937
12_1942
L2_1943
L2_1944
9.1.3
Activity Code
L2_2450
(TPL)
NBS implementation
CS/SPE/O11 (Caveat Clearance Version)
Network Banking End to End Reconciliation
Reporting
CC/YYY/NNN .
"Closure of NBE Link Procedures"
(CCD mentioned in NOS).
NBS Working Documents:
Document
RS/POL/003 Access Control Poticy
SD/SPE/016 Horizon OPS Menu Hierarchy
CS/PLA/O11 Business Continuity Test Plan
CS/IFS/007 ICL Pathway/POCL Interface
Agreement for the POCL Support Desk and
HSH Interface
XX/YYY/NNN NBE Operational Level
Agreement (PO Limited Document)
IS/SLR/002 PIN Pad Supply Logistics
Requirements
- CS/LFS/001 Reference Data Change Catalogue
XX/YYY/NNN Reference Data Business Rules
and Values .
XX/YYY/NNN RAC Data Flow Models
(Documents the RACOCI mode!)
RDP/TEC/977
Network Banking/RDS Rules and Values
Business Release
Test Strategy
Business [ntegrauion
Test Strategy
V&l
Test Strategy
Release
Test Swategy
EIE
Test Strategy
NBS Programme Development Touchpoints:
Event
NBEDIT
Agree NBE DIT Acceptance Criteria
Page 13 of 16
Originator
issue first
draft
12 Aug 02
30 May 02
12 Aug 02
12 Aug 02
12 Aug 02
17 May 02
13 Sep 02
13 Sep 02
31 Aug 02
17 Jun 02
10 Jun 92
24 Jun 02
24 Jun 02°
26 Jul 02
10 Jan 03
01 Nov 02
Originator
issue final
version for
agreement
30 Sep 02
18 Jul 02
30 Sep 02
30 Sep 02
30 Sep 02
05 Jui 02
01 Nov 02
OL Nov 02
18 Oct 02
No Forecast
05 Aug 02
29 Jul 02
12 Aug 02
12 Aug 02
13 Sep 02
Date
31 May 02
Complete
Version 4.0
CODIFIED AGREEMENT SCHEDULE N04 RESTRICTED CONTRACTS -
L2_3408
(TP57)
L2_3120
(TP3)
L2_3135
(TPa)
L2_3410
(EPS)
L2_2460
(TPS)
L2_2462
(1P7)
L2_3135
(TP8)
L2_3137
(TP9)
L2_2940
(TP10)
£2_2690
(TPL)
L2_3156
(TP 12)
L2_3150
(TP13)
L2_3155
(TP14)
123155
(TP15)
L2_3160
(TPi6)
£23160
(TP17)
L2_3163
(TP13)
L2_316s
(TP19)
L2_3167
(TP20)
12_3167
(fP21)
L2_3168
(TP22)
123168
(TP23)
L2_3420
(TP59)
NBS Implementation
Test link installed ~ Feltham :o Warwick
Contractor compiete DIT proving - Analysis
Contractor ready for DIT (Obtain release authorisation to start
DIT)
POCL prepare DIT Tesi specs
IBM make available initial version of Processor interface for
connectivity testing
POCL responsible for ensuring [3M make available full
version of Processor interface for DIT testing (with security)
Complete connectivity testing
Complete DIT (NBE Secure)
NBS Development
PIN Pad.developmenr test complete
Crypto for PIN Pads complete
Contractor Integration Testing Cycle 2 starts
Contractor Integration Testing Cycle 2 completes
Contractor Integration Testing Cycle 3 starts
Contractor Integration Testing Cycle 3 complete
Contractor Integration Testing Cycle 4 starts
Contactor Imegration Testing Cycle 4 complete
Contractor Integration Testing Cycle 5 starts
Conzractor Integration Testing Cycle 5
Complete
DRS/MIS Regression Cycle } starts
DRS/MIS Regression Cycle 1 completes
DRS/MIS Regression Cycle 2 starts
DRS/MIS Regression Cycle 2 completes
Checkpoint - DRS/MIS Enhancements Ready for Service
Contractor Integrity/volume testing complete
Page 14 of 16
O1 Jul 02
15 Jul 02
13 Jul 02
NIF
15 Jub 02
12 Aug 02
29 Jul 02
13 Sep 02
03 May 02
Compieted
19 Jun 02
22 Jul 02
09 Aug 02
12 Aug 02
30 Aug 02
02 Sep 02
20 Sep 02
23 Sep 02
11 Oct 02
id Ocr 02
OL Nov 02
04 Nov 02
22 Nov 02
22 Nov 02
Li Oct 02
Version 4.0
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12.3411 11 Oct 02
(TP27) NBS Stage Progression
1.2_2260
(TP38)
£2 2260
(P39)
L2_2270
(TP40)
L2_2270
(P41)
L2_3265
(TP42)°
£23272
(TP43)
L2_3278
(P52)
L2_3398
(TP45)
L2_3399
(TP46)
NBS Implementation
POCL End to End Testin
Partial E2E Testing Stage starts
Partial E2E Testing Stage completes
Full E2E Testing Stage starts
Full E2E Testing Stage completes
Network [nfrastructure
Upgrade to campus routers compiese
Contractor complete installation of comms link to NBE
FRIACO operational at campus
FRIACO pilot complete
FRIACO start roliout to full estate
Pilot Outlet list available from POCL
FRIACO rolled out to live pilot Outlets
FRIACO rolled out to full estate
Infrastructure
BI 2a rollout starts
BI 2a rollout completes
BI 2b rollout starts
BI 2b rollout compictes
Upgrades to hardware (DRS and non-DRS) for NBS compiete
Data Centre upgrade complete (NBS hardware jeins the live
estate) .
B13 national rollout complete
NBS Release
“Contractor Customer Services (Operations) ready to support
NB Pilot (Soft Launch)
Contractor Customer Services (Operations) ready to support
live operation
Page 15 of 16
62 Sep 02
11 Oct 02
14 Oct 02
03 Dec 02
21 Aug 02
25 Jul 02
02 Aug 02
06 Oct 02
03 Nov 02
01 Nov 02
03 Jan 03
30 Jan 03
“17 Apr 02
Completed
27 Jun 02
14 Jun 02
10 Sep 02
06 Dec 02
05 Jan 03
31 Mar 03
06 Jan 03
06 Jan 03
Version 4.0
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L2_3400 Contractor Customer Services (Network) ready to support NB__03 Jan 03
(TP47) Pilot (Soft Launch)
L2_3401 Contractor Customer Services (Network) ready to supportlive 01 Nov 02
(TP48) operation
12_3255 NBS feady for Release Authorisation for NB Pilot (Soft 06 Dec 02
(TP49) Launch) (End of E2E)
L2_3276 NBS ready to commence NB Pilot (Soft Launch) 13 Jan 03
(TPSO)
123274 NBS ready for Release Authorisation for full release 17,Jan 03
(TP51)
L2_3278 NBS Release complete 31 Mar 03
(TP52)
RDS
L2_2435 Completion of modification by POCE of the POCL RDS for 09 May 02
(TP53, the purpose of the NBS (Provide Ref Data to Contractor) Completed
L2_2455 POCL Reference Data required for DIT 14 Jun 02
(TPS4) Completed
L2_3055 Start of the Contractor's RDS DIT 18 Jun 02
(TP53)
L2_3055 End of the Contractor's RDS DIT 10 Jul 02
(TP56)
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ANNEX 1
LEVEL I PLAN
NBS Implementation Annexes Version 4.0
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CODIFIED AGREEMENT SCHEDULE N04 RESTRICTED CONTRACTS
ANNEX 2
LEVEL 2 PLAN
NBS Implementation Annexes Version 4.0
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26 JUN20020 fe a
CODIFIED AGREEMENT SCHEDULE N05
SCHEDULE N05 - NBS SERVICE MANAGEMENT
a se For atone a im us 3 a
4.0 New Schedule to introduce Network Banking 19/06/02
Service e
1. OBJECTIVES OF SERVICE MANAGEMENT
il The objectives of the management of the NBS are to monitor, manage and maintain
the delivery of the NBS, and to report on the same to the Service Review Board.
1.2 The sections below detail (without limitation) the specific objectives. of key service
management activities that will be undertaken. The significance of the detailed tasks
may vary over the life of this Codified Agreement.
1.3 All references in the form:
(a) “NBRXXX” or “PPRXXX” (or similar); or
(b) “SRS obligation”,
which follow at the end of provisions of this Schedule N05 are references to
POCL’s requirements, or the sections of the Contractor's SRS, respectively, which
correspond to those provisions. All such references are for each party’s internal
reference and information use only and none of those references, or the
requirements or sections to which they relate, shall be relevant either in construing
or interpreting any of the provisions of this Schedule NO5 or in determining the
extent of Contractor's or POCL’s obligations.
