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SECRETARY OF STATE FOR
SOCIAL SECURITY
- and -
POST OFFICE COUNTERS LTD
- and -
[name of the CONTRACTOR]
INFORMATION TECHNOLOGY
SERVICES AGREEMENT FOR
BRINGING TECHNOLOGY TO
POST OFFICES AND
BENEFITS PAYMENTS
Bird & Bird
90 Fetter Lane
London
EC4A 1JP
1\AGR\AGREEMEN\UMBRELLA.ITT
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Clauses
INFORMATION TECHNOLOGY SERVICES AGREEMENT
FOR BRINGING TECHNOLOGY TO
POST OFFICES AND BENEFITS PAYMENTS
Table of Contents
RECITALS
PART 1 : INTRODUCTION
Clause 101
Clause 102.
Clause 103.
Clause 104.
Clause 105.
. Contract Structure
Interpretations
Severability
Law and Jurisdiction
Entire Agreement
11
13
14
14
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Clause 106.
General Principles
14
PART 2 : PERFORMANCE OF SERVICES AND SUPPLY OF PRODUCTS 15
Clause 201.
Performance of Services
PART 3 : CONSIDERATION
Clause 301.
Clause 302.
PART 4:
Clause 401.
Clause 402.
Clause 403.
Clause 404.
Charges
Value Added Tax
15
19
19
20
DEVELOPMENT AND IMPLEMENTATION OF STEADY STATE
SERVICES
Development Services
Operational Trial
Roll Out of Service
Roll Out of Steady State Services
20
20
21
26
28
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PART 5 : OWNERSHIP, LICENCES AND RISK 30
Clause 501. Ownership of Intellectual Property Rights in the design of the Service
Architecture 30
Clause 502. Licences to use Intellectual Property Rights 30
Clause 503. Databases 31
PART 6 : CONTRACT AND SERVICE MANAGEMENT 32
Clause 601. Monitoring 32
Clause 602. Management Interfaces and Services Management 32
Clause 603. Communications 32
Clause 604. Transfer and Sub-Contracting 35
Clause 605: Time Es
Clause 606. Confidentiality 45
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Clause 607.
Clause 608.
Clause 609.
Clause 610.
Clause 611.
Clause 612.
Clause 613.
Clause 614.
Health and Safety Hazards
Protection of Personal Data and Social Security Administration Act
Publicity
CONTRACTOR’s Personnel
Waiver
Access to Premises
Security Requirements
CONTRACTOR’s Key Personnel
PART 7 : WARRANTIES AND STANDARDS
Clause 701.
Clause 702.
Clause 703.
Authority and Approval
Performance of Services
Performance of Products
49
50
51
52
54
54
S:
55
56
56
56
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Clause 704. Intellectual Property Rights 58
Clause 705. Industry Standards 59
Clause 706. Statements and Representations 59
Clause 707. Disclaimer of Implied Terms 59
PART 8 : REMEDIES 59
Clause 801. Audit 60
Clause 802. Liquidated Damages and Delay 63
Clause 803. Additional Resources 64
Clause 804. Recovery of Sums Due 65
Clause 805. Intellectual Property Rights Indemnity 65
Clause 806. Remedies Cumulative 70
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Clause 807. Alternative Dispute Resolution Procedure 70
Clause 808. Liability 73
Clause 809. Injury to Persons; Loss of Property 74
Clause 810. Limitation of Liability 75
PART 9 : TERM AND TERMINATION 80
Clause 901. Term 80
Clause 902. Termination of AUTHORITIES’ Agreement 80
Clause 903. Rights on Termination of AUTHORITIES’ Agreement 87
Clause 904. Transfer Services 93
PART 10 : MISCELLANEOUS 93
Clause 1001. Corrupt Gifts and Payments of Commission 93
Clause 1002. Discrimination 95
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Clause 1003. Guarantee 96
Clause 1004. Insurance 96
INFORMATION TECHNOLOGY SERVICES AGREEMENT
FOR BRINGING TECHNOLOGY TO
POST OFFICES AND BENEFITS PAYMENTS
Schedules
Al.
A2.
A3.
A4.
AS.
A6.
A7.
A8.
A9.
Alo.
Service Environment
Extrapolation and Transposition of Schedules
Assumptions
Interpretations
Policies and Standards
Audit
Contract Management
Change Control
Charging Structure
Acceptance Procedures
Approach to Remedies
Contract Termination
Sub-contractors
Clause Reference
703.3
201
102.5
102.1
613, 703.1
801
602, 807.1
101.3
301.1
403.1
802
904
604.2
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All. Guarantee 1003
Al2. CONTRACTOR’s Key Personnel 614
BY. Requirements Catalogue 201.1
B2. Solutions Catalogue 201.1
B3. Service Levels and Remedies 201
B4. Double Key Requirements 101.3
BS. Double Key Solutions 101.3
B6. Service Infrastructure Acceptance Criteria 403
B7. Timetable 605.1
B8. Benefit Encashment Fraud 808
el, Operational Trial Objectives 402.2
cz. Operational Trial Milestones and Plans 402.1
C3. Operational Trial Acceptance 402.1
C4. AUTHORITIES’ Operational Trial Responsibilities 402.8
cS. Operational Trial Remedies 802.1
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THIS AGREEMENT is made the day of 199
BETWEEN:
(1) 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 Ireland ("DSS");
(2) Post Office Counters Ltd whose registered office is situated at Drury House, 1-16
Blackfriars Road, London SE1 9UA ("POCL");
(DSS and POCL being referred to collectively as "the AUTHORITIES"); and
(3) [name of the CONTRACTOR] whose registered office is at [registered office of the
CONTRACTOR] ("the CONTRACTOR").
RECITALS
WHEREAS:
(a) The AUTHORITIES wish to contract for the design, development, integration and
establishment of the Service Infrastructure (as defined herein) and for the Services (as defined
herein);
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(b) On 30 August 1994 the AUTHORITIES placed an advertisement in the Official Journal
of the European Communities for the supply of the Service Infrastructure and the Services;
(c) All parties recognise and commit to the overall service objectives of the Related
Agreements which can be expressed as:
. a fraud-free method of paying benefits at post offices that is automated, has
lower end-to-end costs than the current paper-based process, with continuously
reducing overall administration costs year on year;
° extending automation to POCL’s other client transactions, its products and its
support processes to improve competitiveness, increase efficiency, and to enable
greater commercial opportunities for POCL;
. full and speedy reconciliation of benefits payments, with accounting
arrangements consistent with recognised accounting practices;
- an improved overall service to the AUTHORITIES’ customers.
(d) On 13 April 1995 the AUTHORITIES issued their Statement of Service Requirements
to potential suppliers (including the CONTRACTOR) in respect of the supply of the Service
Infrastructure and the Services;
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(e) The CONTRACTOR submitted its Proposal dated [ ] in response to the
Statement of Service Requirements;
(f) On[ ] the AUTHORITIES invited potential suppliers (including the
CONTRACTOR) to submit Tenders in respect of the supply of the Service Infrastructure and
the Services;
(g) The CONTRACTOR submitted a Tender on [ ]; and
(h) On the basis of the CONTRACTOR’s Proposal and Tender, the AUTHORITIES have
selected the CONTRACTOR to supply the Service Infrastructure and the Services and the
CONTRACTOR undertakes to supply the same on the terms set out below.
NOW THEREFORE IT IS HEREBY AGREED as follows:
PART 1 : INTRODUCTION
Clause 101. Contract Structure
101.1 The Related Agreements
This agreement forms part of a suite of three related agreements between the parties (“the
Related Agreements”) comprising:
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(a) this agreement between DSS, POCL and the CONTRACTOR (“the
AUTHORITIES’ Agreement”);
(b) a separate agreement between DSS and the CONTRACTOR (“the DSS
Agreement”); and
(c) a separate agreement between POCL and the CONTRACTOR (“the POCL
Agreement”).
101.2 Precedence of the Related Agreements
In the event of and to the extent only of any conflict or inconsistency between the
provisions of this AUTHORITIES’ Agreement and the provisions of the DSS Agreement
or the POCL Agreement, the provisions of this AUTHORITIES’ Agreement shall prevail.
101.3. Amendments to Clauses and Schedules of the Related Agreements
101.3.1 The provisions of the Related Agreements may not be amended unless such
amendment is approved on behalf of the relevant parties at the appropriate levels of
authority as follows:
(a) subject to the change control procedures specified in Schedule A5, amendments to
the Clauses, Annexes and Schedules of the AUTHORITIES’ Agreement must be
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approved by the [specify title] or his successor on behalf of DSS and by the [specify
title] or his successor on behalf of POCL and by the [specify title] or his successor
on behalf of the CONTRACTOR;
(b) except as provided by paragraph (d) below, and subject to the change control
procedures specified in Schedule AS, amendments to the Clauses, Annexes and
Schedules of the DSS Agreement must be approved by the [specify title] or his
successor on behalf of DSS and by the [specify title] or his successor on behalf of
the CONTRACTOR;
(c) except as provided by paragraph (e) below, and subject to the change control
procedures specified in Schedule A5, amendments to the Clauses, Annexes and
Schedules of the POCL Agreement must be approved by the [specify title] or his
successor on behalf of POCL and by the [specify title] or his successor on behalf
of the CONTRACTOR;
(d) any amendment to the Clauses, Annexes or Schedules of the DSS Agreement
which conflicts or is inconsistent with the Double Key Requirements in Schedule
B4 or the Double Key Solutions in Schedule BS in whole or in part shall be subject
to the approval of all three parties in accordance with paragraph (a) above;
(e) any amendment to the Clauses, Annexes or Schedules of the POCL Agreement
which conflicts or is inconsistent with the Double Key Requirements in Schedule
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B4 or of the Double Key Solutions in Schedule BS in whole or in part shall be
subject to the approval of all three parties in accordance with paragraph (a) above;
( notwithstanding the foregoing provisions of this Clause, but subject to the change
control procedures specified in Schedule AS, in the event of a future change in
policy by the Government, DSS may release the CONTRACTOR from its
obligations to both AUTHORITIES under Clause 106.1 without POCL’s approval.
101.3.2 (a) Ifthe CONTRACTOR and DSS agree any amendment to the DSS
Agreement without the approval of POCL being obtained to such
amendment, and POCL’s approval should have been obtained pursuant to
Clause 101.3.1(d), such purported amendment shall be invalid, and DSS
shall indemnify the CONTRACTOR for all costs and expenses reasonably
incurred by the CONTRACTOR as a direct result of such purported
amendment.
(b) If the CONTRACTOR and POCL agree any amendment to the
POCL Agreement without the approval of DSS having been obtained to
such amendment, and DSS’s approval should have been obtained pursuant
to Clause 101.3.1(e), such purported amendment shall be invalid, and
POCL shall indemnify the CONTRACTOR for all costs and expenses
reasonably incurred by the CONTRACTOR as a direct result of such
purported amendment.
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101.3.3 The CONTRACTOR need not agree to any amendment to any Related
Agreement if such amendment would place it in breach of any of its obligations
under any other Related Agreement.
101.4 Other Changes
Changes in connection with the Related Agreements which do not require any amendment
to the Related Agreements may be approved by the parties to the relevant contract, subject
to the change control procedures specified therein as follows:
(a) changes under the AUTHORITIES’ Agreement may be approved by the [specify
title] or his successor on behalf of DSS and by the [specify title] or his successor
on behalf of POCL and by the [specify title] or his successor on behalf of the
CONTRACTOR in accordance with the change control procedures specified in
Schedule AS;
(b) changes under the DSS Agreement may be approved by the [specify title] or his
successor on behalf of DSS and by the [specify title] or his successor on behalf of
the CONTRACTOR in accordance with the change control procedures specified
in Schedule AS of the DSS Agreement;
(c) changes under the POCL Agreement may be approved by the [specify title] or his
successor of POCL and by the [specify title] or his successor of the
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CONTRACTOR in accordance with the change control procedures specified in
Schedule AS of the POCL Agreement.
101.5 Rights and Remedies of the AUTHORITIES under the Related Agreements
101.5.1 The rights and remedies of each AUTHORITY against the
CONTRACTOR under the AUTHORITIES’ Agreement are concurrent and may
be exercised concurrently or separately by either AUTHORITY with or without the
consent of the other AUTHORITY.
101.5.2 Except as provided by Clause 101.5.4, the rights and remedies of DSS
against the CONTRACTOR under the DSS Agreement are not concurrent with
those of POCL and may only be exercised by DSS.
101.5.3 Except as provided by Clause 101.5.5, the rights and remedies of POCL
against the CONTRACTOR under the POCL Agreement are not concurrent with
those of DSS and may only be exercised by POCL.
101.5.4 If in the event of Default by the CONTRACTOR under the DSS
Agreement, DSS elects not to exercise any of its rights and remedies against the
CONTRACTOR under that Agreement, such rights and remedies shall be
exercisable against the CONTRACTOR by POCL in DSS’s name within three (3)
months of such election as if POCL were DSS and the CONTRACTOR shall be
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liable to POCL as if POCL were DSS, provided that POCL has suffered or risks
suffering direct loss or damage as a result of such Default which is not remediable
under the POCL Agreement and provided, further, that the POCL Agreement has
not been terminated. In any such action, the CONTRACTOR shall be entitled to
the same substantive defences and procedural rights and remedies against POCL
as it would have had against DSS if such action were brought by DSS (including
the right to obtain discovery from POCL and DSS of those documents in relation
to which the CONTRACTOR would have had a right of discovery if the action had
been brought by DSS) in addition to those it is entitled to against POCL itself.
However, POCL shall not be entitled to exercise DSS’s rights and remedies against
the CONTRACTOR under the DSS Agreement (a) without first having consulted
fully with DSS, or (b) where DSS has settled its own claim against the
CONTRACTOR in respect of such Default and POCL has approved such
settlement. POCL shall promptly notify the CONTRACTOR in writing of its
approval of such settlement.
101.5.5 If in the event of Default by the CONTRACTOR under the POCL
Agreement POCL elects not to exercise its rights and remedies against the
CONTRACTOR under that Agreement, such rights and remedies shall be
exercisable against the CONTRACTOR by DSS in POCL’s name within three (3)
months of such election as if DSS were POCL and the CONTRACTOR shall be
liable to DSS as if DSS were POCL, provided that DSS has suffered or risks
suffering direct loss or damage as a result of such Default which is not remediable
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under the DSS Agreement and provided, further, that the DSS Agreement has not
been terminated. In any such action, the CONTRACTOR shall be entitled to the
same substantive defences and procedural rights and remedies against DSS as it
would have had against POCL if such action were brought by POCL (including the
right to obtain discovery from DSS and POCL of those documents in relation to
which the CONTRACTOR would have had a right of discovery if the action had
been brought by POCL) in addition to those it is entitled to against DSS itself.
However, DSS shall not be entitled to exercise POCL’s rights and remedies under
the POCL Agreement (a) without first having consulted fully with POCL, or (b)
where POCL has settled its own claim against the CONTRACTOR in respect of
such Default and DSS has approved such settlement. DSS shall promptly notify
the CONTRACTOR in writing of its approval of such settlement.
101.5.6 The CONTRACTOR shall not be liable to either AUTHORITY for any
failure to perform or delay in performing any of its obligations to that
AUTHORITY under the Related Agreements where the CONTRACTOR proves
that such failure or delay has been directly caused by the failure of either
AUTHORITY to perform any of its obligations under the Related Agreements.
This Clause shall not apply to Clause 808, which shall be governed by the specific
tule stated in Clause 808.2.
101.5.7 Before settling any claim by it under the Related Agreements, the relevant
AUTHORITY shall first consult fully with the other AUTHORITY. Settlement by
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either AUTHORITY of a claim by it against the CONTRACTOR under the Related
Agreements shall protect the CONTRACTOR from the other AUTHORITY
making a claim in respect of the same Default, provided that such AUTHORITY
has approved such settlement. The AUTHORITY approving such settlement shall
promptly notify the CONTRACTOR in writing of such approval.
101.6 Obligations and Liabilities of the AUTHORITIES under the Related
Agreements
101.6.1 For the avoidance of doubt, the parties acknowledge that nothing in the
Related Agreements shall be deemed or construed to create a partnership between
the AUTHORITIES, and neither AUTHORITY shall be jointly or severally liable
for any of the obligations of the other AUTHORITY under the Related
Agreements.
101.6.2 Without limitation to Clause 101.6.1, where any obligation under the
Related Agreements is expressed to be binding on both AUTHORITIES, such
obligation will be binding on each AUTHORITY individually and one
AUTHORITY shall not be liable for any failure by the other AUTHORITY to
comply with that obligation.
Clause 102. Interpretations
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102.1 Asused in the AUTHORITIES’ Agreement:
102.1.1 the terms and expressions set out in Schedule A1 shall have the
meanings ascribed therein;
102.1.2 the masculine includes the feminine and the neuter; and
102.1.3 the singular includes the plural and vice versa.
102.2 A reference to any statute, enactment, order, regulation or other similar instrument
shall be construed as a reference to the statute, enactment, order, regulation or instrument
as amended by any subsequent statute, enactment, order, regulation or instrument or as
contained in any subsequent re-enactment thereof.
102.3 Headings are included in the AUTHORITIES’ Agreement for ease of reference
only and shall not affect the interpretation or construction of the AUTHORITIES’
Agreement.
102.4 References in this AUTHORITIES' Agreement to Clauses, Parts, Annexes and
Schedules are, unless otherwise provided, references to the clauses, parts, annexes and
schedules of the AUTHORITIES’ Agreement.
102.5 In the event and to the extent only of any conflict or inconsistency between the
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Clauses and Schedule Al and the Schedules (other than Schedule A1), the Clauses and
Schedule Al shall prevail. In the event and to the extent only of any conflict or
inconsistency between the Schedules (other than Schedule A1), the provisions of Schedules
2, A2 to Al2, B3, B7 and B8 shall prevail over those of all other Schedules (other than
Schedule A1) and the provisions of Schedules B1 and B4 shall prevail over those of
Schedules B2 and BS. Notwithstanding the foregoing, if and only to the extent that
Schedule 3 expressly states that a particular requirement in Schedule B1 and B4 will be
met by Schedules B2 and BS in a particular form, manner or quantity, or at a particular
time or place, the provisions of Schedule 3 will prevail.
102.6 The Recitals are not legally binding, but are intended as a guide to the
interpretation and construction of the AUTHORITIES’ Agreement.
Clause 103. Severability
If any provision of the AUTHORITIES’ Agreement is held invalid, illegal or unenforceable for
any reason by any court or regulatory body of competent jurisdiction, such provision shall be
severed and the remainder of the provisions hereof shall continue in full force and effect as if the
AUTHORITIES’ Agreement had been executed with the invalid illegal or unenforceable
provision eliminated. In the event of a holding of invalidity so fundamental as to prevent the
accomplishment of the purpose of the AUTHORITIES’ Agreement, the AUTHORITIES and the
CONTRACTOR shall immediately commence good faith negotiations to remedy such invalidity.
However, if the AUTHORITIES and the CONTRACTOR fail to conclude such negotiations
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within a reasonable period of time, the AUTHORITIES’ Agreement shall terminate without
further liability to any party (subject to Clause 902.7).
Clause 104. Law and Jurisdiction
104.1 The AUTHORITIES’ Agreement shall be considered as a contract made in
England and according to English Law and, subject to Clause 807, shall be subject to the
exclusive jurisdiction of the English Courts to which the parties hereby submit.
104.2 Except as specified in Clause 101, the AUTHORITIES’ Agreement is binding on
the relevant AUTHORITIES and their successors and permitted assignees and on the
CONTRACTOR and the CONTRACTOR's successors and permitted assignees.
Clause 105. Entire Agreement
The Related Agreements constitute the entire understanding between the parties relating to the
subject matter of the Related Agreements and, save as may be expressly referred to or referenced
herein, supersede all prior representations, agreements, negotiations or understandings with
respect thereto, whether oral or in writing, except in respect of any fraudulent misrepresentation
made by any party.
Clause 106. General Principles
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106.1 IThe CONTRACTOR will not have the right to seek and arrange for the Card to
be used in retail outlets other than in post offices and DSS offices in normal circumstances.
106.2 The CONTRACTOR shall deliver and continue to provide a secure system in
respect of all transactions which as far as the Related Agreements require eliminates the
potential for benefit payment fraud and any other fraud or unauthorised disclosure of data
and provides pro-active detection processes and significant barriers to attacks from internal
conspiracy and collusion to defraud the AUTHORITIES.
106.3 The Services and the Service Infrastructure shall be capable of introduction in all
post offices.
PART 2 : PERFORMANCE OF SERVICES AND SUPPLY OF PRODUCTS
Clause 201. Performance of Services
201.1 Until transposed in accordance with Clauses 201.4 and 201.5, the
CONTRACTOR shall be responsible for meeting the requirements specified in Schedule
B1 in the manner specified in Schedule B2 by performing the Services to be more
particularly described in the relevant Schedules of the DSS Agreement and the POCL
Agreement. The AUTHORITIES shall perform the AUTHORITIES Responsibilities listed
in Schedules B2 and BS and as otherwise expressly specified herein. However, for the
avoidance of doubt, and subject to Clause 102.5, the parties acknowledge that the
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AUTHORITIES’ acceptance of the CONTRACTOR’s solutions in Schedule B2 and BS,
and their agreement to the service descriptions contained in the relevant Schedules of the
DSS Agreement and the POCL Agreement, shall not relieve the CONTRACTOR of its
obligation to meet the requirements specified in Schedules B1 and B4, as modified by
Schedule 3.
201.2 To support the performance of the Services, the CONTRACTOR shall supply the
Service Architecture Design Document in accordance with Schedules B1 and B2 and all
other applicable provisions hereof.
201.3 The CONTRACTOR shall be responsible for meeting the Double Key
Requirements specified in Schedule B4 in the manner specified in Schedule BS by
performing the Services to be more particularly described in the relevant Schedules of the
DSS Agreement and the POCL Agreement.
201.4 Schedule B1 and Schedule B2 shall cease to have effect from three (3) months
after execution of the AUTHORITIES’ Agreement, provided that Schedules B1 and B2
shall have been transposed and/or extrapolated to the relevant Schedules of the Related
Agreements and as specified in Schedule 2. The foregoing process of transposition and
extrapolation shall not add to the CONTRACTOR’s obligations under the Related
Agreements as at the date hereof. Any addition to the CONTRACTOR’s obligations under
the Related Agreements arising out of such transposition and extrapolation may only be
made in accordance with Clause 101.3.
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201.5 Schedule B3 shall cease to have effect three (3) months after execution of the
AUTHORITIES’ Agreement, provided that Schedule B3 shall have been extrapolated into
the relevant Schedules of the POCL Agreement and of the DSS Agreement as specified in
Schedule 2. The foregoing process of extrapolation shall not add to the CONTRACTOR’s
obligations under the Related Agreements as at the date hereof. Any addition to the
CONTRACTOR’s obligations under the Related Agreements arising out of such
extrapolation may only be made in accordance with Clause 101.3.
201.6 Schedules 3, A6, B4, BS, B8 and C5 shall be extrapolated into the relevant
Schedules of the Related Agreements as specified in Schedule 2, but shall still have effect
after such extrapolation. The foregoing process of extrapolation shall not add to the
CONTRACTOR’s obligations under the Related Agreements as at the date hereof. Any
addition to the CONTRACTOR’s obligations under the Related Agreements arising out
of such extrapolation may only be made in accordance with Clause 101.3.
201.7 The CONTRACTOR and the AUTHORITIES shall use all reasonable endeavours
to reach agreement on the extrapolation and transposition of Schedules B1 and B2 and the
extrapolation of Schedules 3, A6, B3, B4, BS, B8 and CS as soon as reasonably practicable
after the date of execution hereof.
201.8 In the event that the parties hereto are unable to reach agreement on the
extrapolation and transposition of Schedules B1 and B2 and the extrapolation of Schedules
3, A6, B3, B4, BS, B8 and C5 within three (3) months of the date of execution hereof:
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201.8.1(a) the AUTHORITIES may at any time up to six (6) months after such
failure to reach agreement jointly by notice in writing to the CONTRACTOR
terminate the AUTHORITIES’ Agreement as from the date of service of such
notice or such later date as may be specified therein without further liability other
than pursuant to Clause 201.9; and
201.8.1(b) DSS may at any time up to six (6) months after such failure to reach
agreement by notice in writing to the CONTRACTOR terminate the DSS
Agreement and POCL may at any time up to six (6) months after such failure to
reach agreement by notice in writing to the CONTRACTOR terminate the POCL
Agreement as from the date of service of such notice or such later date as may be
specified therein without further liability other than pursuant to Clause 201.9; or
201.8.2 the CONTRACTOR may at any time up to six (6) months of such
failure to reach agreement terminate the Related Agreements by notice in writing
as from the date of service of such notice or such later date as may be specified
therein to the AUTHORITIES without further liability other than pursuant to
Clause 201.9; or
201.8.3 the parties may agree pursuant to Clause 101.3 to extend the period
of three (3) months specified in Clauses 201.4, 201.5 and 201.8.
201.9 Inthe event of termination of the Related Agreements pursuant to Clause 201.8,
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the AUTHORITIES shall indemnify the CONTRACTOR for all costs and expenses
reasonably incurred by the CONTRACTOR after the date of execution hereof directly in
connection with performing (but not tendering for) the Related Agreements (excluding any
costs for cancellation of supply contracts for items ordered but not delivered and the
CONTRACTOR’s overheads in relation to its sites, other than in relation to staff) up to a
limit of ten million pounds (£10,000,000) until the end of the three month period specified
in Clauses 201.4, 201.5 and 201.8 and up to a limit of one third of that amount for each of
the three (3) consecutive additional months (pro-rated for periods of less than a month) for
which such period is extended pursuant to Clause 201.8.3, up to a maximum of twenty
million pounds (£20,000,000) overall. The CONTRACTOR shall provide documentary
evidence in support of all claims hereunder. The CONTRACTOR shall take all reasonable
steps to mitigate such costs and expenses including without limitation ensuring that any
sub-contract entered into in connection herewith affords the CONTRACTOR rights of
termination equal to those enjoyed by the parties under Clause 201.8.
PART 3 : CONSIDERATION
Clause 301. Charges
301.1 Charging Structure
The overall charging structure for the Related Agreements shall be as specified in Schedule
A6.
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301.2 Variation of Charges
The Charges governed by the overall charging structure for the Related Agreements shall
be subject to variation in accordance with the procedures set out in Schedule A6.
Clause 302. Value Added Tax
The Charges are exclusive of Value Added Tax, which the relevant AUTHORITY shall pay to
the CONTRACTOR at the rate and in the manner prescribed by law from time to time, subject
to the production by the CONTRACTOR of a valid tax invoice giving the requisite details of the
taxable supply.
PART 4: DEVELOPMENT AND IMPLEMENTATION OF STEADY STATE
SERVICES
Clause 401. Development Services
401.1 The CONTRACTOR shall perform the following Development Services in
accordance with Schedules B1 and B2:
401.1.1 development of the Service Architecture Design Document;
401.1.2 the development of all necessary interfaces to allow the full
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integration of the Service Infrastructure and the Steady State Services into the
Service Environment, so as to create the Service Architecture.
Clause 402. Operational Trial
402.1 The CONTRACTOR shall, during the Operational Trial Period, make available
the Operational Trial System (which for the purposes of this Clause 402 shall include the
Service Architecture Design Document) for the Operational Trial as set out in Schedules
Cl to CS to be performed in accordance with the timetable set out in Schedule C2. The
AUTHORITIES shall be entitled to subject all Basic DSS Services, Basic POCL Services,
Optional DSS Services and Optional POCL Services to the Operational Trial, but in
relation to Optional DSS Services and Optional POCL Services, the rights of termination
granted pursuant to this Clause shall apply only to the particular Optional DSS Service or
Optional POCL Service being tested.
402.2 The objectives of the Operational Trial shall be as specified in Schedule C1.
402.3 The AUTHORITIES shall accept the Operational Trial System in accordance with
the Operational Trial Procedures.
402.4 The Operational Trial shall be recorded as successful and the CONTRACTOR
notified accordingly where all the Operational Trial Criteria are met in accordance with the
Operational Trial Procedures.
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402.5 The Operational Trial shall be recorded as unsuccessful and the CONTRACTOR
notified accordingly where any of the Operational Trial Criteria are not met in accordance
with the Operational Trial Procedures.
402.6 If the Operational Trial in respect of the Operational Trial System has not been
recorded as successful pursuant to Clause 402.4 by the end of the Operational Trial Period
(including any extension to the Operational Trial Period pursuant to Clauses 402.6.2.2 or
402.6.3.2):
402.6.1 DSS shall have the right to terminate the relevant DSS Services or
the DSS Agreement and POCL shall have the right to terminate the POCL
Agreement or, if appropriate, the relevant POCL Application Service, pursuant
to Clause 902.3; or
402.6.2 the AUTHORITIES shall have the right, without prejudice to their
other rights and remedies:
402.6.2.1 to accept such part of the Operational Trial System as the
AUTHORITIES may decide and pay a pro-rated Charge therefor or such
other charge as may be agreed between the parties;
402.6.2.2 to extend the Operational Trial Period for up to two (2)
consecutive additional periods of the same duration or of such shorter
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duration as the AUTHORITIES may notify to the CONTRACTOR, during
which the CONTRACTOR shall use reasonable endeavours to correct the
deficiency or Acceptance Incident which caused the Operational Trial to
be recorded as unsuccessful; or
402.6.2.3 (subject to Clause 402.13) to terminate this AUTHORITIES’
Agreement in accordance with Clause 902.3.
For the purposes of the foregoing, the “relevant” DSS Services or POCL
Application Services mean the Services in respect of which the Operational Trial
has been recorded as unsuccessful.
402.7 _ If, pursuant to Clause 402.6.1, DSS terminates any of the DSS Services and/or
POCL terminates any of the POCL Application Services, but neither terminates all of the
DSS Services or POCL Services, as appropriate, nor terminates the DSS Agreement or the
POCL Agreement (as appropriate) the AUTHORITIES shall have the right without
prejudice to their other rights and remedies:
402.7.1 to accept such part of the Operational Trial System as the
AUTHORITIES may decide and pay a pro-rated Charge therefor or such other
charge as may be agreed between the parties;
402.7.2 to extend the Operational Trial Period for up to two (2) additional
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consecutive periods of the same duration or of such shorter duration as the
AUTHORITIES may notify to the CONTRACTOR, during which the
CONTRACTOR shall use reasonable endeavours to correct the deficiency or
Acceptance Incident which caused the Operational Trial to be recorded as
unsuccessful; or
402.7.3 (subject to Clause 402.13) to terminate this AUTHORITIES’ Agreement
in accordance with Clause 902.3.
402.8 If, pursuant to Clause 402.6.1, DSS terminates all of the DSS Services or DSS or
POCL terminates the DSS Agreement or the POCL Agreement (as appropriate), the other
AUTHORITY shall have the right without prejudice to its other rights and remedies:
402.8.1 to accept such part of the Operational Trial System as the relevant
AUTHORITY may decide and pay a pro-rated Charge therefor or such other
charge as may be agreed between it and the CONTRACTOR; or
402.8.2 to extend the Operational Trial Period for up to two (2) additional
consecutive periods of the same duration or of such shorter duration as the
AUTHORITIES may notify to the CONTRACTOR during which the
CONTRACTOR shall use reasonable endeavours to correct the deficiency or
Acceptance Incident which caused the Operational Trial to be recorded as
unsuccessful; or
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402.8.3 (subject to Clause 402.13) to terminate this AUTHORITIES' Agreement
in accordance with Clause 902.3.
402.9 Inthe event that either AUTHORITY extends the Operational Trial Period for a
period pursuant to Clause 402.8.2 and the Operational Trial has not been recorded as
successful by the end of that period, the relevant AUTHORITY shall have the right without
prejudice to its other rights and remedies:
402.9.1 to accept such part of the Operational Trial System as the relevant
AUTHORITY may decide and pay a pro-rated Charge therefor or such other
charge as may be agreed between it and the CONTRACTOR; or
402.9.2 to extend the Operational Trial Period for a further period in
accordance with Clause 402.8.2 up to a maximum of three (3) consecutive
periods in total; or
402.9.3 (subject to Clause 402.13) to terminate this AUTHORITIES'
Agreement in accordance with Clause 902.3.
402.10 The AUTHORITIES will perform the AUTHORITIES' Trial Responsibilities as
set out in Schedule C4.
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402.11 For the avoidance of doubt, the CONTRACTOR acknowledges that successful
completion of acceptance testing of any part of the Operational Trial Systems shall not
relieve it of its obligation to continue to perform the Services hereunder in accordance with
all applicable provisions hereof.
402.12 Unless otherwise agreed by the AUTHORITIES, no part of the Operational Trial
System shall be tested under this Clause until it has first successfully completed acceptance
testing under Clause 403 of the DSS Agreement or Clause 403 of the POCL Agreement (as
appropriate).
402.13 Notwithstanding the foregoing provisions of this Clause, the AUTHORITIES
shall have no right of termination of the AUTHORITIES’ Agreement in relation to failure
of the Operational Trial System successfully to complete the Operational Trial except in
accordance with Schedules A7 and C5.
Clause 403. Roll Out of Service Infrastructure
403.1 The AUTHORITIES shall accept the elements of the Service Infrastructure in
accordance with the Roll Out Acceptance Procedures contained in Schedule A7. The
Acceptance Criteria for the Service Infrastructure shall be as specified in Schedule B6.
403.2 The Roll Out Acceptance Test in relation to any such element shall be recorded
as successful and the CONTRACTOR notified accordingly where all the Acceptance
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Criteria for any such element are met in accordance with the Roll Out Acceptance
Procedures.
403.3 The Roll Out Acceptance Test in relation to any such element shall be recorded
as unsuccessful and the CONTRACTOR notified accordingly where any of the relevant
Acceptance Criteria for any such element are not met in accordance with the Roll Out
Acceptance Procedures.
403.4 If the Roll Out Acceptance Test in respect of the relevant element of the Service
Infrastructure has not been recorded as successful pursuant to Clause 403.2 by the end of
the Roll Out Acceptance Period (including any extension to the Roll Out Acceptance
Period pursuant to Clause 403.4.2) , the AUTHORITIES shall have the right without
prejudice to their other rights and remedies (excluding the right to terminate in accordance
with Clause 902.2):
403.4.1 to accept such part of the Service Infrastructure as the
AUTHORITIES may decide ;
403.4.2 to extend the Roll Out Acceptance Period for a period or periods,
specified by the AUTHORITIES, during which the CONTRACTOR shall use
reasonable endeavours to correct the deficiency or Acceptance Incident which
caused the Roll Out Acceptance Test to be recorded as unsuccessful; or
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403.4.3 to reject the relevant element of the Service Infrastructure, in which
case the CONTRACTOR shall either provide a replacement element of the
Service Infrastructure, or repair the relevant element of the Service Infrastructure
(as agreed by the parties, such agreement not to be unreasonably withheld or
delayed) in which case such replacement or repaired element shall be subject to
Roll Out Acceptance Testing in accordance with this Clause 403.
403.5 Unless otherwise agreed by the AUTHORITIES, no element of the Service
Infrastructure shall be eligible for testing under this Clause until it has first successfully
completed acceptance testing under Clause 404 of the DSS Agreement or Clause 404 of
the POCL Agreement (as appropriate).
Clause 404. Roll Out of Steady State Services
404.1 The AUTHORITIES shall accept the elements of the Steady State Services in
accordance with the Roll Out Acceptance Procedures contained in Schedule A7.
404.2 The Roll Out Acceptance Test in relation to any such element shall be recorded
as successful and the CONTRACTOR notified accordingly where all the Acceptance
Criteria are met in accordance with the Roll Out Acceptance Procedures. The Acceptance
Criteria for the Steady State Services shall be as specified in Schedules D2 and E2 of the
DSS Agreement and Schedules D2, E2, F2 and G4 of the POCL Agreement, as
appropriate.
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404.3 The Roll Out Acceptance Test in relation to any such element shall be recorded
as unsuccessful and the CONTRACTOR notified accordingly where the relevant
Acceptance Criteria are not met in accordance with the Roll Out Acceptance Procedures.
404.4 If the Roll Out Acceptance Test in respect of the relevant element of the Steady
State Services has not been recorded as successful pursuant to Clause 404.2 by the end of
the Roll Out Acceptance Period (including any extension of the Roll Out Acceptance
Period pursuant to Clause 404.4.2), the AUTHORITIES shall have the right without
prejudice to their other rights and remedies (excluding the right to terminate in accordance
with Clause 902.2):
404.4.1 to accept such part of the Steady State Services as the
AUTHORITIES may decide and pay a pro-rated Charge therefor or such other
charge, as may be agreed between the parties; or
404.4.2 to extend the Roll Out Acceptance Period for a period or periods,
specified by the AUTHORITIES, during which the CONTRACTOR shall use
reasonable endeavours to correct the deficiency or Acceptance Incident which
caused the Roll Out Acceptance Test to be recorded as unsuccessful.
404.5 Unless otherwise agreed by the AUTHORITIES, no element of the Steady State
Services shall be eligible for testing under this Clause until it has first successfully
completed acceptance testing under Clause 404 of the DSS Agreement or Clause 404 of
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the POCL Agreement (as appropriate).
PART 5 : OWNERSHIP, LICENCES AND RISK
Clause 501. Ownership of Intellectual Property Rights in the design of the Service
Architecture
501.1 I Ownership of any Intellectual Property Rights in the overall design of the Service
Architecture (as set out in the Service Architecture Design Document) which arise as a
result of the performance of the Services shall vest in the CONTRACTOR. Any use by the
CONTRACTOR of the overall design of the Service Architecture within the United
Kingdom other than in connection with the Related Agreements shall be subject to the
prior written agreement of the AUTHORITIES on reasonable commercial terms (such
agreement not to be unreasonably withheld or delayed).