2. ORGANISATION
21 The Contractor and POCL shall utilise and each may at its own discretion augment
the organisational structure in place to manage the delivery of the Existing Services
to also manage the delivery of the NBS described in Schedute NO1. [NBR048] The
key roles within this organisation are'identified in sections 3 and 4 below.
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nw
iv
Any changes to the organisation defined in this Schedule shall be made in accordance
with Clause 101.2.
2.3 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
The roles and responsibilities within the Contractor’s organisation specific to the
delivery of the NBS are detailed below. One person may perform more than one of
these roles.
3.2 Operational. Service Manager
The Operational Service Manager shall be responsible for building a strategic
relationship at the appropriate level in POCL with an emphasis on the operational
requirements of the NBS. The Operational Service Manager shall attend the
mectings of the Service Review Board to be held at intervals set out in paragraph 6.2
of this Schedule NO3.
3.3 Service Manager
The Service Manager shall be responsible. for the overall delivery of the NBS to
POCL. The Service Manager shall specifically be responsible for:
a) the maintenance of Service Levels in accordance with Schedule N08;
b) the provision of monthly Service Management Reports as described in
paragraph 6.1 below;
c) briefing the Contractor's atténdees at the meetings of the Service Review
Board;
d) briefing the Operational Service Manager in advance of the Service Review
Board meetings:
e) facilitating joint quality initiatives with POCL;
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CODIFIED AGREEMENT SCHEDULE N05 RESTRICTED CONTRACTS
f) the day to day delivery of the NBS; and
g) the day to day interaction with the POCL Liaison Manager.
3.4 The Horizon System Help Desk Manager
The Horizon System Helpdesk manager for the NBS shall be responsible for the
management of:
a) provision of advice and guidance in relation to the NBS;
b) NBS related Incidents; and.
c) NBS system enquiries,
in accordance with procedures agreed by the parties at an operational level.
3.5 Contractor's Information Security Manager
The Contractor's information Security Manager shall be responsible (but may
nominate a representative to act on his behalf) for:
(a) co-operating with the Post Office Information Security Manager in the
development of POCL's network banking automation security policy as
specified in Schedule NO! paragraph 10.3.1;
(b) establishing the Contractor's revised security policy as specified in Schedule
NO} paragraph 10.3.2;
(c) from time to time communicating to the Post Office Information Security
Manager the identity of the persons authorised to receive sensitive security-
related material (including cryptographic key components) on behalf of the
+ Contractor;
(d) receiving from the Post Office Information Security Manager the identity of the
persons 2uthorised to receive such security-related material on behalf of POCL:
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(e) liasing with the Post Office Information Security Manager in the manner
described in the CCD entitled “Security Incident Management" and Schedule
NOL paragraph 10.4.2; and
() liasing with the Post Office Information Security. Manager and security
representatives of other parties involved in the End to End Banking on such.
security-related matters as may be agreed from time to time.
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 *
The POCL Business Manager is the individual responsible for the business which the
NBS supports. The Business Manager shall attend the meetings of the Service
Review Board to be held at intervals set out in paragraph 6.2 of this Schedule NOS.
43 POCL Liaison Manager
The POCL Liaison Manager shall be responsible for the day-to-day liaison with the
Contractor. The POCL Liaison Manager shall provide the first point of contact for
the Contractor and shall specifically be responsible for:
a) monitoring delivered Service Levels;
>) ~ receipt and analysis of the Contractor’s monthly service Reports;
c) briefing the POCL Business Manager in advance of Service Review Board
meetings;
d) briefing the POCL attendees at the meetings of the Service Review Board;
e) facilitating joint quality initiatives with the Contractor,
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: CODIFIED AGREEMENT SCHEDULE N05 RESTRICTED CONTRACTS
f) representing (including at Service Review Board meetings) and providing an
interface with POCL’s third party suppliers (including, without limitation, the
suppliers involved in providing End to End Banking),and Banks.
44 POCL NBS Reconciliation Incident Manager
The POCL NBS Reconciliation Incident Manager shall be responsible for ensuring
that organisational and reconciliation procedures are set-up and maintained within
POCL to support:
{a) the procedures set out in the CCD entitled “NBS Reconciliation and Incident
Management” (NB/PRO/002)}; and
(b) the management interfaces and interaction between members of POCL's staff
and the Contractor’s management support unit required in connection with
those procedures.
4.5 POCL Support Desk Manager
The POCL Support Desk Manager shall be responsible for the management of
enquiries related to the NBS which are not required to be managed by the Horizon
System Help Desk, as agreed by the parties at an operational level in accordance with
paragraph 4 $54.3 of Schedule Nowy and documented in the Working Document
RO
entitled * TCs Pathway/POCL Interface “Agreement for the POCL Support Desk and
HSH Interface” (CS/IFS/007).
4.6 Post Office Information Security Manager
The Post Office Information Security Manager shall be responsible (but may
nominate a representative to act on his behalf) for:
(a) establishing POCL's network banking automation security policy as specified
in Schedule NO} paragraph 10.3.1;
(b) agreeing the Contractor's revised security policy as specified in Schedule NO}
paragraph 10.3.2;
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(c)
(4)
(e)
()
from time to time communicating to the Contractor's Information Security
Manager the identity of the persons authorised to receive sensitive security-
related material (including cryptographic key components) on behalf of POCL;
receiving from the Contractor's Information Security Manager the identity of
the persons authorised to receive such security-related material on behalf of the
Contractor;
liasing with the Contractor's Information Security Manager in the manner
described in the CCD entitled “Security Incident Management" and Schedule
NOI paragraph 10.4.2; and
liasing with the Contractor's [nformation Security Manager and security
representatives of other parties involved in the End to End Banking on such
security-related matters as shall be agreed from time to time.
ESCALATION PROCEDURES
The Contractor and POCL shall operate escalation procedures for issues affecting the
NBS in accordance with Schedule AO4 of this Codified Agreement. [NBR514]
6. MONITORING
6.1 Service Reporting
6.1.1 Service Level Agreements
The Contractor shall provide POCL with a monthly Service Management Report,
which shall be produced within five (5) working days of the calendar month end,
unless agreed otherwise. The Service Management Report shall allow POCL to
monitor the provision of the NBS by the Contractor and achievement of the NBS
Service Levels as set out in Schedule NO8.
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CODIFIED AGREEMENT SCHEDULE Nos RESTRICTED CONTRACTS
The Service Management Report shall report against all measures and targets set out
in Schedule NO8 and further as set out below:
(a) A monthly Report broken down by Diailed Connection and Fixed Connection
showing:
©
Gi)
(iii)
(iv)
®)
the total number of Banking Transactions for which a Request has been
generated:
the total number of Banking Transactions for which an Authorisation is
received ai a Counter Position before the MCWP has expired indicating
that a Bank has accepted or Declined that Banking Transaction;
the total number of Banking Transactions which failed (including MCWP
expiry) inside the POCL Service Infrastructure;
the total number of Banking Transactions which failed (including
MAAWP expiry) outside the POCL Service Infrastructure; and
end to end service completion percentage, being the total number
described in (ii) above expressed as a percentage of the total number
described in (i) above. [NBRO51 ,NBR053]
(b) A monthly Report broken down by Dialled Connection and Fixed Connection
showing:
(ii)
the average Tl (as that expression is defined in paragraph 2.1.2 of
Schedule N08);
the average T2 (as that expression is defined in paragraph 2.1.3 of
Schedule N08);
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CODIFIED AGREEMENT SCHEDULE NOS RESTRICTED CONTRACTS
(iii) the percentage of Banking Transactions where T (as that expression is ;
defined in paragraph 2.1.4 of Schedule NOS) does not exceed the lower of re
the two thresholds specified in paragraph 2.1.7(a) of Schedule NO8; and
(iv) the percentage of Banking Transactions where T does not exceed the e
higher of the two thresholds specified in paragraph 2.1.7(b) of Schedule
NO8.[NBRO055}
7 e
For the purpose of reporting the average T] and average T2 referred to in sub-
paragraphs (b)(i) and (b)(ii) above, only those Banking Transactions for which
an Authorisation is received at a Counter Position before the MCWP has
expired indicating that a Bank has accepted or Declined that Banking
Transaction will be included.
6.1.2. Management Information e
The Contractor shal! provide POCL with the management information reports (each an
“MIS Report”) identified in paragraphs 6.1.2 (a) to (d) of this Schedule NOS in the
form and manner as further detailed in the CCD entitled “Network Banking MIS _@
Reports Design” (NB/SDS/008). The content of the Network Banking MIS Reports
Design CCD (NB/SDS/008) shall be consistent with the MIS Report descriptions set
out in paragraphs 6.1.2 (a) to (d) of this Schedule NO5.