501.2 The CONTRACTOR shall not do anything to prejudice the security of the
Services, including the Cards and any tokens issued in lieu thereof.
Clause 502. Licences to use Intellectual Property Rights
502.1 Any Software licensed to DSS under the DSS Agreement is hereby licensed to
POCL on the same terms and subject to the same conditions as it is licensed to DSS under
the DSS Agreement to the extent necessary to permit POCL to use the POCL Services and
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the Services hereunder.
502.2 Any Software licensed to POCL under the POCL Agreement is hereby licensed
to DSS on the same terms and subject to the same conditions as it is licensed to POCL
under the POCL Agreement to the extent necessary to permit DSS to use the DSS Services
and the Services hereunder.
502.3. Any DSS Software licensed to the CONTRACTOR under the DSS Agreement
is hereby licensed to the CONTRACTOR on the same terms and subject to the same
conditions as it is licensed to the CONTRACTOR under the DSS Agreement to the extent
necessary to permit the CONTRACTOR to perform the POCL Services and the Services
hereunder.
502.4 Any POCL Software licensed to the CONTRACTOR under the POCL Agreement
is hereby licensed to the CONTRACTOR on the same terms and subject to the same
conditions as it is licensed to the CONTRACTOR under the POCL Agreement to the extent
necessary to permit the CONTRACTOR to perform the DSS Services and the Services
hereunder.
Clause 503. Databases
POCL shall have the right to use the POCL Services and the Service Infrastructure to capture,
develop and use databases containing information in relation to its customers. Any use of DSS
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Data in the development of such databases shall be subject to the prior written consent of DSS
(such consent not to be unreasonably withheld or delayed). 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.
PART 6 : CONTRACT AND SERVICE MANAGEMENT
Clause 601. Monitoring
The AUTHORITIES shall be entitled to monitor the performance by the CONTRACTOR of its
obligations under the AUTHORITIES’ Agreement in accordance with the procedures set out in
Schedule A4.
Clause 602. Management Interfaces and Services Management
The parties shall establish the management interfaces set out in Schedule A4. All contract
management of the AUTHORITIES’ Agreement shall be performed in accordance with the
provisions of Schedule A4.
Clause 603. Communications
603.1 Except as otherwise expressly provided no communication from one party to
another shall have any validity under the AUTHORITIES’ Agreement unless made in
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writing by or on behalf of DSS, 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 the AUTHORITIES’ Agreement to give or make to another shall be given
or made either by post in a prepaid letter, or by telex 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 the AUTHORITIES’ Agreement
to have been given or made after two days, for a letter, or four hours, for a telex or
facsimile transmission.
603.3 For the purposes of Clause 603.2 above the address of each party shall be:
603.3.1 For DSS:
For the attention of
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TERE PHOME ......-.0r-resvessersosessonnsnivecs
Facsimile
603.3.2 For POCL:
Telephone ............c.cssecssssssessseeeee
Facsimile .
603.3.3 For the CONTRACTOR:
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MRI a srcsrsracnnctae harper caesar Sins oases
603.4 Any party may change its address for service by notice as provided in this Clause
603.
Clause 604. Transfer and Sub-Contracting
604.1 The AUTHORITIES’ Agreement is personal to the CONTRACTOR. The
CONTRACTOR shall not assign, novate, sub-contract or otherwise dispose of the
AUTHORITIES’ Agreement or any part thereof without the previous consent in writing
of the AUTHORITIES.
604.2 The AUTHORITIES hereby consent to the CONTRACTOR's sub-contracting of
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its obligations specified in Schedule A10 to the respective sub-contractors specified therein
on the date hereof. Additional or substitute subcontractors may be approved from time to
time in accordance with Clause 604.1 after the date hereof, in which case Schedule A10
shall be amended accordingly. Notwithstanding any sub-contracting permitted in the
Related Agreements, 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 Services hereunder on the CONTRACTOR’ behalf as
though such acts or omissions were its own.
604.3 Subject to Clause 604.4, DSS shall be entitled to:
604.3.1 assign, novate or otherwise dispose of its rights and obligations
under the AUTHORITIES’ Agreement or any part thereof (including, where
appropriate, requiring the grant by the CONTRACTOR or its licensors of a direct
licence of any Software other than Third Party Software, and requiring the
CONTRACTOR to use all reasonable endeavours to procure the grant of a direct
licence of any Third Party Software) to any contracting authority (as defined in
Regulation 3(1) of the Public Services Contracts Regulations 1993) (a
"Contracting Authority"); or
604.3.2 novate the AUTHORITIES’ Agreement to any other body
(including but not limited to any private sector body) which performs any of the
functions that previously had been performed by DSS,
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provided that any such assignment, novation or other disposal pursuant to Clause
604.3.1 or 604.3.2 shall not increase the burden of the CONTRACTOR’s
obligations pursuant to the AUTHORITIES’ Agreement.
604.4 If the AUTHORITIES’ Agreement is novated to a body which is not a
Contracting Authority pursuant to Clause 604.3.2 (in the remainder of this Clause any
such body is referred to as the "transferee"):
604.4.1 the transferee shall only be able to assign, novate or otherwise
dispose of its rights and obligations under the AUTHORITIES’ Agreement or any
part thereof with the previous consent in writing of the CONTRACTOR;
604.4.2 the rights acquired by the transferee relating to the Use of the
Software shall not extend beyond the activities previously performed by DSS and,
in particular, the transferee shall not be entitled to perform any service bureau or
facilities management services utilising the Software for any third party.
604.4.3 the rights of the transferee under Clause 610 shall cease; and
604.4.4 the following Clauses shall be varied from the date of the novation
or the date of the change of status (as appropriate) as set out below as if the
AUTHORITIES’ Agreement had been amended by the parties in accordance with
Clause 101.3:
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(a) in Clause 804, the words "or (in the case of sums due to DSS) with
any department, office or agency of the Crown" shall be deleted;
(b) in Clause 606.1, the words "to the Crown or POCL, or their
respective servants or agents is the property of the Crown or POCL, as
appropriate" shall be replaced with "to each AUTHORITY or their
servants or agents is the property of the relevant AUTHORITY";
(c) in Clause 1001.1.1, the words "on Her Majesty's Service (which
term shall in this Clause 1001 include all persons employed or engaged by
the Crown and all persons providing services to the Crown) or employed
by or providing services to the Post Office Group" in the second line shall
be replaced with "employed by or providing services to DSS or the Post
Office Group or acting on their behalf" and the reference to "Her Majesty's
Service or the Post Office Group (as appropriate)" in the eighth line shall
be replaced with "DSS or the Post Office Group (as appropriate)";
(d) in Clause 1001.1.2, the words "on Her Majesty's Service or
employed by the Post Office Group" shall be replaced with "employed by
the AUTHORITIES or acting on their behalf"; and
(f) in Clause 1001.2, the words "with the Post Office Group or for Her
Majesty's Service" shall be replaced with "with the Post Office Group or
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DSss".
604.5 POCL shall be entitled to assign, novate or otherwise dispose of its rights and
obligations under the AUTHORITIES’ Agreement or any part thereof (including, where
appropriate, requiring the grant by the CONTRACTOR or its licensors of a direct licence
of any Software other than Third Party Software, and requiring the CONTRACTOR to use
all reasonable endeavours to procure the grant of a direct licence of any Third Party
Software) to any other body which performs any of the functions that previously had been
performed by POCL, provided that any such assignment, novation or other disposal shall
not increase the burden of the CONTRACTOR’s obligations pursuant to the
AUTHORITIES’ Agreement.
604.6 The AUTHORITIES shall be entitled to disclose, to the extent necessary for the
purposes of the Related Agreements, to any transferee any Confidential Information of the
CONTRACTOR which relates to the performance of the Services hereunder by the
CONTRACTOR. In such circumstances the AUTHORITIES shall authorise the transferee
to use such Confidential Information only for purposes relating to the performance of the
Services hereunder 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: Time
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605.1 Timetable
The CONTRACTOR shall perform the Services hereunder in accordance with
any timescales specified in Schedule B7 and elsewhere herein as “contractual
milestones” and shall use all reasonable endeavours to perform the Services
hereunder in accordance with any other timescales specified in Schedule B7 and
elsewhere herein, which shall be treated as “target dates”. In the event of any
failure to meet any target date, the CONTRACTOR shall provide the
AUTHORITIES 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 contractual milestone unless notice is served in accordance with Clause
605.4.
605.2 Extension of Time
605.2.1 If the performance of the Related Agreements by the
CONTRACTOR be delayed by reason of Default by either AUTHORITY or by
its employees or authorised agents, the CONTRACTOR shall be entitled to a
reasonable extension of time and to any reasonable additional costs which it can
show were directly incurred by the CONTRACTOR as a result of the delay. The
CONTRACTOR shall notify the AUTHORITIES in writing within three (3)
working days of becoming aware of such Default.
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605.2.2 If the performance of the AUTHORITIES’ Agreement by any party
be delayed by reason of any force majeure event (as defined in Clause 605.3), all
parties shall be entitled to a reasonable extension of time subject to there being
no entitlement to any additional costs or expenses incurred as a result of the
delay. The party so delayed shall notify the other parties in writing within one
(1) working day of becoming aware of such force majeure event.
605.3 Force Majeure
605.3.1 For the purposes of the AUTHORITIES’ 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 605.5), (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 party or third
party relating to the Services hereunder for which the CONTRACTOR is liable
under Clause 808 constitute Force Majeure.
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605.3.2 No party hereto shall in any circumstances be liable to any 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 the AUTHORITIES’ 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 the AUTHORITIES’ Agreement for the duration of such Force Majeure
event. In the case of the CONTRACTOR, the parties shall agree an orderly
process for such continuation or resumption of performance (such agreement not
to be unreasonably withheld or delayed), and the CONTRACTOR shall comply
with such process.
605.3.3 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 the other parties within one (1)
working day and shall inform the other parties of the period which it is estimated
that such failure or delay shall continue. If either AUTHORITY 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 other parties within one (1) working
day and shall inform the other parties of the period which it is estimated that such
failure or delay shall continue.
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605.3.4 It is expressly agreed that any failure by the CONTRACTOR to
perform, or any delay by the CONTRACTOR in performing, its obligations under
the AUTHORITIES’ 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 to perform the affected obligation.
605.3.5 [Not used]
605.3.6 If any Force Majeure event prevents any party from performing its
obligations hereunder for a period in excess of ninety (90) days, the
AUTHORITIES may after consultation with the CONTRACTOR and taking into
account the CONTRACTOR’s views jointly terminate the AUTHORITIES’
Agreement in accordance with Clause 902.1.4.
605.4 Time of the Essence
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Where the AUTHORITIES after undue delay by the CONTRACTOR notify the
CONTRACTOR that time is of the essence of the AUTHORITIES’ Agreement and any
of its obligations stated in such notice shall not have been performed by the
CONTRACTOR by any reasonable date stated in the notice, the AUTHORITIES may
terminate the AUTHORITIES’ Agreement in accordance with Clause 902.2.3. In relation
to the timescales specified herein. The AUTHORITIES may only give notice making time
of the essence in relation to timescales specified herein as “contractual milestones”.
605.5 Political Risk
Notwithstanding the provisions of Clause 605.3, a change of, or new, Governmental
Regulation:
(a) shall not excuse the AUTHORITIES from performing their obligations to meet
any minimum revenue guarantees applicable under Schedule A6 and, without limitation
to the foregoing, if the due date for the application of such minimum revenue guarantees
(or any agreed extension thereof) is delayed directly as a result of any change in, or new,
Governmental Regulation, the AUTHORITIES agree to meet such minimum revenue
guarantees from the date when they would have become payable but for such change in,
or new, Governmental Regulation;
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(b) shall not entitle the AUTHORITIES to terminate the AUTHORITIES’ Agreement
under Clause 605.3.6, and any such purported termination shall be treated as a termination
for convenience in accordance with Clause 902.6; and
(c) shall not require the CONTRACTOR to perform any additional obligations
without its agreement in accordance with Clause 101.3.
Clause 606. Confidentiality
606.1 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 Information (other than its own Confidential Information) obtained from
or relating to the Crown or POCL, or their respective servants or agents, is the property of
the Crown or POCL, as appropriate.
606.2 The CONTRACTOR hereby agrees that (other than as required by law):
606.2.1 the CONTRACTOR (and any person employed or engaged by the
CONTRACTOR in connection with the AUTHORITIES’ Agreement in the
course of such employment or engagement) shall only use Confidential
Information of either AUTHORITY for the purposes of the Related Agreements;
606.2.2 the CONTRACTOR (and any person employed or engaged by the
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CONTRACTOR in connection with the AUTHORITIES’ Agreement in the
course of such employment or engagement) shall not disclose any Confidential
Information of either AUTHORITY to any third party (except its approved sub-
contractors as listed in Schedule A10) or to the other AUTHORITY without the
prior written consent of the relevant AUTHORITY, and each AUTHORITY shall
from time to time notify the CONTRACTOR of the categories of that
AUTHORITY’s information which are not to be treated as Confidential
Information in relation to the other AUTHORITY;
606.2.3 the CONTRACTOR shall take all necessary precautions to ensure
that all Confidential Information of either AUTHORITY is treated as confidential
and not disclosed (save as aforesaid) or used other than for the purposes of the
Related Agreements 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
606.2.4 without prejudice to the generality of the foregoing neither the
CONTRACTOR nor any person engaged by the CONTRACTOR whether as a
servant or a consultant or otherwise shall use the Confidential Information of
either AUTHORITY for the solicitation of business from the other AUTHORITY
or from any third party by the CONTRACTOR or by such servant or consultant
or by any third party.
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606.3 The AUTHORITIES (other than as required by law):
606.3.1 shall treat as confidential all Confidential Information obtained from
the CONTRACTOR, including but not limited to the Source Code of any
Specially Written Software (as defined in the DSS Agreement or the POCL
Agreement, as appropriate) ; and
606.3.2 shall not, subject to Clause 606.5, disclose to any third party without
the prior written consent of the CONTRACTOR any Confidential Information
obtained from the CONTRACTOR.
606.4 The provisions of Clauses 606.1, 606.2 and 606.3 shall not apply to any
information which:
606.4.1 is or becomes public knowledge other than by breach of this Clause
606; or
606.4.2 is in the possession of the receiving party without restriction in
relation to disclosure before the date of receipt from the disclosing party.
606.4.3 is received from a third party who lawfully acquired it and who is
under no obligation restricting its disclosure.
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606.4.4 is independently developed without access to the Confidential
Information.
606.5 DSS and POCL may disclose any Confidential Information obtained from the
CONTRACTOR to the extent necessary for purposes connected with the Related
Agreements:
606.5.1 to any servant or agent of DSS (in DSS’s case) or of the Post Office
Group (in POCL’s case) provided that DSS and POCL respectively have required
that such information is treated as confidential by such servants or agents,
including requiring such servants or agents to enter into a confidentiality
undertaking where appropriate; and
606.5.2 subject to the prior written agreement of POCL and DSS, to any
other third party (in which case the disclosing AUTHORITY shall notify the
CONTRACTOR of such disclosure), provided that the relevant AUTHORITY
shall have taken reasonable steps to ensure that the third party shall observe
substantially the same terms as are contained in this Clause, including, without
limitation, obtaining a signed confidentiality undertaking between the third party
and the disclosing AUTHORITY or the CONTRACTOR.
606.6 Nothing in this Clause 606 shall prevent the CONTRACTOR or the
AUTHORITIES from using data-processing techniques, ideas and know-how gained
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during the performance of the Related Agreements in the furtherance of its normal
business, to the extent that this does not relate to a disclosure of Confidential Information
or an infringement by the AUTHORITIES or the CONTRACTOR of any Intellectual
Property Right.
Clause 607. Health and Safety Hazards
607.1 The CONTRACTOR shall notify the relevant AUTHORITY of any health and
safety hazards in relation to Premises owned by or leased to that AUTHORITY which may
arise in connection with the performance of the AUTHORITIES’ Agreement.
607.2 The revant AUTHORITY shall notify the CONTRACTOR of any known health
and safety hazards which may exist or arise at the Premises owned by or leased to that
AUTHORITY and which may affect the CONTRACTOR. The CONTRACTOR shall
draw these hazards to the attention of its employees and sub-contractors or any persons
engaged by the CONTRACTOR in the performance of the AUTHORITIES’ Agreement
at such Premises.
607.3. The CONTRACTOR shall inform all persons engaged in the performance of the
AUTHORITIES’ Agreement at the Premises owned by or leased to the relevant
AUTHORITY of all such hazards and shall instruct such persons in connection with any
necessary associated safety measures.
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Clause 608. Protection of Personal Data and Social Security Administration Act
608.1 The CONTRACTOR's attention is hereby drawn to the Data Protection Act 1984.
608.2 All parties warrant that they will duly observe all their obligations under the Data
Protection Act which arise in connection with the AUTHORITIES’ Agreement.
608.3 Section 123 of the Social Security Administration Act 1992 shall apply to this
AUTHORITIES’ Agreement. It is an offence for any person to disclose any information
obtained while carrying out administrative work where that information relates to a
particular person. All parties warrant that they will duly observe all their obligations under
the Social Security Administration Act 1992 which arise in connection with the
AUTHORITIES’ Agreement.
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Clause 609. Publicity
609.1 I Except with the written consent of both AUTHORITIES (which shall not be
unreasonably withheld or delayed), the CONTRACTOR shall not make any press
announcements about or publicise the AUTHORITIES’ Agreement in any way. The
AUTHORITIES shall consult the CONTRACTOR before making any press announcement
about or publicising the AUTHORITIES’ Agreement, other than pursuant to any legal
obligation or in any internal publication of DSS or the Post Office Group.
609.2 IThe CONTRACTOR shall take all reasonable steps to ensure the observance of
the provisions of Clause 609.1 by all its servants, employees, agents, consultants and sub-
contractors.
609.3 The CONTRACTOR shall have no right to use the brand or logo of any Post
Office Group member without POCL’s prior written consent, nor to use the brand or logo
of any part of DSS without DSS’s prior written consent nor to use the AUTHORITIES’
joint brands and logos (if any) without the AUTHORITIES’ prior written consent. The
CONTRACTOR shall do nothing to injure such logos and brands or the reputation of the
AUTHORITIES and, if it uses such brands and logos, shall take all reasonable steps to
enable the AUTHORITIES to protect such logos and brands and the reputation of the
AUTHORITIES but in no event less than the steps it would take in relation to its own
logos, brands and reputation.
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609.4 The AUTHORITIES shall have no right to use the brand or logo of the
CONTRACTOR or its sub-contractors without the CONTRACTOR’s prior written
consent. The AUTHORITIES shall do nothing to injure such logo and brands or the
reputation of the CONTRACTOR or its sub-contractors and, if either AUTHORITY 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 they would
take in relation to their own logos, brands and reputations.