;@
(a) MIS Money Laundering Report
The Contractor shal! produce on a monthly basis a Report listing, by Outlet, the
:@
cash deposit Banking Transactions that exceed the configurable threshold
specified in the CCD entitled “Network Banking MIS Reports Design”
(NB/SDS/008), together with an Outlet summary giving the number and value
of such Banking Transactions. [NBR 434]
(b) MIS. Multiple Transactions Report
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(c)
The Contractor shall produce on a monthly basis a Report giving the number of
Banking Transactions conducted for the same PAN on a calendar day in excess
of the configurable threshold specified in the CCD entitled “Nerwork Banking
MIS Reports Design” (NB/SDS/008), with details of all such Banking
" Transactions sorted by Outlet, PAN and the date on which those Banking
. Transactions occurred. [NBR269]
MIS Transaction Outcome Analysis by Outlet Report
The Contractor shall produce on a weekly basis a Report giving a summary of the
Banking Transactions performed in cach Outlet, by POCL Product and Banking Transaction
outcome, the number and value of Banking Transactions for the previous Accounting Week.
(NBR 258]
(¢)
MIS Bank Analysis Report
The Contractor shall produce on a weekly basis a Report in respect of each
Accounting Week showing for cach Bank, issuer scheme, posting date (the date
from which the relevant Transmission Day Number (as defined in the TIP
Application Interface Specification) is derived), Settlement Date, product type
and value band, the outcome, daily number and value (determined from the
applicable Confirmation) of Banking Transactions harvested in that Accounting
Week. For each of the product types “cash withdrawal”, “cash withdrawal with
to
A
greater than zero that.are less than or equal to £250; and (iii) greater than £250.
Changes to the value bands and/or introduction of additional bands will be
effected through the Change Control Procedure. Both parties agree (but for the
avoidance of doubt without any commitment) that, in the normai course of
business, four weeks would be a reasonable period to allow for the introduction
of a change to a value band.{NBR 258]
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CODIFIED AGREEMENT SCHEDULE NOS RESTRICTED CONTRACTS
6.1.3. The Contractor shall provide POCL with one copy of each MIS Report electronically ’
r
using “Business Objects” software (or such other software as may be agreed by the
parties in writing from time to ume).
6.1.4 The Contractor shall, in the normal course of business, provide POCL with one copy
of each MIS Report within the time limits specified below:
{a) in the case of the Reports specified in paragraphs 6.1.2(a) to (c) no later than 5
working days after the end of the period covered by the Report ; and -@
(b) in the case of the Report referred to in paragraph 6.1.2(d) no later than t
working day after the end of the period covered by the Report.
Where circumstances outside the normal coursé of business ‘impact on the timing of
provision of a MIS Report to POCL then such Report shall be provided to POCL as
soon as reasonably practical after the end of the period covered by the Report. The
Contractor shal! notify POCL as soon as reasonably practicable after becoming aware
of circumstances that will delay preparation or provision of a MIS Report.
6.1.5 In the case of the MIS Reports referred to in paragraphs 6.1.2(a) to (c) information
from any Outlet which is non-polling between the end of the period covered by the
MIS Report and the time when that MIS Report is prepared will not be included in the
MIS Report for that period but will be included in a subsequent reprint of the MIS
Report showing that information, once all the Outlets have been polled. ®
6.2 Service Review Board 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 performance
against NBS Service Levels, and issues and problems escalated to the Servicé
Review Board in the previous period.
6.2.2. 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. e
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6.2.3 A typical agenda for such a meeting may include, without limitation:
a)
b)
c)
d)
e)
i
h)
approval of minutes for previous meeting:
NBS Service Management Report;
highlights of previous period’s NBS statistics, concentrating on failures to meet
required NBS Service Levels, including major issues and problems escalated to
the Service Review Board, NBS Service Level trends and NBS achievements;
explanation of unresolved issues and problems and, in particular, any matters
still outstanding;
review of the on-going actions, such as fault correction, agreed NBS changes
and any POCE related work;
suggestions for improvements to the NBS;
advance notification of major changes and new work (including LIN take-on or
take-off}, and review of the impact these may have on the NBS; and/or
capacity management issues and changes.
6.2.4 POCL shall keep a record of these meetings and shall distribute the record to the
Contractor.
6.3 Outlet Problem Management
6.3.1 If for any Outlet having:
(a)
(b)
a Fixed Connection the average value of T (as that expression is defined in
paragraph 2.1.4 of Schedule N08) calculated over a calendar month (ia which
100 or more Banking Transactions have been carried out in that Outlet using
that Fixed Connection) exceeds 8 seconds; or
a Dialled Connection the average value of T calculated over a calendar month
(in which 100 or more Banking Transactions have been carriéd out in that
Outlet using that Dialled Connection) exceeds 16 seconds,
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73
then that Outlet shal! be dealt with through the problem management procedures
used for the Existing Services.
if the causes of one or more Outlets being identified and declared as problems under
paragraph 6.3.1 above are found, after investigation, to be the same then that group of
Outlets will be treated as a single problem.
SERVICE INTERFACE TO OTHER DOMAINS
POCL shall propose .a description of the operational procedures around the
NBE/POCL Service Infrastructure boundary including (but not limited to) exception
reporting and escalation points to be agreed by the parties (such agreement not to be
unreasonably withheld) and documented by POCL in a Working Document entitled
“NBE Operational Level Agreement”.
The Contractor shall be entitled to close down,,so they are not available for use, the
communication links between a single Data Centre and the NBE (but not between
both Data Centres and the NBE, save as provided in the remainder of this paragraph
7) for the purposes of maintenance, support, upgrade, repair or replacement of any
equipment used to provide or support those links. The Contractor shail not carry out
scheduled maintenance during the Core Hours in respect of any components of the
Data Centres which provide on-line service.
The Contractor shall be entitled (such entitlement being without prejudice to any
tights or remedies of POCL in respect of a Default by the Contractor) to close down
the link or restrict or prevent communications (in respect of all or certain types of
data) between Data Centres and the NBE if (and only if) the Contractor reasonably
believes that:
(a) unless such action is taken there is a material msk that the security of the POCL
Services or the POCL Service Infrastructure will be materially compromised;
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74
(0)
(c)
(a)
data originating from the NBE would, if such action is not taken, cause the
POCL Services or the POCL Service Infrastructure to be materially impaired or
degraded;
data originating from the POCL Service Infrastructure would, if such action is
not taken, cause the NBE or End to End Banking to be materially impaired or
degraded; or
as a result of an actual or suspected serious failure within End to End Banking,
there is a material risk that. Banking Transactions might be incorrectly
Authorised or otherwise carried out in error. [NBR588]
Within one working day of the Contractor closing down the interface between the
Data Centres and the NBE in accordance with paragraph 7.3 of this Schedule NO5,
the Contractor shall provide POCL with a written report explaining:
{a)
(b)
why that action was necessary; and
if the interface remains closed at the time of provision of such report, what
further actions are required by the Contractor, POCL, Banks and POCL’s third-
party suppliers to reinstate the interface and proposals to prevent recurrence of
the need to close the interface.
POCL and the Contractor shall agree:
(a)
(b)
the detailed criteria and procedures’ (including those in respect of the
circumstances set out in paragraphs 7.3 and 7.4 of this Schedule NO5); and
the procedures for closure of links described in paragraph 7.2 of this Schedule
NOS,
which shail be followed pnor to and following the event of such closure including (in
respect of paragraph 7.3 only). the commercial consequences (if any) and the
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consequences for the operation of the NBS. Such criteria and procedures shall be e
agreed by the partics and shall be documented in the appropriate CCD (by the ‘
Contractor) prior to commencement of the NB Pilot (Soft Launch).
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GRO I
26 JUN 2002
AGREEMENT SCHEDULE NO6 RESTRICTED CONTRACTS
SCHEDULE N06 - NBS AND PIN PAD IMPLEMENTATION SERVICE
TERMINATION
Version Reason for Change Frozen/issue
Reference date
4.0 New Schedule to introduce Network 19/06/02
Banking Service
1. INTRODUCTION
This Schedule covers the responsibilities and payments related to termination of
4
the NBS and the PIN Pad Implementation Service (whether terminated together
as discrete services or as part of an overall termination of this Codified
Agreement). Termination of the NB/PIN Pad Services includes:
(a) termination of the NB/PIN Pad Services prior to the occurrence of NBS
Acceptance; :
{b) termination of the NB/PIN Pad Services (together with all other POCL
Services) after the occurrence of NBS Acceptance, with or without
Contractor Default, before expiry of the Co: d Agreement; and
(c) termination of the NB/PIN Pad Services at expiry of the Codified
Agreement.
In the event of any of the termination conditions set out in paragraph 1.1 of this
Schedule N06 occurring, POCL may seek to continue to obtain services
equivalent to the NBS and the PLN. Pad Implementation Service, either by
performing it itself or by means of a replacement contractor.
Where POCL intends to continue to obtain services equivalent to the NBS and
the PIN Pad Implementation Service after termination of this Codified
Agreement, either by performing the service itself or by means of a replacement
contractor, the Contractor shall, save in the event of the termination condition set
out in paragraph I.1(a) of this Schedule NO6, use all reasonable’ endeavours to
ensure the smooth transition of the NBS and the PIN Pad Implementation
Service and co-operate with POCL or. the replacement contractor.as required in
order to fulfil the Contractor’s 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 the Codified Agreement.