Clause 610. CONTRACTOR's Personnel
610.1 The AUTHORITIES reserve the right under the AUTHORITIES’ Agreement to
refuse to admit (a) (in DSS’s case) to any premises occupied by or on behalf of the Crown
(which term shall in this Clause include all persons employed or engaged by the Crown and
all persons other than the CONTRACTOR and its sub-contractors providing services to the
Crown) or (b) to any premises occupied by or on behalf of any member of the Post Office
Group or to any post office (in POCL’s case) any person employed or engaged by the
CONTRACTOR, or by a sub-contractor, whose admission would be, in the reasonable
opinion of the relevant AUTHORITY, undesirable.
610.2 If and when directed by the relevant AUTHORITY, the CONTRACTOR shall
provide a list of the names and addresses of all persons who it is expected may require
admission in connection with the performance of the AUTHORITIES’ Agreement to any
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premises occupied by or on behalf of the Crown or by or on behalf of any member of the
Post Office Group or to any post office (as appropriate), specifying the capacities in which
they are concerned with the AUTHORITIES’ Agreement and giving such other particulars
as the relevant AUTHORITY may reasonably require. The CONTRACTOR shall comply
with any reasonable directions issued by the designated representative of the relevant
AUTHORITY as to which persons may be admitted to such premises and at what times.
610.3 If and when directed by the relevant AUTHORITY, the CONTRACTOR shall
secure that any person employed or engaged by the CONTRACTOR or by a
sub-contractor, who is specified in the direction or is one of a class of persons who may be
so specified, shall sign a statement that he understands that the Official Secrets Acts 1911
to 1989 apply to him both during the term of and after the expiry or termination of the
AUTHORITIES’ Agreement.
610.4 The CONTRACTOR’ representatives, engaged within the boundaries of a Crown
or Post Office Group establishment or post office, shall comply with such rules, regulations
and requirements (including those relating to security arrangements) as may be in force
from time to time for the conduct of personnel when at that establishment or post office and
when outside that establishment or post office.
610.5 The decision of the relevant AUTHORITY as to whether any person is to be
refused admission to any premises occupied by or on behalf of the Crown or the Post
Office Group or to a post office (as appropriate) shall be final and conclusive.
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Clause 611. Waiver
611.1 _ The failure of any party to insist upon strict performance of any provision of the
AUTHORITIES’ Agreement, or the failure of any party to exercise any right or remedy to
which it is entitled hereunder, shall not constitute a waiver thereof and shall not cause a
diminution of the obligations established by the AUTHORITIES’ Agreement.
611.2 A waiver of any Default in relation to the AUTHORITIES’ Agreement shall not
constitute a waiver of any subsequent Default.
611.3 No waiver of any of the provisions of the AUTHORITIES’ Agreement shall be
effective unless it is expressly stated to be a waiver and communicated to the other parties
in writing in accordance with the provisions of Clause 603.
Clause 612. Access to Premises
612.1 Any land or premises (including temporary buildings) made available to the
CONTRACTOR by the AUTHORITIES in connection with the AUTHORITIES’
Agreement shall be made available to the CONTRACTOR on such terms and conditions
as may be agreed between the CONTRACTOR and the relevant AUTHORITY. The
CONTRACTOR shall have the use of such land or premises as licensee and shall vacate
the same upon the termination or expiry of the AUTHORITIES’ Agreement or at such
earlier date as the relevant AUTHORITY may reasonably determine.
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612.2 The relevant AUTHORITY shall be responsible for maintaining the security of
such land or premises in accordance with its standard security requirements. The
CONTRACTOR shall comply with all reasonable security requirements of the relevant
AUTHORITY while on the premises, and shall procure that all of its employees, agents
and subcontractors shall likewise comply with such requirements. The relevant
AUTHORITY 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 613. Security Requirements
The CONTRACTOR shall comply with the security requirements as set out in Schedule A2.
Clause 614. CONTRACTOR’s Key Personnel
The parties acknowledge that the CONTRACTOR’s key personnel specified in Schedule A12
are essential to the fulfilment of its obligations hereunder. The CONTRACTOR undertakes to
use all reasonable endeavours to ensure that such key personnel are not removed or replaced
during the term hereof. However, in the event that any of its key personnel becomes unavailable
for any reason (including without limitation death, injury, sickness promotion or resignation),
the CONTRACTOR shall have the right upon giving thirty (30) days’ notice in writing (or such
shorter period of notice as may be reasonably practicable) to the AUTHORITIES to replace such
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an individual with another individual whose abilities and qualifications are appropriate for the
services to be performed by such individual.
PART 7 : WARRANTIES AND STANDARDS
Clause 701. Authority and Approval
The CONTRACTOR warrants and represents that it has full capacity and authority and all
necessary consents (including but not limited to, where its procedures so require, the consent of
its Parent Company) to enter into and to perform the AUTHORITIES’ Agreement and that the
AUTHORITIES’ Agreement is executed by a duly authorised representative of the
CONTRACTOR.
Clause 702. Performance of Services
The CONTRACTOR warrants and represents that:
702.1 the Services hereunder shall be supplied and rendered by appropriately
experienced, qualified and trained personnel with all reasonable skill, care and diligence;
702.2 the CONTRACTOR shall discharge its obligations under the AUTHORITIES’
Agreement with all reasonable skill, care and diligence including but not limited to good
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industry practice and (without limiting the generality of this Clause) in accordance with the
best of its own established internal procedures;
702.3 the Services hereunder shall be performed in compliance with all applicable laws,
enactments, orders, regulations, and other similar instruments;
702.4 the Services hereunder shall be fully integrated within the Service Architecture;
702.5 the Services hereunder shall be performed in accordance with all applicable
provisions of the Service Architecture Design Document;
702.6 the Services hereunder shall be compatible with the Service Environment as at
the date hereof, as set out in Schedule 1;
702.7 _ the Services hereunder shall be performed in such a way as to cause a minimum
of disruption to the business of the AUTHORITIES and the End Users.
Clause 703. Performance of Products
The CONTRACTOR warrants and represents that:
703.1 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;
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703.2 at the Operational Trial Acceptance Date and thereafter during the term of the
AUTHORITIES’ Agreement all components of the Service Infrastructure shall operate in
accordance with their respective technical specifications, except that, for the avoidance of
doubt, it is agreed that the AUTHORITIES shall have no remedy for breach of this
warranty in relation to errors or interruptions to Services covered by paragraph 4.1.3(a) of
Schedule A6 of the DSS Agreement or POCL Agreement (as appropriate); and
703.3 the Service Infrastructure will be compatible with the Service Environment as at
the date hereof, as specified in Schedule 1.
Clause 704. Intellectual Property Rights
The CONTRACTOR warrants and represents that:
704.1 neither AUTHORITY's use and operation of the Service Architecture and the
provision of the Services hereunder shall 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 502;
704.3 it is able to comply with Clauses 903.1.2 and 903.1.3.
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Clause 705. Industry Standards
The CONTRACTOR warrants and represents that the Services hereunder and the Service
Infrastructure shall comply with, and be provided in accordance with, all relevant applicable
industry standards as specified in Schedule A2.
Clause 706. Statements and Representations
The CONTRACTOR warrants and represents that all statements and representations made to
the AUTHORITIES in connection with tendering for and entering into the AUTHORITIES’
Agreement are, to the best of its knowledge, information and belief, true and accurate at the time
of making such statements and representations and that, from the date of execution hereof, it will
advise the AUTHORITIES 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 the AUTHORITIES’ 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.
PART 8 : REMEDIES
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Clause 801. Audit
801.1 The CONTRACTOR shall keep or cause to be kept the Records.
801.2 The CONTRACTOR shall grant or procure the grant to the AUTHORITIES, any
statutory or regulatory auditors of the AUTHORITIES 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 the
AUTHORITIES’ 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 the AUTHORITIES or a replacement
contractor, as instructed by the AUTHORITIES. The CONTRACTOR shall thereafter be
relieved from any further liabilities under this Clause in relation to such Records.
801.3 Without prejudice to the foregoing, in the event of an investigation into suspected
fraudulent activity or other impropriety by the CONTRACTOR or any third party the
AUTHORITIES reserve for themselves, any statutory or regulatory auditors of the
AUTHORITIES and their respective authorised agents or (in the case of DSS) any Crown
body 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
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conduct of such investigation at all times during the currency of the AUTHORITIES’
Agreement or at any time thereafter.
801.4 Whenever DSS requires it, and solely for the purposes of enabling DSS’s
accounting officer to meet his obligations under the Exchequer and Audit Departments Act
1866, the CONTRACTOR:
801.4.1 shall disclose to DSS whatever information DSS requires
concerning the prices DSS has paid or may have to pay under the
AUTHORITIES’ Agreement; and
801.4.2 shall produce whatever evidence DSS requires in support of the
information provided under Clause 801.4.1 above.
For the avoidance of doubt, such information shall not include information concerning
prices paid by the CONTRACTOR to its sub-contractors or suppliers.
801.5 In connection with the AUTHORITIES’ Agreement, the CONTRACTOR must
not enter into any other contract or agreement with any person unless that contract or
agreement contains a provision equivalent to Clause 801.4 allowing DSS to obtain price
information and evidence (as described in Clause 801.4) from that person. This Clause
801.5 does not apply if the CONTRACTOR has entered into a contract or agreement
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following a competitive tendering exercise in which the CONTRACTOR accepted the
tender with the lowest price.
801.6 DSS must use information provided under Clauses 801.4 and 801.5 for the
purposes of the Exchequer and Audit Departments Act 1866 and for no other purpose.
801.7 The CONTRACTOR shall provide the AUTHORITIES at no additional cost with
copies of the annual and interim audited accounts of the CONTRACTOR and its approved
subcontractors within fourteen (14) days of such accounts having been lodged at
Companies House or its local equivalent to Companies House.
801.8 Without in any way limiting the application of the other Clauses of this
AUTHORITIES’ Agreement, the CONTRACTOR acknowledges that for the purpose of
examining and certifying DSS’s accounts or for examining (pursuant to Section 6(1) of the
National Audit Act 1983) the economy, efficiency and effectiveness with which DSS has
used its resources, the Comptroller and Auditor General may examine such documents as
he may reasonably require which are owned, held or are otherwise within the control of the
CONTRACTOR and may require the CONTRACTOR to produce such oral and written
explanations as he considers necessary.
801.9 The CONTRACTOR shall ensure that the terms of its contracts with its sub-
contractors require the sub-contractors to permit examination by, and provide explanation
to, the Comptroller and Auditor General in the manner described in Clause 801.8.
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801.10 All information obtained by DSS or POCL pursuant to this Clause or Schedule
A3 shall be treated as Confidential Information.
801.11 The parties shall comply with the provisions of Schedule A3.
Clause 802. Liquidated Damages and Delay
802.1 In the event that:
802.1.1 the CONTRACTOR fails to make available the Operational Trial
System or any part thereof for the Operational Trial pursuant to Clause 402.1; or
802.1.2 the Operational Trial is not recorded as successful pursuant to the
relevant provisions of the AUTHORITIES’ Agreement, and the AUTHORITIES
elect to extend the relevant testing period in accordance with the relevant
provisions hereof,
the CONTRACTOR shall, at the option of the relevant AUTHORITY either credit against
the Charges or pay to the relevant AUTHORITY liquidated damages calculated in
accordance with Schedule C5. Unless the relevant AUTHORITY exercises its option to
recover such liquidated damages as a payment to it, the relevant AUTHORITY shall be
deemed to have exercised its option to recover such liquidated damages as a credit against
the Charges.
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802.2 The CONTRACTOR shall credit the relevant AUTHORITY with, or pay to the
relevant AUTHORITY, the liquidated damages within thirty (30) days of receipt of a valid
claim by the AUTHORITY.
802.3 The parties acknowledge that the liquidated damages specified in Schedule C5
are a genuine pre-estimate of the loss likely to be suffered by the relevant AUTHORITY
and that the figures therein are reasonable.
802.4 The liquidated damages specified in this Clause are without prejudice to any
other rights and remedies of the AUTHORITIES, except where they are specified in
Schedules A8 and CS to be the AUTHORITIES’ exclusive remedy in damages, in which
case such credit or payment of the relevant liquidated damages shall be in full and final
settlement of the CONTRACTOR’ liability in respect of the Default to which they relate.
Except in accordance with Schedules A8 and C5, the AUTHORITIES shall have no right
of termination in relation to any such Default.
802.5 The provisions of Schedule A8 shall apply in relation to liquidated damages and
service credits under all the Related Agreements.
Clause 803. Additional Resources
In the event that the Services hereunder are not provided in accordance with all applicable
provisions hereof as a result of the Default of the CONTRACTOR, the CONTRACTOR shall,
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at the request of the AUTHORITIES and without prejudice to the AUTHORITIES’ 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 the AUTHORITIES.
Clause 804. Recovery of Sums Due
If any sum of money shall be due from the CONTRACTOR, the same may be deducted from any
sum then due or which at any time thereafter may become due to the CONTRACTOR under the
Related Agreements or under any other agreement between the CONTRACTOR and the relevant
AUTHORITY or (in the case of sums due to DSS) with any department, office or agency of the
Crown or (in the case of sums due to POCL) with any member of the Post Office Group.
Clause 805. Intellectual Property Rights Indemnity
805.1 I Subject always to the AUTHORITIES' proper observance of their obligations
under this Clause 805, the CONTRACTOR shall indemnify the AUTHORITIES 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, Services hereunder or Service Architecture
by or on behalf of the AUTHORITIES or in connection with the Services hereunder.
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805.2 IThe CONTRACTOR shall promptly notify the AUTHORITIES if any claim or
demand is made or action brought against the CONTRACTOR to which this Clause
applies.
805.3. The AUTHORITIES shall promptly notify the CONTRACTOR if any claim or
demand is made or action brought against the AUTHORITIES to which Clause 805.1 may
apply. The CONTRACTOR shall at its own expense conduct any litigation arising
therefrom and all negotiations in connection therewith and the AUTHORITIES hereby
agree 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 the AUTHORITIES 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.
805.4 The AUTHORITIES 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 the AUTHORITIES to which Clause 805.1 may
apply or any claim or demand made or action brought against the CONTRACTOR to
which Clause 805.2 may apply. The CONTRACTOR shall reimburse the AUTHORITIES
for all costs and expenses (including but not limited to legal costs and disbursements on
a solicitor and client basis) incurred in so doing.
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805.5 The AUTHORITIES 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.
805.6 If aclaim or demand is made or action brought to which Clause 805.1 may apply
or in the reasonable opinion of the CONTRACTOR is likely to be made or brought, the
CONTRACTOR may at its own expense either:
805.6.1 modify any or all of the Products, the Service Architecture or the
Services hereunder without reducing the performance and functionality of the
same, or substitute alternative products, service architecture or services of
equivalent performance and functionality for any or all of the Products, the
Service Architecture or the Services hereunder, so as to avoid the infringement
or the alleged infringement but without disrupting the performance of the
Services hereunder, provided that the terms herein shall apply mutatis mutandis
to such modified or substituted items or services and such modified or substituted
items shall be acceptable to the AUTHORITIES (whether by passing any form
of acceptance testing or otherwise), such acceptance not to be unreasonably
withheld or delayed, and shall reimburse the AUTHORITIES’ all reasonable
costs directly incurred by them; or
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805.6.2 procure a licence to use the Products, Service Architecture and
Services hereunder on terms which afford to the AUTHORITIES no more
extensive rights than those originally applicable hereunder and which are
acceptable to the AUTHORITIES, and shall reimburse the AUTHORITIES’ all
reasonable costs directly incurred by them.
805.7 The foregoing provisions of this Clause 805 shall not apply insofar as any such
claim or demand or action is in respect of:
805.7.1 any use by or on behalf of the AUTHORITIES of the Products, the
Service Architecture or Services hereunder 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, Service Architecture or
Services hereunder directly gives rise to the claim, demand or action; or
805.7.2 any modification carried out by or on behalf of the AUTHORITIES to
any item supplied by the CONTRACTOR under the AUTHORITIES’ Agreement
if such modification is not authorised by the CONTRACTOR in writing; or
805.7.3 any use by the AUTHORITIES of the Products, Service Architecture or
Services hereunder in a manner not reasonably to be inferred from the
specification or requirements of the AUTHORITIES.
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805.8 If the CONTRACTOR has availed itself of its rights to modify the Products,
Service Architecture or the Services hereunder or to supply substitute products, service
architecture or services pursuant to Clause 805.6.1 (or the AUTHORITIES have
unreasonably withheld their acceptance of such substitute products, service architecture 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 the
AUTHORITIES have unreasonably withheld their 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.
805.9 Ifa modification or substitution in accordance with Clause 805.6.1 above is not
possible so as to avoid the infringement and the CONTRACTOR has been unable to
procure a licence in accordance with Clause 805.6.2 Clause 805.1 shall apply.
805.10 The AUTHORITIES hereby warrant and represent that any instructions given in
relation to the CONTRACTOR'S use of any third party item supplied directly or indirectly
by the AUTHORITIES shall not cause the CONTRACTOR to infringe any third party's
Intellectual Property Rights in such item. The AUTHORITIES shall, to the extent
reasonably possible, assign to the CONTRACTOR any indemnity in their 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
and Service Architecture by or on behalf of the AUTHORITIES or in connection with the
receipt of the Services hereunder.
Clause 806. Remedies Cumulative
Except as otherwise expressly provided in the AUTHORITIES’ Agreement, all remedies
available to the CONTRACTOR or to the AUTHORITIES for breach of the AUTHORITIES’
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. Alternative Dispute Resolution Procedure
807.1 All disputes between either or both of the AUTHORITIES and the
CONTRACTOR arising out of or relating to the AUTHORITIES’ Agreement shall be
referred, by any party involved in the dispute, to the contracts steering group (as specified
in Schedule A4) for resolution.
807.2 If any dispute cannot be resolved by the contracts steering group within a
maximum of fourteen (14) days after it has been referred under Clause 807.1, that dispute
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shall be referred to the [ ] of DSS and/or the [ ] of POCL (as appropriate) and
the [ ] of the CONTRACTOR for resolution.
807.3 If the dispute cannot be resolved by the relevant parties’ representatives
nominated under Clause 807.2 within a maximum of fourteen (14) days after it has been
referred under Clause 807.2 the dispute may be referred:
807.3.1 if the dispute is of a technical nature or is expressed by the
AUTHORITIES’ Agreement to be subject to expert determination, by agreement
between the relevant parties it may be referred for final determination to an expert
(the "Expert") who shall be deemed to act as expert and not as arbitrator; and
807.3.2 in all other aspects it shall be determined pursuant to Clause 104.1.
807.4 The Expert shall be selected by mutual agreement or, failing agreement, within
fourteen (14) days after a request by one relevant party to the other(s), shall be chosen at
the request of any party by the President for the time being of the Institution of Electrical
Engineers who shall be requested to choose a suitably qualified and experienced Expert for
the dispute in question.
807.5 Fourteen (14) days after the Expert has accepted the appointment the relevant
parties shall submit a written report on the dispute to the Expert and to each other and
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seven (7) days thereafter shall submit any written replies they wish to make to the Expert
and to each other.
807.6 The relevant parties will then afford the Expert all necessary assistance which the
Expert requires to consider the dispute including but not limited to full access to the
Service Environment and any documentation or correspondence relating to the Service
Environment.
807.7 The Expert shall be instructed to deliver his determination to the relevant parties
within fourteen (14) days or such other period as may be agreed between the relevant
parties after the submission of the written reports pursuant to Clause 807.5.
807.8 Decisions of the Expert shall be final and binding and not subject to appeal.
807.9 The Expert shall have the same powers to require any relevant party to produce
any documents or information to him and the other relevant parties as an arbitrator and
each relevant party shall in any event supply to him such information which it has and is
material to the matter to be resolved and which it could be required to produce on
discovery.
807.10 The fees of the Expert shall be borne by the relevant parties in the proportions
determined by the Expert having regard (amongst other things) to the conduct of the
relevant parties in relation to the dispute in question.
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807.11 Work and activity to be carried out under the AUTHORITIES’ Agreement shall
not cease or be delayed by this alternative dispute resolution procedure. However, during
the currency of any alternative dispute resolution procedure, the AUTHORITIES shall not
be entitled to exercise any right of termination which would otherwise arise in respect of
the dispute which forms the subject matter of such procedure.
Clause 808. Liability
808.1 Except as otherwise specified in Schedule B8 in relation to benefit payment, the
CONTRACTOR shall be liable for all losses and shall indemnify the AUTHORITIES
against all costs, expenses, losses and damages incurred (including any legal costs) as a
result of:
(a) __ use of copied, altered or forged Cards;
(b) any unauthorised third party access to the Service Architecture;
(c) any impersonation of Card holders;
(d) any “hacking” into systems used by the CONTRACTOR to provide the
Services (whether or not constituting an offence under the Computer Misuse Act
1990)
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(e) drawing of any benefit payments by Card holders or their proxies where
at the time of payment notification had been given by DSS to the
CONTRACTOR to withhold payment or cancel a proxy authorisation;
(f) —_ any other form of fraud (in relation to any of the Services).
808.2 Except as otherwise specified in Schedule B8 in relation to benefit payment, Clause
808.1 shall not apply if and to the extent that any of the matters referred to therein have
been caused by the AUTHORITIES’ non-performance of any obligation under the
AUTHORITIES’ Agreement upon the performance of which the CONTRACTOR's
obligations under the AUTHORITIES’ Agreement in respect of risk for fraud are expressed
to depend. The foregoing is in place of the general rule stated in Clause 101.5.6.
808.3 In any case where either or both of the AUTHORITIES incur any costs, expenses,
losses or damages as referred to in Clause 808.1, Clause 808.1 shall be presumed to apply
unless the CONTRACTOR proves that Clause 808.2 applies.
808.4 In relation to benefit payment only, the responsibilities of the parties for the
investigation of fraudulent losses and the agreed apportionment of costs under this
AUTHORITIES’ Agreement are defined in Schedule B8.
Clause 809. Injury to Persons; Loss of Property
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809.1 Subject always to the AUTHORITIES’ proper observance of their obligations
under this Clause, the CONTRACTOR shall fully indemnify the AUTHORITIES in
respect of any personal injury or loss of or damage to Property incurred by the
AUTHORITIES or their respective employees and authorised agents to the extent that such
personal injury or loss of Property is directly caused by any Default of the
CONTRACTOR, its employees or agents, in connection with the performance or purported
performance of the AUTHORITIES’ Agreement.
809.2 In the event of any claim or demand being made or action brought to which
Clause 809.1 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 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 the AUTHORITIES 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. The AUTHORITIES, their 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 810. Limitation of Liability
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810.1 No 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 all the Related Agreements shall
in no event exceed:
810.2.1.1 ten million pounds (£10,000,000), in the case of POCL’s
liability to the CONTRACTOR,
810.2.1.2 one million pounds (£1,000,000) in the case of DSS’s liability
to the CONTRACTOR;
810.2.1.3 fifty million pounds (£50,000,000), in the case of the
CONTRACTOR’ liability to DSS; and
810.2.1.4 ten million pounds (£10,000,000) per Year in relation to such
Defaults arising during that Year, in the case of the CONTRACTOR’s
liability to POCL.
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810.2.2 The aggregate liability of each party for all Defaults resulting in
direct loss of or damage to the Property of any other party under the
AUTHORITIES’ Agreement shall in no event exceed:
810.2.2.1 one million pounds (£1,000,000), in the case of POCL’s liability
to the CONTRACTOR;
810.2.2.2 one hundred thousand pounds (£100,000) in the case of DSS’s
liability to the CONTRACTOR;
810.2.2.3 five million pounds (£5,000,000), in the case of the
CONTRACTOR’ liability to DSS; and
810.2.2.4 one million pounds (£1,000,000) per Year in relation to such
Defaults arising during that Year, in the case of the CONTRACTOR’s
liability to POCL.
810.2.3 The aggregate liability per Year under all the Related Agreements
of the AUTHORITIES for all Defaults (other than a Default governed by Clauses
810.2.1 and 810.2.2) arising during that Year shall in no event exceed:
810.2.3.1 five million pounds (£5,000,000) in the case of DSS’s liability
to the CONTRACTOR;
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810.2.3.2 five million pounds (£5,000,000) in the case of POCL’s liability
to the CONTRACTOR.
810.2.4 The aggregate liability per Year of the AUTHORITIES for all
Defaults (other than a Default governed by Clauses 810.2.1 and 810.2.2) arising
during that Year under the AUTHORITIES’ Agreement shall in no event exceed:
810.2.4.1 five hundred thousand pounds (£500,000) in the case of DSS’s
liability to the CONTRACTOR;
810.2.4.2 five hundred thousand pounds (£500,000) in the case of POCL’s
liability to the CONTRACTOR.
810.2.5 The aggregate liability under all the Related Agreements of the
CONTRACTOR for all Defaults (other than a Default governed by Clauses
810.2.1 and 810.2.2) shall in no event exceed:
810.2.5.1 two hundred million pounds (£200,000,000) in the case of the
CONTRACTOR’ liability to the AUTHORITIES.
810.2.6 [Not used]
810.2.7 [Not used]
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810.2.8 Subject to Clause 810.2.9, the financial limits specified in Clause
810.2 apply to all claims for monetary relief which any party may have against
the other parties either under the Related Agreements or otherwise in relation to
the subject matter of the Related Agreements, including all claims for liquidated
damages pursuant to Clause 802, all claims to be indemnified pursuant to Clauses
805 and 809 and all other claims or costs which are compensable in money or
money’s worth.
810.2.9 The financial limits applicable to the AUTHORITIES under Clause
810.2 shall be exclusive of and additional to any liability of the AUTHORITIES
for failure to pay any Charge, any Termination Charge, any Transfer Payment or
any amount payable under Clause 201.9 which may become properly due and
payable to the CONTRACTOR in accordance with the provisions hereof.
810.3 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
810.3 shall not be deemed or construed to affect the CONTRACTOR’; liability under
Clause 808.
810.4 The provisions of Clause 810.3 shall not be taken as limiting the right of either
AUTHORITY to claim from the CONTRACTOR for:
810.4.1 additional operational and administrative costs and expenses; and/or
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810.4.2 expenditure or charges rendered unnecessary as a result of any
Default by the CONTRACTOR.
810.5 The parties expressly agree that should any limitation or provision contained in
this Clause be held to be invalid under any applicable statute or rule of law it shall to that
extent be deemed omitted but if any party thereby becomes liable for loss or damage which
would otherwise have been excluded such liability shall be subject to the other limitations
and provisions set out herein.
PART 9 : TERM AND TERMINATION
Clause 901. Term
The term of the AUTHORITIES’ Agreement shall, unless terminated earlier in accordance with
the provisions of Clause 902, be for a period commencing on the date hereof and ending five (5)
years from the Roll-Out Completion Date.
Clause 902. Termination of AUTHORITIES' Agreement
902.1 The AUTHORITIES may jointly at any time by notice in writing terminate the
AUTHORITIES’ Agreement with effect from the date of service of such notice or such
later date as may be specified therein if:
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902.1.1 there is a change of control, as defined by Section 416 of the Income
and Corporation Taxes Act 1988, in the CONTRACTOR or its GUARANTOR;
or
902.1.2 the CONTRACTOR or the GUARANTOR, being an individual, or
where the CONTRACTOR or the GUARANTOR is a firm, any partner or
partners in that firm who together are able to exercise direct or indirect control,
as defined by Section 416 of the Income and Corporation Taxes Act 1988, shall
at any time become bankrupt or shall have a receiving order or administration
order made against him or shall make any composition or arrangement with or for
the benefit of his creditors, or shall make any conveyance or assignment for the
benefit of his creditors, or shall purport to do so, or appears unable to pay or to
have no reasonable prospect of being able to pay a debt within the meaning of
Section 268 of the Insolvency Act 1986 or he shall become apparently insolvent
within the meaning of the Bankruptcy (Scotland) Act 1985 as amended by the
Bankruptcy (Scotland) Act 1993 or any application shall be made under any
bankruptcy or insolvency act for the time being in force for sequestration of his
estate, or a trust deed shall be granted by him for behoof of his creditors; or any
similar event occurs under the law of any other jurisdiction; or
902.1.3 the CONTRACTOR, being a company, passes a resolution, or the
Court makes an order that the CONTRACTOR or the GUARANTOR be wound
up otherwise than for the purpose of a bona fide reconstruction or amalgamation,
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or a receiver, manager or administrator on behalf of a creditor is appointed in
respect of the business or any part thereof (which for the avoidance of doubt 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
administrator or which entitle the Court otherwise than for the purpose of a bona
fide reconstruction or amalgamation to make a winding-up order, or the
CONTRACTOR or the GUARANTOR is unable to pay its debts within the
meaning of Section 123 of the Insolvency Act 1986 or any similar event occurs
under the law of any other jurisdiction; or
902.1.4 the circumstances in Clause 605.3.6 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 the AUTHORITIES, such agreement not to be
unreasonably withheld or delayed; or
902.1.5 any provision hereof other than Clause 902 expressly entitles the
AUTHORITIES to terminate the AUTHORITIES’ Agreement.
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902.2 The AUTHORITIES may jointly at any time by notice in writing terminate the
AUTHORITIES’ 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
(other than an obligation under Clauses 402.6, or 402.7, 402.8 or 402.9) under the
AUTHORITIES’ 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 the
AUTHORITIES, such agreement not to be unreasonably withheld or delayed;
902.2.2 the Default is not capable of remedy (and for the purposes of this
Clause, failure to comply with a timescale shall not of itself be considered a
Default not capable of remedy except pursuant to Clause 605.4); or
902.2.3 notice has been served pursuant to Clause 605.4 making time of the
essence and all or any of the obligations specified in the notice have not been
performed by the time limit stated in the notice.
902.3 In the event that the circumstances detailed in Clauses 402.6, 402.7, 402.8 or
402.9 arise, the AUTHORITIES may jointly terminate the AUTHORITIES’ Agreement
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by notice in writing with effect from the date of service of such notice or such later date
as may be specified therein.
902.4 In the event of any termination of the AUTHORITIES’ Agreement pursuant to
Clause 902.1, Clause 902.2 or Clause 902.3, the AUTHORITIES shall return the Service
Infrastructure or any part thereof (other than any part in relation to which either or both
of the AUTHORITIES has exercised an option to purchase under the Related Agreements),
in which case the CONTRACTOR shall, at no additional cost to the AUTHORITIES,
remove such parts of the Service Infrastructure and shall make good any damage to the
Premises occasioned by such removal.
902.5 The AUTHORITIES shall only be permitted to exercise their 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 the AUTHORITIES have agreed in advance in
writing to the particular change of control and such change of control takes place as
proposed. The CONTRACTOR shall notify the AUTHORITIES 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
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902.6.1 The AUTHORITIES may jointly terminate the AUTHORITIES’
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, the AUTHORITIES shall
on termination hereof pay to the CONTRACTOR the Termination Charge
(calculated in accordance with Schedule A9).
902.6.4 [Not used]
902.6.5 [Not used]
902.7 Termination shall not prejudice or affect any right of action or remedy which shall
have accrued or shall thereafter accrue to either party.
902.8 The provisions of Clauses 101, 102, 104, 502, 606, 608, 609, 801, 804, 805, 810,
902, 903 and 904 and the provisions of Schedules Al and A9 shall survive the termination
of this AUTHORITIES’ Agreement by the AUTHORITIES.
902.9 In the event of notice of termination of the AUTHORITIES’ Agreement being
given hereunder, DSS shall have the option exercisable at any time up to six (6) months
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after such notice to terminate the AUTHORITIES’ Agreement to give notice to terminate
the DSS Agreement pursuant to Clause 902.1.4 thereof and POCL shall have the option
exercisable at any time up to six (6) months after such notice to terminate the
AUTHORITIES’ Agreement to give notice to terminate the POCL Agreement pursuant to
Clause 902. 1.4 thereof.
902.10 If either POCL terminates the POCL Agreement, or DSS terminates the DSS
Agreement or all the DSS Services:
902.10.1 the terminating AUTHORITY shall have no further rights or
obligations under the AUTHORITIES’ Agreement, and none of the provisions
of the AUTHORITIES’ Agreement other than the provisions of Clauses 101, 102,
104, 301, 606, 608, 609, 801, 805, 810, 902, 903 and 904 and of Schedules Al,
A3, A6 and AQ shall survive in relation to the terminating AUTHORITY; and
902.10.2 the non-terminating AUTHORITY shall have the option of
terminating the AUTHORITIES’ Agreement pursuant to Clause 902.1.5,
provided that, if the terminating AUTHORITY terminated the POCL Agreement
or the DSS Agreement (as appropriate) pursuant to Clause 902.6 of the POCL
Agreement or the DSS Agreement (as appropriate), or terminated all the DSS
Services (in the case of DSS) pursuant to Clause 903.5 of the DSS Agreement,
then termination in accordance with this Clause 902.10 shall be treated as a
termination for convenience in accordance with Clause 902.6.
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902.11 In the event of the termination of any DSS Services or POCL Application
Services or of any Related Agreement, the parties shall negotiate in good faith to make any
necessary consequential amendments to the surviving Related Agreements in accordance
with Clause 101.3. Until such consequential amendments have been made, the
CONTRACTOR shall not be liable for any delay or failure in the performance of its
obligations under the surviving Related Agreements which is directly caused by the
termination of any DSS Services, POCL Services or Related Agreement.
Clause 903. Rights on Termination of AUTHORITIES’ Agreement
903.1 In the event of termination hereunder, in circumstances where the
AUTHORITIES do not intend inviting the CONTRACTOR to continue to provide the
Services hereunder or to provide services equivalent to the Services hereunder, DSS or
POCL shall, without prejudice to the AUTHORITIES' other rights and remedies, have the
option, exercisable at any time within four (4) months after notice of termination:
903.1.1 to acquire from the CONTRACTOR a non-exclusive licence to use
(or authorise a replacement contractor to use) for the continuation of services
equivalent to the Services hereunder in respect of any necessary Intellectual
Property Rights which are owned by the CONTRACTOR and used in connection
with the performance of the AUTHORITIES’ Agreement. Such licence shall:
903.1.1.1 not be subject to payment other than pursuant to Clause 903.1.5;
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903.1.1.2 be perpetual and irrevocable (subject to Clause 903.3); and
903.1.1.3 [Not used]
903.1.1.4 [Not used]
903.1.1.5 [Not used]
903.1.1.6 permit use by members of the Post Office Group and End Users.
903.1.2 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 the AUTHORITIES or to any person as may be
designated for the purpose by the AUTHORITIES 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
Services hereunder as the AUTHORITIES may designate;
903.1.3 to require that the CONTRACTOR shall at no cost to the
AUTHORITIES (or a replacement contractor) forthwith release to the
AUTHORITIES (or a replacement contractor) a copy of all the Software and all
other software, data, tools, utilities, documentation and any other item necessary
to provide the Services hereunder. Such software (other than any in respect of
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which the AUTHORITIES have exercised their option under Clause 903.1.1)
shall be subject to any applicable licence terms, provided that such terms shall not
detract from the AUTHORITIES’ or a replacement contractor’s ability to perform
services equivalent to the Services.
903.1.4 Notwithstanding the generality of Clauses 903.1.1 to Clause 903.1.3
the AUTHORITIES agree only to exercise their rights under such Clauses when
and only to the extent that it is necessary for the AUTHORITIES either to fulfil
the purposes of the AUTHORITIES’ Agreement themselves or to engage a third
party so to do.
903.1.5 In the event that the AUTHORITIES’ exercise any of the options
in Clause 903.1, the AUTHORITIES shall pay to the CONTRACTOR the
Transfer Payment calculated in accordance with Schedule A9.
903.1.6 If the AUTHORITIES’ Agreement expires and the AUTHORITIES
do not recompete the Services hereunder, they shall be obliged to exercise all of
the options in this Clause, unless the CONTRACTOR elects to relieve the
AUTHORITIES of this obligation in whole or in part.
903.2 In the event that the AUTHORITIES’ Agreement is terminated as provided for
herein:
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903.2.1 the CONTRACTOR shall repay forthwith to the relevant
AUTHORITIES all monies paid in relation to Services hereunder up to and
including such date of termination other than monies in respect of any Services
or part thereof properly performed in accordance with the AUTHORITIES’
Agreement;
903.2.2 the CONTRACTOR shall return to POCL all Post Office Group
Property in its possession and shall return to DSS all Property of DSS in its
possession;
903.2.3 the CONTRACTOR shall render all practicable assistance to the
AUTHORITIES, if requested, to the extent necessary to effect an orderly
assumption by the AUTHORITIES or a replacement contractor of the services
theretofore performed by the CONTRACTOR under the AUTHORITIES’
Agreement and the AUTHORITIES shall reimburse the CONTRACTOR for such
assistance at the rates then prevailing for customers of the CONTRACTOR for
the same or similar services;
903.2.4 the AUTHORITIES shall be entitled on termination to offer any
employee or sub-contractor (being an individual) of the CONTRACTOR who has
during the six (6) months prior to such offer been involved for at least seventy-
five per cent (75%) of his contracted working time in performing the
CONTRACTOR's obligations under the AUTHORITIES’ Agreement
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employment or an agreement for services with the AUTHORITIES 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 the AUTHORITIES’ Agreement) and no
later than three (3) months prior to the expiry of the AUTHORITIES’ Agreement
(in the case of the termination of the AUTHORITIES’ Agreement through the
effluxion of time) the CONTRACTOR shall at the request of the AUTHORITIES
provide to the AUTHORITIES or to a replacement contractor nominated by the
AUTHORITIES details of the terms of employment of all CONTRACTOR
personnel who are then employed in the performance of the Services hereunder
as reasonably required by the AUTHORITIES in order to permit compliance with
the Transfer of Undertakings (Protection of Employment) Regulations 1981 by
the AUTHORITIES or a replacement contractor;
(b) subject always to the AUTHORITIES’ proper observance of their
obligations under Clause 903.2.5(c), the CONTRACTOR shall fully indemnify
the AUTHORITIES from and against any and all liabilities which the
AUTHORITIES may incur in connection with or as a result of any claim or
demand whatsoever by any employee or former employee of the CONTRACTOR
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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 either AUTHORITY or any replacement
contractor) and/or its termination save to the extent such claim or demand both
(i) is made by an employee identified within the relevant employment details
referred to in Clause 903.2.5(a) as transferring pursuant to the Regulations and
(ii) relates to employer’s obligations accruing after the said transfer of
employment which are clearly identified within the relevant employment details;
(c) _ inthe event of any claim or demand being made or action brought to which
Clause 903.2.5(b) applies, the CONTRACTOR shall be promptly notified thereof
and the CONTRACTOR shall at its own expense conduct all negotiations for
settlement of the same and any legal proceedings that may rise therefrom. The
AUTHORITIES, their 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 The CONTRACTOR may at any time by notice in writing terminate any licence
granted under Clause 903.1.1 if the relevant AUTHORITY is in Default of its obligations
under Clause 903.1.1 in relation to such licence and the relevant AUTHORITY shall fail
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to remedy such Default within thirty (30) days of written notice to the relevant
AUTHORITY 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.