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Where the Contractor has an identical obligation under this Schedule and under
Schedule A0Q7, the Contractor shal] be obliged to perform that obligation once
only and to the extent the Contractor’s performance of that obligation relates:
(a) to POCL Services other than the NBS and the PIN Pad Implementation
Service, such performance shall be deemed to have taken piace under
Schedule A07; and
(b) to the NBS or the PIN Pad Implementation Service, such performance
shall be deemed to have taken place under this Schedule N06.
Notwithstanding any other provision of this Schedule N06 to the contrary, in the
event the termination condition described in paragraph 1.1(a) arises, the
Contractor's obligatiotis to perform the Network Banking Transfer Services after
such termination shall be limited:
(a). to providing the services set out in paragraph 4.1 of this Schedule N06 to
the extent applicable (in respect of any POCL Data or other data held by
the Contractor) to the NBS (including, without limitation, records of
Banking Transactions relating to any period of the NB Pilot (Soft
Launch) which may have been carried out); and
(b) to providing the service described in paragraph 4.2.1(a) of this Schedule
NO6 for the purpose only of identifying any Project Assets used
specifically for the NBS or the PEN Pad Implementation Service which
are capable of being transferred without significant impact or significant
disruption to any other POCL Services; and
(c) provided that POCL exercises its option to acquire the NB/PIN Pad
Service specific Project Assets pursuant to Clause 905.6, to providing the
services described in paragraphs 4.2.2 and 4.2.3 of this Schedule N06,
SERVICES REQUIRED ON TERMINATION
General
On notice of termination of the Codified Agreement or the NB/PIN Pad Services
(as the case may be) the Contractor shall perform the services identified in
paragraph 4 of this Schedule N06
If notice is given under paragraph 1.4 of this Schedule N06, the Contractor shall,
in addition to the services identified in paragraph 4 of this Schedule N06,
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 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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The Charges for the Network Banking Transfer Services shall be as set out in
Schedule Al2. These Charges shall be paid by POCL in addition to the NBS
Termination Charge and NBS Transfer Payment as set out in this Schedule NO6.
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 NO6, POCL and the
Contractor shall enter into good faith negotiations to identify and specify any
training requirements related to such transfers.
The purpose of such training shall be to enable appropriately qualified staff in
POCL or a replacement contractor to adopt, integrate and utilise the data and
assets transferred to deliver equivalent services to the NBS and the PIN Pad
Implementation Service being delivered under this Codified Agreement,
The Contractor shall produce within one month of notice of termination of the
Codified Agreement (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); and
(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 to obtain delivery of services equivalent to the
NBS and/or the PIN Pad Implementation Service after termination of the
Codified Agreement, either by performing those services itself or by means of a
replacement contractor, the Contractor shall use all reasonable endeavours to
ensure the smooth transition from the NBS and the PIN Pad Implementation
Service to such equivalent services
The Contractor shall, within one month of notification of the intent to continue
to obtain delivery of services equivalent to the NBS and/or the PIN Pad
implementation Service, provide 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;
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(iii) assumptions;
(iv) activities; and
(v) _ responsibitities.
(b) Interfaces definition
A detailed specification of the interfaces between the NBS provided by
the Contractor, and between each POCL Service and the POCL Service
Environment. This specification shall be sufficient as regards interfaces
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. :
NBS TERMINATION CHARGE
The NBS Termination Charge is intended to represent a contractual good faith
recognition of the loss of revenues that the Contractor may reasonably have
planned for in establishing the NBS, the PIN Pad Implementation Service and
supporting infrastructure.
Where a NBS Termination Charge is payable to the Contractor following
termination of the NB/PIN Pad Services prior to the occurrence of NBS
Acceptance, POCL shall pay to the Contractor a sum equal to V+W.
where:
(a) V shall be:
(i) £16,007,153.00 (being the total of the Charges to POCL set out in
paragraphs 17.6, 20.1, 20.2, 24.1.1 and 24.2.1 of Schedule A12);
plus
(ii) if POCL gives notice to increase the number of PIN Pads or
Paypoles to be procured by the Contractor, any additional Charges
in respect of that increase (whether or not due for payment)
calculated in accordance with paragraphs 24.1.2, 24.1.3, 24.2.2
and/or 24.2.3 of Schedule Al2 (as applicable); plus
(iii) if POCL gives Phase 2 Notice pursuant to paragraph 12.2 of
Schedule NO1, the additional Charges (whether or not due for
payment) set out in Schedule A12, paragraph 20.3 (a) or 20.3(b) (as
applicable),
@, (ii) and (iii) above being together referred to as the “Fixed Item
Charges”); iess
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4.1
(b)
(c)
(d)
(e)
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(iv) an amount equal to the aggregate of all payments received by the
Contractor prior to the date of termination in relation to the Fixed
Item Charges; and less
{v) an amount equal to such future Fixed Item Charges as the
Contractor is reasonably able to avoid or mitigate as a result of the
early termination;
W shall be an amount equal to the aggregate of all costs to the Contractor
associated with the termination or transfer of the NBS and the PIN Pad
Implementation Service, including but not limited to (the extent related to
the NBS or the PIN Pad Implementation Service) closure of Contractor's
facilities and termination of contracts relating to its personnel, plus any
termination charges payable to suppliers and sub-contractors (the
Contractor being required to mitigate such exposure);
X shall be a sum cqual to the aggregate charges calculated in accordance
with paragraph 18.1 of Schedule A12, with any discounts applied in
accordance with paragraph 18.6 of Schedule Al2, but without deduction
of any sums which POCL is entitled to retain in accordance with
paragraph 18.2 of Schedule Al2, for T&M Work carried out up to and
including the date of termination less an amount equal to the aggregate of
all payments received by the Contractor in respect of such T&M Work;
Y shail be an amount equal to the NB Monthly Operating Fee for the
calendar month in which the date of termination occurs reduced pro-rata
by an amount reflecting the remaining portion of that month following
the date of termination (the “Residual Operating Period”); and
Z shall be the sum of £4,000,000.00 (four million pounds).
Where a NBS Termination Charge is payable to the Contractor following
termination or expiry of the Codified Agreement after the occurrence of NBS.
Acceptance, POCL shall pay to the Contractor a sum equal to V+ W+X+Y+Z,
where:
(a)
(b)
V, W, X and Y shall be as set out in paragraph 3.2 above; and
Z shall be an allowance for lost profit, equal to 15% of B, where B
represents the aggregate of:
qQ) the amount of the NB Monthly Operating Fee which relates to the
Residual Operating Period; and
(ii) each subsequent NB Monthly Operating Fee.
SERVICES ON TERMINATION
Transfer of data
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On notice of termination of the NB/PIN Pad Services or the Codified Agreement
(as the case may be) the Contractor shall, within one month, deliver to POCL:
(a) an inventory of the POCL Data arising from the operation of or related to
the NBS, plus any other NBS related data available for transfer or
deletion;
(b) a data structure definition covering all such data availabie for transfer or
deletion;
(c) a proposed physical transfer method and method of deletion; and
(d) a proposed method for testing the integrity and completeness of the data ©
transferred and the completeness of the data deleted.
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
and deletion proposals as described in paragraph 4.1.1 above, POCL shall notify
the Contractor of the data it wishes to be transferred or deleted, and POCL and
the Contractor shall enter good faith discussions to develop a data transfer plan.
No later than five months afier the date of notice of termination of the NB/PIN
Pad Services or 3 months after agreement of the data transfer and deletion plan,
whichever is later, the Contractor and POCL shall co-operate in commencing
testing and proving the data transfer and deletion plan, such that transfer may be
concluded in accordance with the agreed plan. Once the transfer of POCL Data
to POCL in accordance with this paragraph is complete, all remaining POCL
Data to which this paragraph 4.1 applies held by the Contractor shall be
destroyed. For the purpose of this paragraph “destroyed” means physical
destruction of the media upon which such data are held or irretrievable deletion
of data from such media (including, without limitation, by reformatting those
media).
Transfer of assets
On notice of termination of the NB/P{N Pad Services or Codified Agreement (as
the case may be) 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 Clauses
903.1 or 905.6 (as applicable), and the terms for such transfer in
accordance with paragraph 4.3 of this Schedule;
such list to include, if notice of termination of the Codified Agreement has been
given (but not if notice of termination of the NB/Pin Pad Services only has been
(b) a list identifying al! 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 the NBS or the PIN Pad Implementation
Service. The purpose of each asset shall be included in the list.
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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 shalt co-operate in transferring the assets in
accordance with the plan developed under paragraph 4.2.2 above.