903.4 The AUTHORITIES shall only be entitled to exercise the options in Clause 903.1
and 903.2.4 to the extent that such exercise does not affect the CONTRACTOR’s ability
to perform any DSS Services or POCL Services.
Clause 904. Transfer Services
In the event of termination of the AUTHORITIES’ Agreement pursuant to Clause 902, the
CONTRACTOR shall perform the Transfer Services as set out in Schedule A9.
PART 10 : MISCELLANEOUS
Clause 1001. Corrupt Gifts and Payments of Commission
1001.1 The CONTRACTOR shall neither:
1001.1.1 offer or give or agree to give any person on Her Majesty's Service
(which term shall in this Clause 1001 include all persons employed or engaged
by the Crown and all persons providing services to the Crown) or employed by
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or providing services to the Post Office Group any gift or consideration of any
kind as an inducement or reward for doing or forbearing to do or for having done
or forborne to do any act in relation to the obtaining or performance of the
AUTHORITIES’ Agreement or any other agreement with Her Majesty's Service
or the Post Office Group (as appropriate) or for showing or forbearing to show
favour or disfavour to any person in relation to the AUTHORITIES’ Agreement;
nor
1001.1.2 _ enter into the AUTHORITIES’ Agreement if in connection with it
commission has been paid or agreed to be paid to any person on Her Majesty's
Service or employed by the Post Office Group by the CONTRACTOR or on the
CONTRACTOR's behalf or to the CONTRACTOR's knowledge, unless before
the AUTHORITIES’ Agreement are 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 the AUTHORITIES.
1001.2 In the event of any breach of this Clause 1001 by the CONTRACTOR or by
anyone employed by the CONTRACTOR or acting on the CONTRACTOR's behalf
(whether with or without the knowledge of the CONTRACTOR) or the commission of any
offence by the CONTRACTOR or by anyone employed by the CONTRACTOR or acting
on behalf of the CONTRACTOR under the Prevention of Corruption Acts, 1889 to 1916
in relation to this or any other contract with the Post Office Group or for Her Majesty's
Service, the AUTHORITIES may terminate the AUTHORITIES’ Agreement by notice in
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writing to the CONTRACTOR pursuant to Clause 902.1.5. 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 the AUTHORITIES and provided always that the
AUTHORITIES may recover from the CONTRACTOR the amount or value of any such
gift, consideration or commission.
1001.3 The decision of the AUTHORITIES 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 the AUTHORITIES’
Agreement); or
1001.3.2 the right of the AUTHORITIES under this Clause 1001 to terminate
the AUTHORITIES’ Agreement; or
1001.3.3 the amount or value of any such gift, consideration or commission.
Clause 1002. Discrimination
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1002.1 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.
1002.2 The CONTRACTOR shall take all reasonable steps to ensure the observance of
the provisions of Clause 1002.1 by all servants, employees, agents and consultants of the
CONTRACTOR and all sub-contractors.
Clause 1003. Guarantee
The CONTRACTOR shall procure that the GUARANTOR shall within five (5) days after the
date hereof enter into and maintain a guarantee in the form set out in Schedule All. Breach of
this Clause shall constitute a Default not capable of remedy.
Clause 1004. 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 Services hereunder, including workman’s compensation, public liability, product
liability, property damage and professional indemnity. The CONTRACTOR will, if requested
in writing by either AUTHORITY, produce to the relevant AUTHORITY a certificate of
insurance showing the applicable coverage currently in force, and will also give the
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AUTHORITIES’ prior written notice of (where possible), or written notice no later than thirty
(30) days after, alteration or cancellation of such insurance.
IN WITNESS WHEREOF this Agreement has been executed on behalf of the parties as follows:
Signed for and on behalf of the Secretary of State for Social Security
Name ..
NR cate anne se ccasinac cases Fars deee Appa Meese nese ethane anon
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Signed for and on behalf of POCL
Signed for and on behalf of the CONTRACTOR
DIC ccnerconsnancscoomenemenrerntencamaemE erat
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SCHEDULE 2
EXTRAPOLATION AND TRANSPOSITION OF SCHEDULES
(Clause 201)
Schedules in the Related Agreements transposed from Schedule 3
Schedules in the Related Agreements extrapolated from Schedule A6
D reement
D7 and E7
POCL Agreement
D7, E7, F7 and G9
Schedules in the Related Agreements transposed from Schedule B1
DSS Agreement
AIS
POCL Agreement
AlS
Schedules in the Related Agreements extrapolated from Schedule B1
AUTHORITIES’ Agreement
1, B6, Cl and C3
DSS Agreement
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1, BS, B6, B8, D1, D2, D4, D9, E1, E2, E4, E9, Fl and F3
POCL Agreement
1, BS, B6, B8, C1, D1, D2, D4, D9, El, E2, E4, E9, Fl, F2, F4, F9, G1, G2, G3, G4, G6,
G11, H1 and H3
Schedules in the Related Agreements transposed from Schedule B2
D! ment
Al6
POCL Agreement
Al6
Schedules in the Related Agreements extrapolated from Schedule B2
AUTHORITIES’ Agreement
B6, C2 and C4
DSS Agreement
B1, B2, B3, B4, BS, B6, B8, D1, D2, D3, D9, El, E2, E3, E9, F2 and F4
POCL Agreement
B1, B2, B3, B4, BS, B6, B8, C1, D1, D2, D3, D9, El, E2, E3, E9, Fl, F2, F3, F9,
G1, G2, G3, G4, GS, G11, H2 and H4
Schedules in the Related Agreements extrapolated from Schedule B3
DSS Agreement
D8 and E8
POCL Agreement
D9 and E9
Schedules in the Related Agreements extrapolated from Schedule B4
AUTHORITIES’ Agreement
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1, B6, Cl and C3
DSS Agreement
1, BS, B6, B8, D1, D2, D4, D9, El, E2, E4, E9, Fl and F3
POCL Agreement
1, BS, B6, B8, Cl, D1, D2, D4, D9, El, E2, E4, E9, Fl, F2, F4, F9, G1, G2, G3, G4, G6,
G11, H1 and H3
Schedules in the Related Agreements extrapolated from Schedule BS
AUTHORITIES’ Agreement
B6, C2 and C4
DSS Agreement
B1, B2, B3, B4, BS, B6, B8, D1, D2, D3, D9, El, E2, E3, E9, F2 and F4
POCL ment
B1, B2, B3, B4, BS, B6, B8, Cl, D1, D2, D3, D9, El, E2, E3, E9, Fl, F2, F3, F9,
G1, G2, G3, G4, G5, G11, H2 and H4
Schedules in the Related Agreements extrapolated from Schedule B8
DSS Agreement
B10
POCL Agreement
B10
Schedules in the related Agreements extrapolated from Schedule C5
DSS Agreement
F5
POCL Agreement
HS
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SCHEDULE 3- ASSUMPTIONS
1.0/ITT 2.0] ready for ITT
1. ASSUMPTIONS
1.3. [DN: First draft, issued as a blank placeholder
Schedule.]
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INTERPRETATIONS
First draft ready for internal
review
oc Updated following first set of I 3-Oct-95
requirement schedules
1.0 Issued following workshop 6-Oct-95
a1 First revision post-issue 3-Nov-95
Big2 Subsequent issue 06/11/95 14:39
a.2 revised 13-15 Dec 95 by Patrick ]15-Dec-95
Sedgwick with reference to
Requirements Catalogue.
A revised in light of comments I3-Jan-96 by
from Dave Pryce and of lawyers’
interpretations in Clauses
Patrick Sedgwick
£.5. feedback from Requirements Team I5-Jan-96
E.6 more feedback 11-Jan-96
2.77 evolution 12-Jan-96
1.8 evolution 15-Jan-96
fe further evolved and ready for]I17-Jan-96
issue to SPs and Sponsors
2.0 Issued to SPs and Sponsors 17-Jan-96
2.3 Available internally 19-Jan-96
2.2 working version
Bt Issued to Sponsors and SPs 2-Feb-96
Sd working version
4.0 Issued to Sponsors and SPs 9-Feb-96
4.1 working version
5.0 Issued to Sponsors and SPs 16-Feb-96
5.1 working version
6.0 ready for ITT 27-Feb-96
ITT VersionI for issue in ITT 29-Feb-96
2.0
1. DEFINITION OF TERMS
ee As used in the Related Agreements, the following terms
have the following meanings.
Acceptance Criteria:
The criteria for
specified in the
otherwise agreed
Acceptance of Deliverables and Services as
relevant Related Agreement, or as
in writing by the relevant AUTHORITY and
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CONTRACTOR, including the DSS Acceptance Criteria, the DSS
Operational Trial Criteria, the POCL Acceptance Criteria,
the POCL Operational Trial Criteria, the Operational Trial
Criteria and the Acceptance Specifications.
Acceptance Incident:
Any unusual or undesirable occurrence, or request for
advice and guidance, which has been reported in writing by
the AUTHORITIES to the CONTRACTOR for analysis in respect
of an Acceptance Test.
Acceptance Period:
A period of time which is identified in the appropriate
Acceptance Specification as the allowable time for an
Acceptance Test, including the Roll Out Acceptance Period,
the DSS Acceptance Procedures Period, the DSS Operational
Trial Period, the Operational Trial Period, the POCL
Acceptance Procedures Period and the POCL Operational Trial
Period.
Acceptance Procedures:
The procedures, specified in the Related Agreements, for
Acceptance of Deliverables and Services provided under the
terms of the Related Agreements, including the DSS
Acceptance Procedures, the DSS Operational Trial
Procedures, the POCL Acceptance Procedures, the POCL
Operational Trial Procedures, the Operational Trial
Procedures, and the Roll Out Acceptance Procedures.
Acceptance Review:
A component of an Acceptance Test, used to test the
acceptability of Deliverables or Services.
Acceptance Specification:
A document prepared in accordance with the Acceptance
Procedures describing the details of an Acceptance Test.
Acceptance Test Condition:
A specific element of an Acceptance Test, defined in an
Acceptance Specification, that contributes to establishing
that an Acceptance Criterion has been met.
Acceptance Test:
A process, defined in the Acceptance Procedures, for
determining whether a Deliverable or Service meets the
relevant Acceptance Criteria, and which includes one or
more Acceptance Trials, or one or more Acceptance Reviews,
or at least one of each of these.
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Acceptance Trial:
A component of an Acceptance Test, used to test the
acceptability of Services.
Acceptance:
Acceptance in accordance with the Acceptance Procedures.
Additional DSS Service:
Any DSS Service to be supplied pursuant to Clause 203 of
the DSS Agreement.
Additional POCL Service:
Any POCL Service to be supplied pursuant to Clause 203 of
the POCL Agreement.
Additional Product:
Means, in the DSS and POCL Agreements, any Product to be
supplied pursuant to Clause 206 of the DSS Agreement or
POCL Agreement (as appropriate) .
Advertisement:
The advertisement placed by the AUTHORITIES in the Official
Journal of the European Communities on 30 August 1994 for
the supply of the Service Infrastructure and the Services.
Agents:
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 sub post offices.
Alternative Payee:
An Authorised Person who for certain benefits can be
nominated by the Beneficiary, to collect the benefit on his
or her behalf.
AP Client Specification:
A document describing an AP Client Service Type.
AP:
Automated payment, effected by the Automated Payment
Service.
APACS:
The Association for Payment and Clearing Services.
Application:
A Service delivered through and dependent upon the medium
of the POCL Service Infrastructure.
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Appointee:
A person appointed by DSS to act as an Authorised Person on
behalf of a Beneficiary who is unable to manage his or her
own affairs because of some disability.
approve:
To approve in writing, and related terms shall be construed
accordingly.
APS Generic Rules:
A document describing generic rules for APS.
APS:
Automated Payment Service (q.v.).
APT:
The Automated Payment Terminal used to provide the APS.
Associated Collateral Material:
Information provided to a Beneficiary, through media such
as leaflets and displays in post offices or DSS offices,
including without limitation arrangements for Card security
and access to benefits.
Attachable Computer System:
A computer system (provided either by the CONTRACTOR under
the Related Agreements, or by any other party authorised by
POCL and agreed with the CONTRACTOR), authorised by POCL
for connection to the POCL Service Infrastructure.
Authorised Payment Id:
A means of uniquely identifying an Authorised Payment.
Authorised Payment:
A single amount of a particular benefit type authorised by
the DSS as being due to a specified Beneficiary on a
specified date.
Authorised Person’s Agent:
A person authorised by a Beneficiary, or the Beneficiary’s
Appointee, to collect that Beneficiary’s benefit payments
on his or her behalf.
Authorised Person:
A person authorised by DSS, or the relevant Beneficiary or
an Appointee, to collect an Authorised Payment.
Authorising Officer:
A representative of the relevant AUTHORITY who has
authority to raise orders, authorise invoices, and may make
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decisions on specified areas on behalf of the relevant
AUTHORITY.
AUTHORITIES’ Agents:
Any person(s) or organisation(s) authorised to act on
behalf of the AUTHORITIES.
AUTHORITIES’ Agreement:
The agreement between DSS, POCL and the CONTRACTOR,
consisting of the Clauses and the Schedules (including the
Annexes to the Schedules) .
AUTHORITIES' Data:
The DSS Data and the POCL Data.
AUTHORITIES' Responsibilities:
The responsibilities of each of the AUTHORITIES listed in
Schedules B2 and B5 of the AUTHORITIES’ Agreement.
AUTHORITIES' Trial Responsibilities:
The responsibilities of the AUTHORITIES listed in Schedule
C4 of the AUTHORITIES’ Agreement.
AUTHORITY’s Agent:
Any person(s) or organisation(s) authorised to act on
behalf of an AUTHORITY.
AUTHORITY's Responsibilities:
The responsibilities of each AUTHORITY, as listed in
Schedules B2 and B5 of the AUTHORITIES’ Agreement.
Automated Payment Service:
The automated payment service supplied by the CONTRACTOR
pursuant to Clause 405.2 of the POCL Agreement.
Basic DSS Products:
The Products to be supplied pursuant to Clause 204 of the
DSS Agreement.
Basic DSS Services:
The DSS Services to be supplied pursuant to Clause 201 of
the DSS Agreement.
Basic POCL Products:
The Products to be supplied pursuant to Clause 204 of the
POCL Agreement.
Basic POCL Services:
The POCL Services to be supplied pursuant to Clause 201 of
the POCL Agreement.
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Basic Products:
The Products to be supplied pursuant to Clause 204 of the
DSS Agreement or the POCL Agreement (as appropriate).
Beneficiary:
A person entitled to receive, and in receipt of, benefit.
Benefit Encashment Service:
The benefit encashment service supplied by the CONTRACTOR
pursuant to Clause 405.1 of the POCL Agreement.
Benefit Payment Service:
The end-to-end service provided by the combination of BES,
PAS and CMS.
Benefits Advice Notes:
Information supplied to Authorised Persons, explaining (i)
the rules for claiming benefits, and (ii) Authorised
Persons’ legal requirement to report any change of
circumstances that may or may not affect a Beneficiary’s
entitlement to benefit.
BES:
Benefit Encashment Service (q.v.).
BPS:
Benefit Payment Service (q.v.)
CAPS Release Strategy:
The plan for the implementation of CAPS.
CAPS:
The Customer Accounting and Payment Strategy of DSS.
Card Authentication Method:
The method, and any associated technology, used to verify
that the Card presented in support of a benefit payment
Transaction is genuine and valid.
Card Management Service:
The card management service supplied by the CONTRACTOR
pursuant to Clause 405.1 of the DSS Agreement.
Card Termination:
A process whereby the CONTRACTOR invalidates a hitherto
valid Card in accordance with the terms of the DSS
Agreement, so that it can no longer be used to support
benefit payments.
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Card:
A card or other token to be issued by or on behalf of DSS
for the payment of benefits and allowances and other
related benefit and social security purposes, as provided
and managed under the Card Management Service.
Cardholder Verification Method:
The method, and any associated technology, used to verify
that the person presenting a Card in support of a benefit
payment Transaction is the Authorised Person authorised to
receive that benefit payment.
Casual Agent:
A person authorised by the Beneficiary to collect benefit
on his or her behalf on a one-off basis.
Change Control Board:
The body described charged with overall responsibility, on
behalf of the AUTHORITIES or the relevant AUTHORITY, for
the Change Control Procedure.
Change Control Note:
A document used in the Change Control Procedure and defined
in Schedule A5 of the relevant Related Agreement.
Change Control Procedure:
The procedure defined in Schedule A5 of the relevant
Related Agreement.
Charges:
The charges payable under any of the Related Agreements by
either of the AUTHORITIES.
Client Service Type:
A variant of a standard Service with detailed aspects of
that Service customised to meet a specific Client’s needs.
Client:
An organisation on behalf of which POCL provides a service
to Customers at Outlets.
CMS:
Card Management Service (q.v.).
Commit:
in relation to a Transaction, means to execute a
Transaction Committal for that Transaction.
Common Charging Mechanism:
The means by which the CONTRACTOR shall charge for all
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Basic and Optional DSS and POCL Services, as defined in
Schedule A6 of the AUTHORITIES’ Agreement.
Confidential Information:
All information designated as such by any party to the
relevant Related Agreement in writing together with all
other information which relates to the business, affairs,
Products, developments, trade secrets, know-how, personnel,
customers and suppliers of any party or information which
may reasonably be regarded as the confidential information
of the disclosing party.
Contention:
A situation in which two or more devices simultaneously
seek communication with another device, which itself can
communicate with only one device at a time.
Contract Manager:
A person appointed by the AUTHORITIES, or by the relevant
AUTHORITY, or by the CONTRACTOR, to manage and monitor the
operation of the relevant Related Agreements, as required
in Schedule A4 of the relevant Related Agreement.
Contract Variation:
Any change to the Services which requires a change to the
Related Agreements.
Contractor Consumables:
Means (i) in the DSS Agreement, the consumables which are
required for the performance of the DSS Services by the
CONTRACTOR, other than consumables so used on the DSS
Premises, and (ii) in the POCL Agreement, 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 Software:
Means (i) in the DSS Agreement, the software identified as
such in Schedule B1 of the DSS Agreement and which is
supplied by the CONTRACTOR as part of the DSS Service
Infrastructure pursuant to Clause 204 of the DSS Agreement,
or as an Optional Product or Additional Product, and (ii)
in the POCL Agreement, the software identified as such in
Schedule Bl of the POCL Agreement and which is supplied by
the CONTRACTOR as part of the POCL Service Infrastructure
pursuant to Clause 204 of the POCL Agreement, or as an
Optional Product or Additional Product.
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Counter Clerk:
Any person who serves Customers at a Counter Position in a
post office.
Counter Position:
A serving position in a post office, where a Customer
transacts business with a Counter Clerk.
CPCS:
The Customer Payment Computer System operated by DSS.
Customer Session:
A set of contiguous Transactions recording business
transacted by a single Customer.
Customer Statement Request:
A request by a Customer for a DSS Statement Of Account.
Customer:
A person transacting, or seeking to transact, business with
either AUTHORITY through any of the Services, either on his
or her own behalf, or on someone else’s behalf.
Data File:
A set of electronic data, contained within a single file
and held or used within, or transmitted over, any of the
Services provided by the CONTRACTOR.
Declaration of Entitlement:
A statement, in a form specified by DSS, signed by a person
stating that he or she is entitled to receive benefit.
Default:
Means (i) in the DSS Agreement and the POCL Agreement, any
breach of the obligations of any party (including but not
limited to fundamental breach or breach of a fundamental
term) or any default, act, omission, negligence or
statement of any party, its employees, agents or
sub-contractors in connection with or in relation to the
subject matter of the DSS Agreement or the POCL Agreement
(as appropriate) and in respect of which such party is
liable to the other, and (ii) in the AUTHORITIES’
Agreement, any breach of the obligations of any party
(including but not limited to fundamental breach or breach
of a fundamental term) or any default, act, omission,
negligence or statement of any party, its employees, agents
or sub-contractors in connection with or in relation to the
subject matter of the Related Agreements (as appropriate)
and in respect of which such party is liable to either or
both of the other parties.
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Deliverable:
An item which the CONTRACTOR is required to provide under
the terms of the Related Agreements, including without
limitation Products.
Deposited Software:
All software designated as such in Schedule Bl of the DSS
Agreement or the POCL Agreement (as appropriate).
Development Services:
The development services to be performed by the CONTRACTOR
under the AUTHORITIES’ Agreement.
Documentation:
The documentation listed in Schedule B3 of the Dss
Agreement or the POCL Agreement (as appropriate).
Double Key Requirements:
The requirements set out in Schedule B4 of the AUTHORITIES’
Agreement.
Double Key Solutions:
The solutions to the Double Key Requirements as set out in
Schedule B5 of the AUTHORITIES’ Agreement.
DSS Acceptance Criteria:
The criteria for acceptance of the Products and DSS
Consumables specified in Schedule B5 of the DSS Agreement.
DSS Acceptance Procedures Period:
The period (defined in Schedule All of the DSS Agreement)
within which the DSS Acceptance Procedures must be
performed.
DSS Acceptance Procedures:
The inspections, tests and trials specified in Schedule A11
of the DSS Agreement.
DSS Acceptance Test:
The acceptance test specified in Schedule All of the DSS
Agreement.
DSS Agreement:
The agreement between DSS and the CONTRACTOR, comprising
the Clauses and the Schedules (including the Annexes to the
Schedules) .
DSS Consumables:
The consumables to be supplied pursuant to Clause 207 of
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Dss
Dss
DSS
Dss
Dss
Dss
Dss
Dss
Dss
the DSS Agreement, as listed in Schedule B4 of the DSS
Agreement .
Contingency Services:
The contingency services specified in Schedules D9 and E9
of the DSS Agreement, to be performed pursuant to Clause
409 of the DSS Agreement.
Data:
Means all data, information, text, drawings, diagrams,
images or sounds which are embodied in any electronic or
tangible medium, and which are supplied or in respect of
which access is granted to the CONTRACTOR by DSS pursuant
to the Related Agreements, or which the CONTRACTOR is
required to generate for DSS under the Related Agreements
but excludes the DSS Service Architecture Design Document,
the Service Architecture Design Document and Documentation.
Day:
08:00 to 18:00 Monday to Saturday inclusive, excluding bank
holidays.
Development Services:
The development services to be performed by the CONTRACTOR
under the DSS Agreement.
Operational Trial Acceptance Date:
The date of final acceptance of the DSS Operational Trial
System in accordance with Clause 403 of the DSS Agreement,
as set out in Schedule F2 of the DSS Agreement.
Operational Trial Commencement Date:
The commencement date of the DSS Operational Trial
Procedure, as set out in Schedule F2 of the DSS Agreement.
Operational Trial Criteria:
The trial criteria for the DSS Operational Trial, as set
out in Schedule Fl of the DSS Agreement.
Operational Trial Period:
The period for performance of the DSS Operational Trial
Procedures, starting on the DSS Operational Trial
Commencement Date and ending on the DSS Operational Trial
Acceptance Date.
Operational Trial Procedures:
The acceptance test procedures of the DSS Operational Trial
System, as described in Schedule All of the DSS Agreement.
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Dss
Dss
Dss
Dss
Dss
Dss
Dss
Dss
Dss
Dss
Operational Trial System:
The trial system to be delivered to be tested under the DSS
Operational Trial Procedures, as described in Schedule F1
of the DSS Agreement, to enable the functionality and
performance of the DSS Service Infrastructure and the DSS
Services within the DSS Service Architecture to be
assessed.
Operational Trial:
The operational trial to be carried out pursuant to Clause
403 of the DSS Agreement.
Premises:
All premises of DSS from time to time.
Responsibilities:
The responsibilities of DSS listed in Schedule D3 and E3 of
the DSS Agreement.
Service Architecture Design Document:
The document showing the DSS Service Architecture developed
pursuant to Clause 402.1.4 of the DSS Agreement, as amended
from time to time to reflect Optional and Additional
Products and Optional and Additional DSS Services.
Service Architecture:
The architecture of the DSS Steady State Services, the DSS
Service Infrastructure and the DSS Service Environment.
Service Environment:
DSS's existing computer, telecommunication and business
operating systems and services, which are to be integrated
with the DSS Service Infrastructure and the DSS Steady
State Services to form the DSS Service Architecture.
Service Infrastructure:
Means the Hardware, the Software and all other electronic,
computer and telecommunications equipment, which form the
infrastructure to be utilised by the CONTRACTOR for the
provision of the DSS Services but does not include the DSS
Service Environment.
Services:
The Card Management Service, the Payment Authorisation
Service and all other obligations of the CONTRACTOR under
the DSS Agreement.
Steady State Services:
The Card Management Service, the Payment Authorisation
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Service and the DSS Contingency Services, and any relevant
Optional DSS Services.
DSS Trial Responsibilities:
The responsibilities of DSS listed in Schedule F4 of the
DSS Agreement .
EFTPOS:
Electronic Funds Transfer at Point of Sale: a term used to
describe the debiting of customers’ accounts, usually
through EPOS systems, for goods or services they purchase.
Encashment Id:
A means of uniquely identifying an individual encashment.
End User:
Any employee of the Post Office Group and any Agent or
employee thereof.
EPOS:
Electronic Point of Sale: a term used to describe the
systems typically used in retail shops and stores, at the
point of customer service, for recording sales
transactions.
EPOSS:
The EPOS Service supplied by the CONTRACTOR pursuant to
Clause 405.3 of the POCL Agreement.
Equipment:
Any physical hardware (including but without limitation
supply cords, interface cables and cords, User-installable
components and peripherals) forming part of the Service
Infrastructure, or supplied under the DSS Agreement or the
POCL Agreement (as appropriate) as an Optional Product or
an Additional Product.
Event:
A recorded and auditable instance of business
administration activity, such as the registration of a new
User, or the running of a Report.
extrapolate:
In relation to the contents of Schedules of the
AUTHORITIES’ Agreement, to develop and re-format them into
appropriate Schedules in the DSS Agreement and the POCL
Agreement, and related terms shall be construed
accordingly.
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Failed Acceptance:
The outcome of an Acceptance Test in the circumstances
defined in paragraph 9 of Schedule A7 of the AUTHORITIES’
Agreement and of Schedule All of the DSS and POCL
Agreements.
Foreign Encashment:
An encashment of an Authorised Payment which occurs at a
post office other than the Nominated Post Office.
Governmental Regulation:
Any United Kingdom primary legislation and any United
Kingdom secondary legislation.
GUARANTOR:
Ege ill
Hardware:
Any hardware used by the CONTRACTOR to provide DSS Services
under the DSS Agreement or POCL Services under the POCL
Agreement (as appropriate), including hardware supplied as
a Basic Product or as an Optional Product or Additional
Product.
Help Desk:
The sole initial point of call for Users in need of support
relating to the Services.
HMG:
Her (or His) Majesty’s Government.
IMS:
The inventory management system used by POCL.
Incident Resolution Time:
The time elapsed between the logging of an Incident by the
CONTRACTOR's Help Desk, and the Incident Resolution.
Incident Resolution:
The re-establishment of Service following an Incident.
Incident:
Any perceived abnormal or undesirable occurrence relating
to a Service.
Intellectual Property Rights:
Patents, trade marks, service marks, design rights (whether
registerable or otherwise), applications for any of the
foregoing, moral rights, copyright, trade or business names
and other similar rights or obligations whether
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registerable or not in any country (including but not
limited to the United Kingdom) .
Internal Code:
Machine readable software supplied as an integral part of
the Hardware and not listed herein.
Invoice:
A request for payment, submitted by the CONTRACTOR, to the
relevant AUTHORITY.
Invoicing Period:
The period specified in Schedule A10 of the DSS Agreement
and Schedule A10 of the POCL Agreement.
IPR:
Intellectual Property Rights (q.v.).
ars
Information Technology.
LAN:
Local Area Network.
Local Sensitivity:
A classification ascribed at local level by DSS to certain
classes of Beneficiary requiring that they be treated in a
particular way.
Message:
A set of electronic data for transportation from one
computer system to another.
Method of Payment:
The form of payment recorded against a Customer
Transaction.
Milestone:
A date on which a Deliverable or other event in an agreed
plan is due.
Minimum Acceptable Threshold:
for a Service is the minimum level of service at or above
which the relevant AUTHORITY accepts that the Service may
be provided by the CONTRACTOR without incurring service
credits or liquidated damages.
MIS:
Management Information Systems.
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NAO:
National Audit Office.
National Sensitivity:
A classification ascribed at national level by DSS to
certain classes of Beneficiary requiring that they be
treated in a particular way.
NCC:
The National Computing Centre Ltd, Manchester.
NINO:
A National Insurance Number issued to any natural person.
Nominated Post Office:
A specific post office at which a Beneficiary has elected
to receive benefit payments.
Non-value Stock:
Stock which has no intrinsic value but for which records
are maintained of the levels on hand.
OBCS:
Order Book Control Service (q.v.).
Office Balance:
The aggregate balance across all the Stock Units in a post
office.
Operational Trial Acceptance Date:
The date of final acceptance of the Trial System in
accordance with Clause 402 of the AUTHORITIES’ Agreement,
as set out in Schedule C2 of the AUTHORITIES’ Agreement.
Operational Trial Commencement Date:
The commencement date of the Operational Trial Procedure,
as set out in Schedule C2 of the AUTHORITIES’ Agreement.
Operational Trial Criteria:
The trial criteria for the Operational Trial Procedures, as
set out in Schedule Cl of the AUTHORITIES’ Agreement.
Operational Trial Period:
The period for performance of the Operational Trial
Procedures, starting on the Operational Trial Commencement
Date and ending on the Operational Trial Acceptance Date.
Operational Trial Procedures:
The Acceptance Test procedures for the Operational Trial
System, as described in Schedule A7 of the AUTHORITIES’
Agreement .
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Operational Trial System:
The trial system to be delivered to be tested under the
Operational Trial Procedures, as described in Schedule Cl
of the AUTHORITIES’ Agreement, to enable the functionality
and performance of the Service Infrastructure and the
Services within the Service Architecture to be assessed.
Operational Trial:
The operational trial to be performed pursuant to Clause
402 of the AUTHORITIES’ Agreement.
OPS:
The Office Platform Service described in Schedule Gl of the
POCL Agreement.
Optional DSS Products:
Any Products to be supplied pursuant to Clause 205 of the
DSS Agreement.
Optional POCL Products:
Any Products to be supplied pursuant to Clause 205 of the
POCL Agreement.
Optional POCL Service:
Any POCL Service to be supplied pursuant to Clause 202 of
the POCL Agreement.
Optional Product:
Any Optional Product to be supplied pursuant to Clause 205
of the DSS Agreement or the POCL Agreement (as
appropriate) .
Order Book Control Service:
An Optional DSS Service or Optional POCL Service which may
be provided by the CONTRACTOR until the completion of the
migration of benefit encashment from an order book basis to
a Card basis, and which provides: facilities to support the
control of the use of order books (whether barcoded or
not); stop notice facilities; and encashment procedures at
automated post offices.
Other Stock:
All Stock other than Retail Stock, Security Stock and Value
Stock, including leaflets, forms and various general
consumables and supplies.
Outlet:
A post office or any other location where POCL (whether
directly or by means of Agents) transacts business with
Customers.
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P8OMA:
A POCL form which allows a Beneficiary to notify DSS of
changes to his or her personal details and requirements
relating to benefit payments.
PACE:
Police and Criminal Evidence Act 1984.
Parent Company:
Any holding company (as defined in Section 736 of the
Companies Act 1985).
PAS:
Payment Authorisation Service (q.v.).
Payment Authorisation Service:
The payment authorisation Service supplied by the
CONTRACTOR pursuant to Clause 405.2 of the DSS Agreement.
PCE(NI) Order 1989:
Police and Criminal Evidence (Northern Ireland) Order 1989.
Permanent Agent:
A person authorised by the Beneficiary to collect benefit
on his or her behalf on a permanent basis (until revocation
of that authorisation) .
person:
Includes a partnership, a corporation or association
(whether incorporated or unincorporated), as well as a
natural person.
POCL Acceptance Criteria:
The criteria for acceptance of the Products and POCL
Consumables specified in Schedule B5 of the POCL Agreement.
POCL Acceptance Procedures Period:
The period (defined in Schedule All of the POCL Agreement)
within which the POCL Acceptance Procedures must be
performed.
POCL Acceptance Procedures:
The inspections, tests and trials specified in Schedule A1l
of the POCL Agreement .
POCL Acceptance Test:
The acceptance test specified in Schedule All of the POCL
Agreement.
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POCL Agreement:
The agreement made between POCL and the CONTRACTOR,
comprising the Clauses and the Schedules (including the
Annexes to the Schedules) .
POCL Application Services:
The Benefit Encashment Service, the Automated Payment
Service and OBCS (if POCL exercises its option in Clause
202 of the POCL Agreement) .
POCL Consumables:
The consumables to be supplied pursuant to Clause 207 of
the POCL Agreement, as listed in Schedule B4 of the POCL
Agreement.
POCL Core Services: .
EPOSS and the POCL Infrastructure Services.
POCL Contingency Services:
The contingency services specified in Schedules D9, E9, F9
and G11 of the POCL Agreement, to be performed pursuant to
Clause 410 of the POCL Agreement.
POCL Data:
Means all data, information, text, drawings, diagrams,
images or sounds which are embodied in any electronic or
tangible medium, and which are supplied or in respect of
which access is granted to the CONTRACTOR by POCL pursuant
to the Related Agreements, or which the CONTRACTOR is
required to generate for POCL under the Related Agreements,
but excludes the Service Architecture Design Document and
Documentation.
POCL Core Day:
08:00 to 20:00 Monday to Saturday inclusive, excluding bank
holidays.
POCL Development Services:
The development services to be performed by the CONTRACTOR
under the POCL Agreement.
POCL Infrastructure Services:
The POCL Infrastructure Services supplied by the CONTRACTOR
pursuant to Clause 405.4 of the POCL Agreement.
POCL Leased Assets:
Any items to be leased to the CONTRACTOR pursuant to Clause
401 of the POCL Agreement, as listed in Schedule A9 of the
POCL Agreement .
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POCL Operational Trial Acceptance Date:
The date of final acceptance of the POCL Operational Trial
System in accordance with Clause 403 of the POCL Agreement,
as set out in Schedule H2 of the POCL Agreement.
POCL Operational Trial Commencement Date:
The commencement date of the POCL Operational Trial
Procedure, as set out in Schedule H2 of the POCL Agreement.
POCL Operational Trial Criteria:
The trial criteria for the POCL Operational Trial, as set
out in Schedule H1 of the POCL Agreement.
POCL Operational Trial Period:
The period for performance of the POCL Operational Trial
Procedures, starting on the POCL Operational Trial
Commencement Date and ending on the POCL Operational Trial
Acceptance Date.
POCL Operational Trial Procedures:
The acceptance test procedures of the POCL Operational
Trial System, as described in Schedule All of the POCL
Agreement .
POCL Operational Trial System:
The trial system to be delivered to be tested under the
POCL Operational Trial Procedures, as described in Schedule
H1 of the POCL Agreement, to enable the functionality and
performance of the POCL Service Infrastructure and the POCL
Services within the POCL Service Architecture to be
assessed.
POCL Operational Trial:
The operational trial to be carried out pursuant to Clause
403 of the POCL Agreement.
POCL Premises:
All post offices, sub post offices, and other premises of
POCL from time to time.
POCL Product:
An item, provided by POCL, for sale from Stock - or
characterising a service provided - in an Outlet.
POCL Responsibilities:
The responsibilities of POCL set out in Schedules D3, E3,
F3 and G5 of the POCL Agreement.
POCL Service Architecture Design Document:
The document showing the POCL Service Architecture
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developed pursuant to Clause 402.1.7 of the POCL Agreement,
as amended from time to time to reflect Optional and
Additional Products and Services.
POCL Service Architecture:
The architecture of the POCL Steady State Services, the
POCL Service Infrastructure and the POCL Service
Environment .
POCL Service Environment:
POCL’s existing computer, telecommunication and business
operating systems and services, which are to be integrated
with the POCL Service Infrastructure and the POCL Steady
State Services to form the POCL Service Architecture.
POCL Service Infrastructure:
Means the Hardware and the Software and all other
electronic, computer and telecommunications equipment which
form the infrastructure to be utilised by the CONTRACTOR
for the provision of the POCL Services, but does not
include the POCL Service Environment.
POCL Services:
The Benefits Payment Service, the Automated Payment
Service, EPOS, the POCL Infrastructure Services and all the
other obligations of the CONTRACTOR under the POCL
Agreement.