NBS Transfer Payment
In the event of termination of the Codified Agreement or the NB/PIN Pad
Services:
(a) in circumstances in which a NBS Termination Charge is payable then
should POCL wish to exercise its option under Clauses 903.1 or 905.6 (as
applicabie) the NBS Transfer Payment shall be £1; and
(b) in all other cases should POCL wish to exercise its option under Clauses
903.1 or 905.6 (as applicable) to acquire NB/PIN Pad Service Project
Assets the NBS Transfer Payment shal] be a sum equivalent to the total
charges to POCL as set out in Schedule Al2 (or relevant portion thereof)
for the NBS Project Assets to be transferred less:
(i) an amount equal to the aggregate of all payments received by the
Contractor prior to the date of termination for those NBS Project
Assets; and
(ii) an amount equal to such future charges for those NBS Project
Assets (as set out in Schedule Al2 or the relevant portion thereof)
as the Contractor is reasonably able to avoid or mitigate as a result
of the early termination,
save that where the resulting figure is less than £1 then the NBS Transfer
Payment shal! be £1.
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26 JUN 2002
CODIFIED AGREEMENT SCHEDULE NOS ___- RESTRICTED CONTRACTS
SCHEDULE N08 - NBS SERVICE LEVELS AND REMEDIES
Version Reason for Change Frozen/issue H
Reference i date
4.0 New Schedule to introduce the Network Banking I 19/06/02
Service
1. NBS SERVICE LEVEL PRINCIPLES
Lt This Schedule specifies the Service Levels and the performance measurements
required in respect of them for the NBS
1.2 For the purposes of this Schedule N08:
“Availability Period’ means, if the Initial Period expires between 1 April 2003 and
31 March 2004, each of the following two periods:
(a) the period between the day after expiry of the Initial Period and 31 March 2004
(inclusive); and
(b) the period between 1 April 2004 and 31 March 2005 (inclusive), or
if the Initial Period expires between 1 April 2004 and 31 March 2005, the period
between the day after expiry of the Initial Period and 31 March 2005 (inclusive);
“Central NB System” means the elements of the NB System which enable on-line
Banking Transactions to be carried out, excluding all:
{a) such elements in Outlets (or other POCL locations where the NBS is available);
(b} network components between each Outlet (or other POCL location where the
NBS is available) and the Data Centres; and
(c) network components between the Data Centres and the NBE;
“Congestion Measure” means the proportion (expressed as a percentage) of the total
time each day that Outlets are scheduled to have Fixed Connections established
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pursuant to paragraph 2.6 of Schedule NOI (calculated by adding together the periods
of Fixed Connection time scheduled in each Outlet, and then totalled for all Outlets)
that Dial Round Connections are established instead;
“Core NB System Fault” means a fault in the Central NB System which causes the
NBS not to be available in any one or more Outlets for the period that fault persists;
“Counter Processing Time Components” means a system component of a Banking
Transaction which occurs prior to the generation of a Request or afier receipt at the
Authorisation;
Counter Position of the correspond
“Customer Critical Exception” means a Priority Exception in respect of which the
Contractor has received a Disputed Banking Transaction Notice;
“Dial Round Connection” means a metered network connection to an Outlet
established when a Fixed Connection cannot be established due to network
congestion;
“Non Core Hours” means all hours which are not Core Hours.
The Service Levels described in this Schedule NOS relate to the performance of the
NBS within the NBS Service Boundaries as measured at the points and/or in the
manner described in this Schedule.
During the: Initial Period, the Contractor's obligations in respect of the Minimum
Acceptable Thresholds and Termination Review Thresholds set out in paragraphs 2.1
to 2.4 (inclusive) of this Schedule N08 shall be limited to using reasonable
endeavours to achieve those thresholds and reporting the Contractor’s performance
against those thresholds in accordance with paragraph 6.1.1 of Schedule NOS. POCL .
shall not be entitled to liquidated damages or any other right or remedy provided for
under this Codified Agreement in respect of any failure by the Contractor to achieve
those Minimum Acceptable Thresholds or Termination Review Thresholds during
the Initia! Period, and the Contractor’s performance in respect of those thresholds
during the Initial Period shall be disregarded for the purposes of assessment of
liquidated damages and any other rights or remedies provided for under this Codified
Agreement which may be due to POCL after that period. For the avoidance of doubt,
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other than as specifically set out in this paragraph 1.4, nothing in this paragraph 1.4
shall operate to restrict POCL’s rights in the event of any failure by the Contractor to
meet its obligations under this Codified Agreement during the Initial Period.
1.5 All calculations (including percentages and averages) upon which the Minimum
Acceptable Thresholds, Termination Review Thresholds or other targets in this
Schedule are based shall be calculated, and the Contractor's performance assessed,
for the relevant Service Level Measurement Period or Availability Period as a whole.
Without prejudice to that calculation and assessment, the Contractor’s performance
against the Service Levels in this Schedule NO8 shail be reported monthly for service
monitoring purposes in the Service Management Report.
1.6 Congestion Measure
1.6.1 For the purposes of assessing whether the Contractor shall have achieved the
Minimum Acceptable Thresholds and Termination Review Thresholds set out in
paragraphs 2.1 and 2.3 of this Schedule NOS:
(a) the performance measurements in respect of those thresholds (“Threshold
Measurements”) for each day upon which the Congestion Measure exceeds
10% (each a “CM Day”) shall be disregarded; and
(b) in respect of each CM Day which follows after the occurrence of 13 of the
same days of the week upon which the Congestion Measure shali have been
less than or equal to 10%:
() the average Threshold Measurement for those 13 days shall be used
instead of the actual Threshold Measurements on that CM Day, and
thereafter
(ii) for each subsequent CM Day which falls on the same day of the
week, the average Threshold Measurement for the 13 most recent
days, which are the same day of the week, upon which either:
° the Congestion Measure was less than or equal to 10%. or
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1.6.4
. the actual Threshold Measurements have been repiaced with
average Threshold Measurements in accordance with (i)
above,
shall be used instead of the actual Threshold Measurements
disregarded on that CM Day.
If the condition for replacement of the actual Threshold Measurements on a CM Day
by an average measure as set out in paragraph 1.6.1(b) of this Schedule N08 is not
satisfied, then the actual Threshold Measurements for each such CM Day shall be
disregarded in accordance with paragraph 1.6.1(a) without replacement by an average
value.
If, in any Service Level Measurement Period, more than 30 CM Days occur upon
which the condition for replacement of the actual Threshold Measurements on that
CM Day by an average measure as set out in paragraph 1.6.1(b) of this Schedule NOS
is not satisfied, the Contractor shall not be obliged to achieve any Minimum
Acceptable Threshold, Termination Review Threshold or other targets set out in
paragraph 2.1 and 2.3 of this Schedule NO8 during that Service Level Measurement
Period.
For the purpose of the reports referred to in paragraph 1.5 of this Schedule N08 in
respect of the Service Levels and targets referred to in paragraphs 2.1 and 2.3 of this
Schedule N08, the Contractor shall report:
{a) the relevant averages and/or percentages based upon actual service
measurements; and
(b) the actual Congestion Measure for each day that the Congestion Measuré
exceeded 10%.
The adjustments required to reflect the replacement of actual measurements on CM
Days with average measures in accordance with paragraph 1.6.1(b) shall be made at
the end of each Service Level Measurement Period and reflected in the report for that
period,
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1.7 Not used.
Lg The architecture of the NB System shail be capable of supporting Banking
Transactions (in accordance with applicable Service Levels) carried out in each
Outlet during the hours that Outlet is-actually open for business, except during the
period from 2000 to 0800 each 24 hour period when Banking Transactions shall not
be able to be carried out in Outlets due to system management activities (including
‘the introduction of major Releases in accordance with paragraph 5.3.3 of Schedule
GOL, activities in support of software distribution, continuity tests and Reference
Data update and such other activities as the parties may agree). Such periods shall be
scheduled by agreement with POCL in accordance with current practices used in
respect of the Existing Services, such agreement not to be unreasonably withheld.
19 Not used
1.10 This Schedule sets out five categories of performance measures:
(a) Request and Authorisation transmission time measures;
(b) NBS availability measures; . ‘
(c) NBS reliability measures;
(d) Data Reconciliation Service measures; and
(e) Banking Transaction processing times.
2. PERFORMANCE MEASURES
2.1 Request and Authorisation transmission times
2.1.1 Banking Transactions referred to in this paragraph 2.! shail be those for which a
Request is generated and a corresponding Authorisation is received from the NBE
before the earliest of:
(a) the MCWP has expired;
(b) the Banking Transaction is Declined; and
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CODIFIED AGREEMENT SCHEDULE NOS RESTRICTED CONTRACTS
i
ey
(c) the Banking Transaction fails,
and no other Banking Transactions shall be included in the calculation set out in
paragraph 2.1.4.
For each Banking Transaction the Contractor shall record the time (for the purposes
of this paragraph 2.1 referred to as "T1") which elapses between the Request being
generated at the relevant automated Counter Position, and the corresponding
Authorisation being received back at that Counter Position.
For each Banking Transaction the Contractor shall record the time (for the purposes
of this paragraph 2.1 referred to as "T2") which elapses between the Authorisation
Agent generating each Request for routing to the NBE ‘and the corresponding
Authorisation being received back from the NBE by the Authorisation Agent,
The Contractor shall calculate a value for. ““T” for each Banking Transaction as
follows:
T=TI-T2.
The Minimum Acceptable Threshold is that:
(a) the average T (“FixedT,ye”) for all Banking Transactions conducted in Outlets
using Fixed Connections taken together, for the periods such Fixed
Connections are scheduled to be established, shall not exceed 4 seconds; and
(b) the average T (“DialledT,.-”) for all Banking Transactions conducted in
Outlets using Dialled Connections taken together, for the periods in which such
Diailed Connections are scheduled to be used, shall not exceed 8 seconds.
The Termination Review Threshold is that:
(a) FixedT,,. for all Banking Transactions conducted in Outlets using Fixed
Connections taken together, for the periods such Fixed Connections . are
scheduled.to be established, shall not exceed § seconds;
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(b) DialledT,,. for all Banking Transactions conducted in Outlets using Dialled
Connections taken together, for the periods in which such Dialled Connections
are scheduled to be used, shall not exceed 12 seconds.
2.1.7 The Contractor shall use reasonable endeavours to ensure that for:
(a) 95% of Banking Transactions conducted in Outlets:
. Using Fixed Connections taken together, for the periods such Fixed
Connections are scheduled to be established, T shall not exceed $
seconds; and
. Using Dialled Connections taken together, for the periods in which such
Dialled Connections are scheduled to be used, T shall not exceed 12
seconds.
(b) 99% of Banking Transactions conducted in Outlets:
. Using Fixed Connections iaken together, for the periods such Fixed
Connections are scheduled to be established, T shall not exceed 15
seconds; and
. Using Dialled Connections taken together, for the periods in which such
Dialled Connections are scheduled to be used, T shall not exceed 20
seconds.
The targets in this paragraph 2.1.7 are not a Minimum Acceptable Threshold or
Termination Review Threshold and there are no remedies provided for in this
Codified Agreement applicable in the event of fuilure to achieve them.
2.2 NBS availability measures
Central Systems Availability
2.2.1. Subject to paragraph 2.2.2, the Contractor shail record and/or calculate the following:
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(a) The number of Core NB System Faults which causes the NBS’ not to be
available in more than 20% of all Outlets:
(b) In respect of each Core NB System Fault, the average period of time (“Average
Outlet Outage”) that the NBS is aot available in an Outlet affected by that Core
NB System Fault, as follows:
Average Outlet Outage = A multiplied by B, where:
A = the period, excluding the first five minutes, that a Core NB System Fault
causes the NBS not to be available in any one or more Outlets;
B = the number of Outlets where the NBS is not available as a result of that
Core NB System Fault expressed as a proportion of the total number of Outlets.
For the purposes of the recording and/or calculations referred to in paragraph 2.2.1 of
this Schedule NO8 which are to be used for the purposes of paragraph 2.2.3 of this
Schedule NO8:
(a) Core NB System Faults that cause the NBS not to be available for 5 minutes or
less; and
(b) ail non-availability of the NBS due to any of the system management activities
referred to in paragraph 1.8 of this schedule NOS or to any other system
changes agreed by the parties,
shall be excluded, and
(c) Outlets referred to in paragraph 2.2.1 of this Schedule NO8 are those Outlets
where the NBS is requi
Schedule NO1.
d to be available in accordance with paragraph 2.3 of
The Minimum Acceptable Threshold (“MAT”) in respect of each Availability Period
is dependent upon the duration of that period.
(a) If the Availability Period is between 6 and 12 months duration the following
table shall apply:
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I Service Level Measure
MAT for Core
MAT for Non
not exceed:
Hours Core Hours
The number of Core NB System Faults I 6 24 I
I which causes the NBS not to be available in {
more than 20% of all Outlets shall not
exceed:
L
The aggregate Average Outlet Outage shall I 3 hours 24 hours
(b) If the Availability Period is up to 6 months duration the following table shall
apply:
Service Level Measure MAT for Core) MAT for Non
Hours Core Hours
The number of Core NB System Fauits I 3 12
which causes the NBS not to be available in
more than 20% of all Outlets shall not I
exceed:
The aggregate Average Outlet Outage shallI 1.5 hours 12 hours I
not exceed:
Network Availability
The Contractor shall measure the time that each of the following elements of the
NBS communications network is available to support the NBS as a proportion of the
total time in each Availability Period (“Network Availability”):
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{a} The network communications between the Data Centres and the switches used
an
by the Contractor (or Contractor's sub-contractor which operates that network)
to answer ISDN calls from Outlets (the “Central Network’’); and
(b) The network communication links between the Data Centres and the NBE (the
“NBE Network”).
For the purposes of measuring the time that the NBE Network is available, periods
when that network is closed down pursuant to paragraph 7 of Schedule NOS or by
agreement of the parties shal! be excluded.
The Minimum Acceptable Threshold for the Central Network in each Availability
Period is that:
. Network Availability shall be greater than or equal to 99.95%.
2.2.6
The Minimum Acceptable Threshold for the NBE Network in each Availability
Period is that:
. Network Availability shall be greater than or equal to 99.95%.
2.3 NBS reliability measures
2.3.1 For the purposes of this paragraph 2.3 and paragraph 3 of this Schedule N08,
"Reliability" means the percentage of all Requests written to the iocal message store
at a Counter Position for which a corresponding Authorisation indicating no failure
has occurred in the POCL Service Infrastructure is received at that Counter Position
before the MCWP has expired.
2.3.2. The Contractor shall calculate Reliability.
2.3.3. The Minimum Acceptable Threshoid is that:
. For Outlets using Fixed Connections taken together, for the periods such Fixed
Connections are scheduled to be established, Reliability shal! not be fess than
99.00%; and
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2.4
For Outlets using Dialled Connections taken together, for the periods in which
such Dialled Connections are scheduled to be used, Reliability shall not be less
than 97.00%.
The Termination Review Threshold is that:
For Outlets using Fixed Connections taken together, for the periods such Fixed
Connections are scheduled to be established, Reliability shall not be less than
95.00%; and
For Outlets using Dialled Connections taken together, for the periods in which
such Dialled Connections are scheduled to be used, Reliability shal! not be less
than 90.00%.
Data Reconciliation Service measures
The Contractor shall measure the time taken to resolve each Priority Exception,
counting time within MSU Days only, as follows:
(a)
(b)
(c)
Where no Disputed Banking Transaction Notice has been received by the
Contractor and a Banking Transaction persists in system state category number
4 or 12 as set out in the CCD entitled “Nerwork Banking End to End
Reconciliation Reporting’ (CS/SPE/0/1), such measurement shall commence
at 0800 on the second MSU Day following receipt by the DRSH of the
corresponding C4 Confirmation or D Message (as applicable).
Where a Disputed Banking Transaction Notice is received by the Contractor
and a corresponding C4 Confirmation or D Message has been received by the
DRSH prior to the day of receipt of that Disputed Banking Transaction Notice,
such measurement shall commence at the time of receipt of the Disputed
Banking Transaction Notice (but not if already commenced in accordance with
(a) above, in which case (a) shall apply).
Where a Disputed Banking Transaction Notice is received by the Contractor
and a corresponding C4 Confirmation or D Message is received by the DRSH
on the same day as that Disputed Banking Transaction Notice or on a
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subsequent: day, such measurement shall commence at 0800 on the next MSU
Day following receipt of that C4 Confirmation or D Message (as applicable).
In each case above the Priority Exception shall be deemed resolved and measurement
shall stop at the time the Contractor sends information to POCL sufficient to enable
POCL to settle that exception with the relevant Bank, as described in the CCD
entitled “Network Banking Reconciliation and Incident Management”
(NB/PRO/002).
In respect of each Prionty Exception where the Contractor requires:
(a) information from, or access to an Outlet; or
(b) information from the NBE,
for that exception to be resolved, the following shall not count towards the time for
resolution of that exception:
(c) the period, if any, during which the Contractor is unable to contact (by
telephone or other method agreed by the parties) the Outlet in question or the
NBE in order to request that information or access, provided that the
Contractor has used reasonable endeavours to make such contact; and
(d) the period, if any, whilst the Contractor waits for that information or access to
be provided by the Outlet in question or the NBE, having requested it, provided
that the Contractor has repeated such request at reasonably frequent intervals.
The discounting of the periods described in (c) and (d) above shall be subject to the
Contractor providing reports to POCL setting out the reasons for discounting any
such periods from the resolution time for a Priority Exception and the duration of
such periods.
In respect of each Disputed Banking Transaction Notice, the Contractor shall
continue to check on each MSU Day following that notice whether a corresponding
C4 Confirmation or D Message has been received until either a Customer Critical
Exception arises and is reso!ved or the Contractor and POCL agree alternative action.
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2.4.4 Por the purposes of paragraph 2.4 of this Schedule NO8:
(a) “day” means a period running for 24 hours from 00:00; and
(b) a C4 Confirmation or D Message received on a day by the DRSH after 21:30
on that day shall be deemed to have been received the next day.
2.4.5 The Minimum Acceptable Threshold set out in paragraph 2.4.6 of this Schedule NO8
shall apply in respect of:
(a) all Customer Critical Exceptions; and
(b) the first 500 Priority Exceptions (other than Customer Critical Exceptions)
* gecurring on each day (excluding those described in (c) below),
but shall not apply in respect of:
(c) Priority Exceptions (other than Customer Critical Exceptions) arising from a
common cause, in each case where the number of Priority Exceptions arising
from such common cause is greater than 100.
2.4.6 The Minimum Acceptable Threshold is that:
. the resolution time (measured in accordance with paragraphs 2.4.1 and 2.4.2
of this Schedule NO8) for 95% of the Priority Exceptions specified in
paragraph 2.4.5 of this Schedule NOS shall not exceed § hours.
2.5 Banking Transaction processing times
2.5.1 For the purpose of establishing preliminary target times, POCL and the Contractor ‘
have agreed a single target time (“Initial Target Time”) for the sum of the Counter
Processing Time Components for each type of Banking Transaction and for each
such type using each applicable method of Customer Verification (PIN entry and
signature comparison).
2.5.2 The Initial Target Times and the basis upon which-those times have been assessed are
set out in the Annex to this Schedule NO8. In particular (but without limitation), the
parties acknowledge and agree that the {nitial Target Times are based upon the
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Banking Transaction activity and screen flows set out in the document entitled
“Network Banking Counter Dialogue — Activity and Screen Flows” (NB/SPE/003)
version 0.8, dated 6 March 2002.
The Contractor shall review the Initial Target Times and provide POCL with
revisions. to them, to the extent such revisions are necessary to reflect changes made
to the document referred to in paragraph 2.5.2 of this Schedule NO8 in order for that
document to be introduced as a CCD. Such revisions shali be consistent with the
basis of assessment of the Initial Target Times (as described in paragraph 2 of the
Annex to this Schedule N08) and shali be provided to POCL at least 12 weeks before
commencement of NB Pilot (Soft Launch) in the form of a draft CCD to be entitled
“NBS Counter Transaction Times for Release B{3". Once that CCD has been agreed
under the Change Control Procedure, the Initial Target Times as revised in that CCD
shall be the “Target Times”.
Neither the Initial Target Times nor the Target Times shall be Minimum Acceptable
Thresholds or Termination Review Thresholds.
Not used.
When required to be measured in accordance with paragraph 2.5.7, the actual time
taken by the Counter Processing Time Components for each type of Banking
Transaction shall be measured by the Contractor in accordance with the CCD entitled
“Counter Transaction Performance Measurement and Benchmarking”. and added
together (the “Benchmark Times”), for comparison with the corresponding Target
Times. The CCD entitled “Counter Transaction Performance Measurement and
Benchmarking” (CS/PRP/001) shail be updated by the Contractor to include NBS
elements at least 12 weeks before commencement of NB Pilot (Soft Launch).
The Benchmark Times shall be measured for the purposes of the NBS Acceptance
Procedure during the NB Pilot (Soft Launch). The Benchmark Times shall be te-
measured as soon as reasonably practicable after deployment of each major NBS
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Release (other than the Reiease deployed following achievement of NBS
Acceptance).
If upon re-measurement of the Benchmark Times in accordance with paragraph 2.5.7
of this Schedule NO8 any of the Benchmark Times exceeds its corresponding Target
Time (cach a “Benchmark Time Failure”), the following provisions shall apply:
(a)
()
(¢)
POCL and the Contractor shall agree (such agreement not to be unreasonably
withheld) a method of rectification, including a timetable (a “NB Rectification
Plan”) for each Benchmark Time Failure. [f that NB Rectification Plan
requires changes to be made to the provisions of the Codified Agreement or
any CCD, such changes shail be made pursuant to the Change Control
Procedure. Any changes to the NB System or the NBS required to rectify
Benchmark Time Failures shall be made at no charge to POCL.
Each Benchmark Time Failure shall not be a Default unless within 90 days
after the occurrence of that Benchmark Time Failure the parties have failed to
reach agreement upon a NB Rectification Plan and the Benchrnark Time
Failure has not been rectified by the Contractor, in which case that Benchmark
Time Failure shali become a Default upon expiry of that 90 day period.
A failure by the Contractor to comply with a Rectification Plan shall be a
Default.
REMEDIES
Liquidated Damages
The liquidated damages payable by the Contractor shall be based on a series of
measurements, accumulated over a range of Services. This Schedule ‘specifies the
contribution made by the NBS.
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In respect of each Service Level Measurement Period the liquidated damages payable
by the Contractor under this Schedule NO8 shall equal the sum of Remedies(Time)
and Remedies(Reliability) for that period.
In respect of each Availability Period the liquidated damages payable by ihe
Contractor under this Schedule NO8 shall equal the sum of Remedies(Availability1)
and Remedies(Availability2) for that period.
In addition to the sums referred to in paragraphs 3.1.2 and 3.1.3 of this Schedule NO8&
the Contractor shall also pay liquidated damages calculated as set out in paragraph
3.7 of this Scheduie NO8.
The total cumulative sums payable by the Contractor under this paragraph 3 of this
Schedule NOS for the period to 31st March 2005 shali not exceed £3,000,000 (three
million pounds) and the aggregate limit on the Contractor’s liability set out in Clause
$10.2.3 shall apply to any sums paid by the Contractor under this paragraph 3 of this
Schedule NO$.
Liquiidated damages shall never be payable by POCL under this Schedule N08 and if
the result of a calculation under paragraphs 3.1.2, 3.1.3 or 3.7.1 is negative, the
Contractor shall not be obliged to pay liquidated damages in respect of that Service
Level Measurement Period or Availability Period (as the case may be) and the
negative sum shall be disregarded and not set off against liquidated damages payable
by the contractor in respect of future Service Level Measurement Periods or
Availability Periods.
The amount of £2,000 used in the formula set out at paragraph 3.4.1(0) of this
Schedule NO8 shall be subject to annual indexation from May 2002. The basis for
this indexation shall be the Retail Price Index.
Definitions
In this paragraph 3 of this Schedule NOS, the following expressions. shail have the
following meanings:
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FixedT(NBS)
DiailedT(NBS)
FixedC(NBS)
DialiedC(NBS)
Reliability (Dialled)
Reliability (Fixed)
The total number of Banking Transactions carried out using
a Fixed Connection in the relevant’ Service Level
Measurement Period.
The total number of Banking Transactions carried out using
a Dialled Connection in the relevant Service Level
Measurement Period.
FixedT(NBS) multiplied by the lesser of :
*(i).4; and
(ii) (FixedT ae - 4).
DialledT(NBS) multiplied by the lesser of
(i) 4; and
(ii) (DialledT ay. - 8).
£0.007 multiplied by (Retail Price Index for the May prior to
the relevant Service Level Measurement Period divided by
Retail Price Index for May 1996)
Reliability in Outlets using Dialled Connections taken
together, for the periods such Dialled Connections are
scheduled to be used.
Reliability in Outlets using Fixed Connections taken
together, for the periods such Fixed Connections are
scheduled to be established.
The lesser of:
(i) 99 ~ Reliability (Fixed); and
(a) 4,
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divided by 100.
D The lesser of:
(i) 97 — Reliability (Dialled); and
Gi) 7,
divided by 100.
Counter 30 seconds.
Transaction time
Vv Aggregate Average Outlet Outage (Core Hours) - MAT
Average Outict Outage (Core Hours), or zero if the result of
that calculation is negative.
H Total Core Hours in the Availability Period.
A H~-MAT Average Outlet Outage (Core Hours).
T(D) Total number of Cash Deposit Banking Transactions.
T(W) Total number of Non-CAPO cash Withdrawal Banking
Transactions + Total number of Non-CAPO Cash
Withdrawal with Balance Banking Transactions
T(B) Total number of Non-CAPO Balance Enquiry Banking
Transactions.
3.3. Request and Authorisation transmission times
3.3.1 The formula for calculating liquidated damages for excess Request and Authorisation
transmission time shall be as follows:
Remedies(Time) = {Fixed C(NBS) + DialledC(NBS)} x R
3.3.2 The result of the calculation of Remedies(Time) may be a negative value.
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3.4 NBS Availability
3.4.1 The formulae for calculating liquidated damages for non-availability of the NBS shall
be as follows:
(a) Remedies(Availabilityl) = {T(D) + T (W) x 0.8 + T(B)} x {V/A} x £0.30
(b) - Remedies(Availability2) = {Number of Core NB System faults (Non-Core
Hours) - MAT Core NB System Faults (Non-Core Hours)} x £2,000.
3.4.2 [fthe result of the calculation of Remedies(Availability2) is negative, a value of zero
shall be substituted as the value of Remedies(Availability2).
3.5 NBS Reliability
3.5.1 The formula for calculating liquidated damages for NBS reliability failures shall be
as follows:
Remedies(Reliability) = {F x FixedT(NBS) + D x DialledT(NBS)} x Counter
Transaction Time x R.
3.5.2 The result of the calculation of Remedies(Reliability) may be a negative value.
3.6 Other Minimum Acceptable Thresholds
Without prejudice to paragraph 3.6.8.6 of Schedule GO1, liquidated damages stall
not be payabie by the Contractor in respect of any failures to achieve the Minimum
Acceptable Threshoid described in paragraphs 2.4 of this Schedule N08 or the Target
Times referred to in paragraph 2.5 of this Schedule NOS.
3.7 MIS Bank Analysis Report
3.7.1 Ifa report which the Contractor is obliged to provide under paragraph 6.1.2(d) of
Schedule NOS (the “MIS Bank Analysis Report’) is not provided within the time
specified for its provision in Schedule NOS or such later time as POCL may specify
then the Contractor shall pay to POCL liquidated damages calculated as follows:
Remedies(MIS Bank Analysis Report) = (number of Transactions on report in
question / 1,000,000) x (number of working days report is late x £55).
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3.7.2 There shall be no Minimum Acceptable Threshold or Termination Review Threshold
in respect of the delivery of the MIS Bank Analysis Report.
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ANNEX TO SCHEDULE N08
1. Initial Target Times
Banking Transaction type/variant: Initial Target Time (Seconds)
Cash Deposit 9.30 _
Cash Withdrawal (signature verification) 15.16
Cash Withdrawal (PEN verification) 15.61
Cash Withdrawal with balance (signature I 15.77
verification)
Cash Withdrawal with balance (PIN I 16.22
verification)
Withdraw limit (PIN verification) I 15.45
Balance Enquiry (signature comparison) : 14.59 ~~]
Balance Enquiry (PIN verification) I 15.17
Change of PIN 15.41
2. Basis of assessment of Initial Target Times and subsequent Target Times
2.1 The starting point for the timing of each Initial Target Time is the point at which data
are committed by NB Token swipe. There shall not be separate Target Times for
Banking Transactions where data are entered manually and committed by keyboard.
2.2 Each Initial Target Time includes only those Counter Processing Time Components
which result if the nonnal path for authorisation of the relevant Banking Transaction
type is followed through the activity and screen flow for that Transaction. The Initial
Target Times for those transactions which make use of the PIN Pad include
allowance for the time taken to process triple DES encryption, even though the
encryption method used in the solution to be delivered at NBS Go Live will use
single DES encryption unless agreed otherwise using the Change Control Procedure.
2.3 The following are excluded from each of the Initial Target Times:
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(a) the time between generation of a Request and receipt of an Authorisation; and
(b) all time whilst waiting for User and/or Customer input.
2.4 The end point for timing each of the Initial Target Times is the point at which receipt
printing (in English) is completed
2.5 Paragraphs 2.1 to 2.4 (inclusive) of this Annex shall also be applied in respect of the
Target Times.
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SCHEDULE N09- NBS CONTINGENCY SERVICES
Version Reason for Change Frozen/Issue Date !
Reference
4.0 New Schedule to introduce Network Banking 19/06/02
Service
1. CONTINGENCY SERVICES
Ll The Contractor shall update the CCD entitled “Business Continuity Framework”
(CS/SIP/002) to include any:
(a) modifications to business continuity operations described in-that document for
the Existing Services, necessary to reflect the introduction of the NBS; and
(b) ' new business continuity operations required for the NBS.
The Contractor shall submit that updated CCD to POCL by the applicable date
specified in the NB Project Plan, for agreement by POCL, such agreement not to be
unreasonably withheld. _
1.2 Unless agreed otherwise in accordance with paragraph 1.6, the NBS Contingency
: Services shall:
include the performance of substantially the same business continuity tests
as are described in the CCD entitled “Business Continuity Framework”
(CS/SIP/002) prior to it being updated as being applicable to the Existing
Services, with such modifications to those tests as are reasonably necessary
to test operational elements of business continuity for the NBS, and
1.2.2 include the tests set out in Table A in paragraph 1.7 below.
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1.7
The tests referred to in paragraph 1.2 shall be conducted with the business continuity
tests conducted for the Existing Seryices and scheduled in accordance with working
practice for the Existing Services. The frequency of and method used for all business
continuity tests shall be documented in the Working Document entitled “Business
Continuity Test Plan” (CS/PLA/O1 1).
Before NB Pilot (Soft Launch) the Contractor shall carry out initial testing of NBS
business continuity plans and facilities through procedural walkthroughs which shail
(subject to any agreement to the contrary between the parties) include initial testing
of technical processes and the production of test reports.
Before such time as NB Go Live has taken place in all Outlets the Contractor shall
carry out an operational test of the business continuity plans for the following
elements of the NBS:
1.5.1 Bootle Data Centre;
uc
ic
Host Central Server;
1.5.3. ISDN Router;
1.5.4 NBS Authorisation Agent; and
1.5.5 NBS/NBE Interfaces.
Business continuity tests to be carried out under this Schedule NO9 may be cancelled
or rescheduled and/or the method used for a test may be varied for operational
business reasons by agreement in writing between POCL and the Contractor (such
agreement act to be unreasonably withheld)
Subject to anything to the contrary agreed under paragraph 1.6 the testing to be
carried out after NBS Acceptance shal] include the tests set out in Table A below,
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NBS Contingency Service
Reconciliation Service
Twice per year
Live Operational (x1)
Walk through (x1)
Bootle Data-centre (including
automated switchover to backup
systems referred to in paragraph
1.10.1 of this Schedule NO9)
Twice per year
I Live Operational (x!)
Walk through (x1)
Host Centrai Server
I Twice per year
Live Operational (x1)
Walk-through (x1)
Correspondence Server
Twice per year
I Live Operational (x1)
I Walk-through (x1)
ISDN Router
Twice per year
Live Operational (x1)
Walk-through (x1)
Data-centre LAN
Twice per year
Live Operational (x1)
Walk-through (x1)
Agent platform
Twice per year
Live Operational (x1)
Walk-through (x1)
Reference Data Management
Centre
Twice per year
Operational Test Environment
(x1)
Walk-through (x1)
NBS Authorisation Agent
Twice per year
Live Operationai (x1)
Walk-through (x1)
NBS - NBE Interfaces
I Twice per year
Live Operational (x1)
Waikx-through (xi)
Each Data Centre (if required to support the NBS on its own as a result of a failure of
the other Data Centre) shall have the capability in normal operation with no failures
having occurred:
1.8.1
to support the Contracted Volumes; and ~
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CODIFIED AGREEMENT SCHEDULE N09 RESTRICTED CONTRACTS
1.8.2 to support the Contractor’s obligations in respect of the Service Levels set
out in Schedule NO8 without preventing or impairing that Data Centre’s _
support for the Contractor’s obligations ia respect of the Service Levels for
the Existing Services.
1.9 The Data Centres (including NBS elements) will be configured such that no single
point of failure within the Data Centres will cause the NBS to fail with both Data
Centres in operation.
1.10 Switchover to backup systems within the Data Centres and for’ the network
connections within the Data Centres:
1.10.1 for real-time elements of the NBS affecting Banking Transactions at
Counter Positions shall be automated; and
1.10.2 for non-real time elements may be automated or manual.
Ll The Contractor shall co-operate with POCL and provide such assistance as is
reasonably requested by POCL for the purposes of business continuity and fail-over
testing of End ‘to End Banking (excluding the clements of End to End Banking
provided by the Contractor). In the event that such co-operation and assistance is
requested by POCL, POCL and the Contractor shail agree the method of working and
the periods for, timing and frequency of such testing so as to minimise disruption and
risks to the operation of. the. NBS and the Existing Services. The Contractor’s
charges in respect of such co-operation and assistance (which shall be paid by POCL
to the Contractor) shall ‘be calculated on a time and materials basis using the
Contractor's rates as set out in paragraph 18.1 .1(b) of Schedule A12.
412 The Central Network
1.12.1 The Central Network shall be configured such that there shall be no single
point of failure within the Central Network.
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1.12.2 The loss of a major switching node within the Central Network shall not
cause the NBS to fail and should such loss occur the Contractor (in addition
to its other obligations under this Codified Agreement) shall use all
reasonable endeavours to procure that any shortfall in system performance is
recovered within 7 days of that loss.
1.13 The NBE Network
The NBE Network shall be configured such that there shall be no single point of
failure (including site failure) within the NBE Network. *
1.14. The network communications link between each Data Centre and each NBE shall
have the capability in normal operation with no failures having occurred to that link:
1.14.1 to support the Contracted Volumes; and
1.14.2 of supporting the Contractor’s obligations in respect of the Service Levels
set out in Schedule NO8.
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