POCL Steady State Services:
The POCL Infrastructure Services, the Transaction
Management Service, the Benefit Encashment Service, EPOSS
and the POCL Contingency Services and any relevant Optional
Services.
POCL Trial Responsibilities:
The responsibilities of POCL listed in Schedule H4 of the
POCL Agreement.
Post Office Group:
The Post Office and its subsidiary companies.
Post Shop:
A separate retail unit within a post office operated
directly by POCL.
Premises:
The DSS Premises and the POCL Premises.
Products:
Means in the Related Agreements any products to be supplied
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under the relevant Related Agreement, including, where
appropriate, the Basic Products and any Optional Products
and Additional Products and any DSS Consumables or POCL
Consumables to be supplied under the relevant Related
Agreement .
Property:
Means tangible property (including without limitation
buildings and land) and:
(i) in the DSS Agreement, does not include the DSS Service
Infrastructure or any part thereof before it has been
accepted in accordance therewith;
(ii) in the POCL Agreement, does not include the POCL
Service Infrastructure or any part thereof before it has
been accepted in accordance therewith;
(iii) in the AUTHORITIES’ Agreement, does not include the
Service Infrastructure or any part thereof before it has
been accepted in accordance therewith.
Proposal:
The CONTRACTOR's Proposal, in response to the Statement of
Service Requirements. The Proposal has been superseded by
the Schedules to the Related Agreements.
PUN:
Pick Up Notice: notification to an Authorised Person that a
Card is ready for collection by him or her.
Recitals:
Means in the Related Agreements, the recitals of the
relevant Related Agreement.
Records:
Full and accurate records relating to the performance of
(i) in the case of the DSS Agreement, the DSS Services,
(ii) in the case of the POCL Agreement, the POCL Services,
and (iii) in the case of the AUTHORITIES’ Agreement, the
Services thereunder.
Recovery:
The act of re-establishing Service following a Service
Failure.
Reference Data:
A set of parameters and relationships controlling the
operation of Services.
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Refund:
A repayment of money to a Customer, by means of a Reversal.
Regular Payment:
A payment authorised by PAS, with a due date from which it
must be available for collection at a post office.
Related Agreements:
The AUTHORITIES’ Agreement, the DSS Agreement and the POCL
Agreement.
Release:
A documented collection of software and/or data provided by
the CONTRACTOR to deliver a Service.
Report:
A physical document; or, information held electronically in
such a way that it can be processed readily to produce a
physical document.
Reporting Period:
A calendar month.
Representative:
A representative of DSS, POCL or the CONTRACTOR as
appropriate.
Restricted Post Office:
A term denoting restricted availability of Authorised
Payments to an Authorised Person, such that they may not be
encashed at any post office other than the relevant
Nominated Post Office.
Retail Stock:
Items sold in Outlets through POCL’s retail accounting
scheme.
Reversal:
A Transaction which nullifies a previous Transaction.
Roll Out Acceptance Period:
The period within which the Roll Out Acceptance Procedures
must be performed.
Roll Out Acceptance Procedures:
The inspections, trials and tests specified in Schedule A7
of the AUTHORITIES’ Agreement.
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Roll Out Acceptance Test:
The acceptance test to be performed in accordance with
Clause 403 of the AUTHORITIES’ Agreement.
Roll Out:
The implementation of a Service in accordance with the
timetable in, and provisions of, the Roll Out and
Implementation Schedule relevant to that Service.
Roll-Out Completion Date:
The due date for completion of the roll out of Steady State
Services, as specified in (i) in the case of the
AUTHORITIES’ Agreement, Schedule B7 of the AUTHORITIES’
Agreement, (ii) in the case of the DSS Agreement, Schedule
B9 of the DSS Agreement, and (iii) in the case of the POCL
Agreement, Schedule B9 of the POCL Agreement.
Roll-Out:
Roll Out (q.v.).
Rollout:
Roll Out (q.v.).
Security Stock:
Stock products which have no cash account value until sold,
any item the loss of which would result in loss to POCL.
Service Architecture Design Document:
The document showing the Service Architecture developed
pursuant to Clause 401.1.1, as amended from time to time to
reflect optional and additional Products and Services
supplied and performed under the POCL Agreement and the DSS
Agreement.
Service Architecture:
The overall structure of the Steady State Services, the
Service Infrastructure and the Service Environment.
Service Break:
The duration of a Service Failure.
Service Credits:
Payment, discount or credit given by the CONTRACTOR to the
relevant AUTHORITY resulting from delay in provision of
Services, or from Services’ failure to meet the required
Service Levels.
Service Environment:
The AUTHORITIES' existing computer, telecommunication and
business operating systems and services, as defined in
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Schedule 1 of the AUTHORITIES’ Agreement, which are to be
integrated with the Service Infrastructure and the Steady
State Services to form the Service Architecture.
Service Failure:
An unplanned interruption of a Service.
Service Infrastructure:
means the hardware, software and other electronic, computer
and telecommunications equipment, which form the
infrastructure to be utilised by the CONTRACTOR for the
provision of the Services, but does not include the Service
Environment.
Service Level:
A quantified and measurable standard, as defined in the
Related Agreements, required for a specified Service.
Service Manager:
The person appointed by the CONTRACTOR to manage the
provision of a Service.
Service Ready-for-use Date:
The date on which a Service, which has achieved Acceptance,
is first made available by the CONTRACTOR for use by Users.
Service RFU Date:
Service Ready-for-use Date (q.v.).
Services:
All the services to be performed by, and all the other
obligations of, the CONTRACTOR under the Related
Agreements.
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.
Signing Agent:
A local authority official authorised by a Beneficiary
resident in a local authority home to collect his or her
benefit on his or her behalf.
Smart Key:
A type of Token which uses on-board integrated circuit
technology.
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Smart Token:
A type of Token which uses on-board integrated circuit
technology.
Software:
Means (i) in the DSS Agreements and the POCL Agreements,
the CONTRACTOR’s Software, the Specially Written Software,
Internal Code and the Third Party Software, and (ii) in the
AUTHORITIES’ Agreement, any Software provided under the DSS
Agreement and the POCL 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:
means (i) in the DSS Agreement, any software identified as
such in Schedule Bl of the DSS Agreement and written by or
on behalf of the CONTRACTOR for DSS and supplied by the
CONTRACTOR hereunder pursuant to Clause 204 of the DSS
Agreement or as an Optional Product or Additional Product,
and (ii) in the POCL Agreement any software identified as
such in Schedule Bl of the POCL Agreement and written by or
on behalf of the CONTRACTOR for POCL and supplied by the
CONTRACTOR hereunder pursuant to Clause 204 of the POCL
Agreement or as an Optional Product or Additional Product.
Steady State Services:
The DSS Steady State Services to be performed under the DSS
Agreement and the POCL Steady State Services to be
performed under the POCL Agreement.
Stock Item:
A unit - of Stock - which can be ordered separately.
Stock Unit:
An individual unit of accountability, mandatory within a
main (branch) post office and optional within a sub post
office, for which an individual (or a group of individuals)
is accountable. It may contain: (i) Transaction Vouchers
for a designated period, (ii) Value Stock, and/or
(iii) Cash.
Stock:
Items held in Outlets and classified as Retail Stock,
Security Stock, Value Stock, and Other Stock.
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Stopped Payment:
A previously Authorised Payment which is the subject of a
stop request issued by CAPS.
sub-contractor:
A person to whom any obligations of the CONTRACTOR
expressly specified in the Related Agreements are delegated
in accordance with the provisions of the relevant Related
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
the relevant Related Agreement, and related expressions
shall be construed accordingly.
subsidiary company:
Shall have the meaning ascribed thereto in Section 736 of
the Companies Act 1985.
Temporary Token:
A Token that permits an Authorised Person to encash one or
more Authorised Payments.
Termination Charge:
(i) in the DSS Agreement and the POCL Agreement, the
termination charge calculated in accordance with Schedule
A7 of the DSS Agreement or the POCL Agreement (as
appropriate); and (ii) in the AUTHORITIES’ Agreement, the
termination charge calculated in accordance with Schedule
A9 of the AUTHORITIES’ Agreement.
Termination Review Threshold:
for a Service is the level of Service below which the
relevant AUTHORITY’s operations will be seriously
compromised, so that the AUTHORITY will have the right to
terminate the Service or the relevant Agreement.
termination:
Of any of the Related Agreements includes the expiry or
early termination of such Related Agreement in accordance
with the provisions hereof, and related expressions shall
be construed accordingly.
Third Party Software Owner:
The ultimate licensor of any Third Party Software.
Third Party Software:
Means (i) in the DSS Agreement, any software identified as
such in Schedule Bl of the DSS Agreement and which is
supplied by the CONTRACTOR pursuant to Clause 204 of the
DSS Agreement or as an Optional Product or Additional
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Product, and (ii) in the POCL Agreement, any software
identified as such in Schedule B1 of the POCL Agreement and
which is supplied by the CONTRACTOR pursuant to Clause 204
of the POCL Agreement or as an Optional Product or
Additional Product.
TIP:
The Transaction Information Processing system planned by
POCL.
TMS:
The Transaction Management Service provided by the
CONTRACTOR as part of the POCL Infrastructure Service.
Token Technology Specification:
A document specifying the technology used by a particular
APS Token.
Token:
For the Automated Payment Service, a Token is a magnetic
stripe card, smart card, smart key, or other physical
device, bearing information about a Customer.
For Services relevant to the payment of benefits, a Token
is a voucher, such as a milk Token, valid for the goods or
services nominated on the Token.
Transaction Committal:
The point at which a Transaction is irreversibly recorded
in the audit trail.
Transaction Session:
A set of contiguous Transactions of the same type.
Transaction Voucher:
A document used by POCL as evidence of a Transaction;
including as an example, and without limitation, a
telephone bill.
Transaction:
A recorded and auditable instance of business activity,
involving service provision or stock movement across
organisational or Service boundaries.
Transaction ID:
A means of uniquely identifying a Transaction.
Transfer Date:
E gen de
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Transfer Payment:
The sum payable pursuant to:
(i) in the DSS Agreement, Clauses 904 and 905 of the DSS
Agreement, as calculated in accordance with the provisions
of Schedule A7 of the DSS Agreement ;
(ii) in the POCL Agreement, Clauses 904 and 905 of the POCL
Agreement, as calculated in accordance with the provisions
of Schedule A7 of the POCL Agreement;
(iii) in the AUTHORITIES’ Agreement, Clause 903.1.5 of the
AUTHORITIES’ Agreement, as calculated in accordance with
the provisions of Schedule A9 of the AUTHORITIES’
Agreement .
Transfer Services:
(i) in the AUTHORITIES’ Agreement, the services set out in
Schedule A9 of the AUTHORITIES’ Agreement, (ii) in the POCL
Agreement, the services set out in Schedules A7, D6, E6, F6
and G8 of the POCL Agreement, and (iii) in the Dss
Agreement, the services set out in Schedules A7, D6 and E6
of the DSS Agreement .
Transfer:
Means (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 the
POCL Agreement.
Transferred Assets:
The assets to be transferred by POCL to the CONTRACTOR
pursuant to Clause 401 of the POCL Agreement, as listed in
Schedule A9 of the POCL Agreement.
Transferred Support Agreements:
The agreements to be transferred by POCL to the CONTRACTOR
pursuant to Clause 401 of the POCL Agreement, as listed in
Schedule A9 of the POCL Agreement.
transpose:
Mans, in relation to the contents of Schedules of the
AUTHORITIES’ Agreement, to move them without substantive
change to appropriate Schedules in the DSS Agreement and
the POCL Agreement, and related expressions shall be
construed accordingly.
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Urgent Payment:
An Authorised Payment that must be available for collection
at a post office within 30 minutes of its authorisation by
CAPS.
Use:
(i) in the POCL Agreement, the right of POCL in connection
with the 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, (ii) in the DSS Agreement, the right of DSS
in connection with the 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 DSS 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, and (iii) in the AUTHORITIES’ Agreement, the
right of the AUTHORITIES in connection with the 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
AUTHORITIES’ 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 the relevant AUTHORITY to use a
Service.
Value Stock:
Stock products which have a “stock value” shown on the cash
account.
Void Transaction:
A Transaction which is cancelled before Transaction
Committal.
WAN:
Wide Area Network.
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Working Day:
For an individual post office or DSS office, means any day
on which that office is open for normal business.
Working Hours:
For an individual post office or DSS office, means the
hours during which that office is open for normal business.
Year:
A period of twelve (12) months commencing on the date of
execution hereof 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 A2 - POLICIES AND STANDARDS
0.2 Based on Schedule A3 which was
issued on 16 October 1995 (under old
single contract structure)
0.2 Some revisions
2.0 Issued to SPs and Sponsors 17-Jan-96
Z.0 revised in light of feedback 26-Jan-96
received, and issued to SPs and
Sponsors
2.1 being revised
3.0 issued to SPs and Sponsors 2-Feb-96
3.i working version
4.0 issued to SPs and Sponsors 9-Feb-96
5.0 issued to SPs and Sponsors 16-Feb-96
5.2L working version
6.0/ITT 2.0I ready for ITT 29-Feb-96
1. INTRODUCTION
tL. The policies and standards defined in this Schedule
shall apply to all relevant aspects of the Services
unless amended in accordance with Clause 101.3.
a2. The CONTRACTOR shall not knowingly undertake any
activity which would prevent the AUTHORITIES from, or
hinder them in, complying with these policies and
standards, without the prior written consent of the
AUTHORITIES.
2. GENERAL AND HEALTH AND SAFETY STANDARDS
2.1. General
2.1.1. Without limitation to the specific areas identified
below, which shall not limit the generality of this
paragraph 2.1.1., all Services, and all Equipment,
shall comply to the extent required by law with all
relevant legislation, including all relevant UK
Regulations and, from the due date of UK
implementation, EC Directives. The CONTRACTOR shall
ensure that Services and Equipment are maintained in
compliance with any subsequent legislation throughout
the term of the AUTHORITIES’ Agreement, and shall
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perform any modifications necessary to ensure such
continued compliance, subject to Clause 410 of the DSS
Agreement and Clause 409 of the POCL Agreement.
2.1.2. The CONTRACTOR shall, on request by the AUTHORITIES,
establish to the AUTHORITIES’ satisfaction the
compliance of Services or Equipment with legislation or
specified policies and standards. In the event that the
CONTRACTOR and the AUTHORITIES fail to agree that
compliance has been demonstrated satisfactorily, the
matter shall be treated in accordance with Clause 807.
2.1.3. The CONTRACTOR shall ensure that, where the
installation of Equipment or the delivery of Services
involves the alteration or extension of existing
building services, such work complies with the
standards set out in British Standards and Approved
Codes of Practice which are deemed therein to satisfy
the relevant regulations, including without limitation:
(a) the Electricity at Work Regulations, 1989 and BS
7671:1992, Requirements for Electrical
Installation;
and
(b) the Environmental Protection Act 1990 and the
publication Waste Management: The Duty of Care - A
Code of Practice.
oe Health and Safety
2.2.1. The CONTRACTOR shall ensure that any Equipment
installed at the Premises does not prevent the
AUTHORITIES and the AUTHORITIES’ Agents from meeting
their legal health and safety responsibilities as
employers, including without limitation those defined
in:
(a) the Provision and Use of Work Equipment Regulations
1992, and
(b) the Workplace (Health, Safety and Welfare)
Regulations 1992.
2.2.2. The Equipment shall not interfere with the health or
safety of work of Users, office staff or others in the
vicinity, including but without limitation as a result
of emission of acoustic noise, vibrations, heat, fumes
or other radiation, or as a result of its construction.
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as EQUIPMENT STANDARDS
Sade The CONTRACTOR shall ensure that all Equipment is rated
for continuous operation, and capable of functioning
safely and reliably for an unlimited period, attended
or unattended, in the installed environment.
3.2% The CONTRACTOR shall ensure that all information
technology, telecommunications or electrical business
Equipment complies with BS EN60950:1992 (BS7002:1992)
and any subsequent amendments, and that Equipment
comprising AC power adapters complies with
EN60065:1993.
Dade The CONTRACTOR shall ensure that workstation aspects of
the Equipment shall comply with The Health and Safety
(Display Screen Equipment) Regulations 1992, which
implement Council Directive 90/270/EEC on working with
display screen Equipment.
ce The CONTRACTOR shall ensure that any Equipment
containing laser emitters (including without limitation
laser printers and laser barcode scanners) complies
with BS EN 60825:1992.
345s The CONTRACTOR shall ensure that all telecommunications
Equipment shall conform to Council Directive 91/263/EEC
(the Telecommunication Terminal Equipment Directive)
and have a current BABT certificate or equivalent for
connection to the public telephone network.
a6 The CONTRACTOR shall ensure that all machinery in the
Equipment complies with the Supply of Machinery
(Safety) Regulations 1992, which implement the Machine
Directive 89/392/EEC as amended by 91/368/EEC.
3. Te The CONTRACTOR shall ensure that all electrical
Equipment complies with:
(a) the Electrical Equipment (Safety) Regulations 1994,
which implement the Low Voltage Directive 73/23/EEC
as amended by 93/68/EEC, and
(b) the requirements of BS7671:1992 in relation to the
method of connection to the main supply and
associated equipment earth leakage currents.
3.8. The CONTRACTOR shall ensure that any Equipment
connected, or intended for connection, to weighing
devices meets the requirements of the Non-automatic
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Weighing Instruments (EEC Requirements) Regulations
1992 Schedule 3 Applications.
3.9), The CONTRACTOR shall ensure that all visual display
terminal Equipment (including without limitation
keyboards) complies with the relevant requirements of
either BS 7179:1990 or ISO 9241:1992.
3/26. The CONTRACTOR shall ensure that all Equipment that
falls within the scope of The Electromagnetic
Compatibility (EMC) Regulations 1992, which implement
Council Directive 89/336/EEC (as amended by 92/31/EEC),
complies with these regulations, specifically, but
without limitation, to the minimum EMC requirements of
both residential and commercial installations,
including compliance with BS EN 50081 and BS EN 50082
with the following amended test severity levels and
with no degradation of performance:
(a) IEC 801 part 2 class 3, 6kV contact discharge;
(b) IEC 801 part 3 3V/m;
(c) IEC 801 part 4 +/- 1kV injected onto mains AC
supply;
(d) IEC 801 part 5 +/- 2kv.
3.32. The CONTRACTOR shall ensure that Equipment covered by
EN45501:1992 complies with clause A4.5 (voltage
variations) and Annex B of that standard.
3.12. The CONTRACTOR shall ensure that the acoustic noise
emission of any item of Equipment does not materially
add to average background noise levels within the
environment in which it is installed, and shall in no
event exceed 60dB(A) measured at a distance of 1 metre.
3.13. 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.
4. AUTHORITIES’ POLICIES AND STANDARDS
4.1. Security
4.1.1. The CONTRACTOR shall adhere to the relevant parts of
the AUTHORITIES’ security standards and requirements
listed below, and co-operate with the AUTHORITIES to
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assist the AUTHORITIES in complying with those
standards and requirements:
(a) ‘Social Security IT Security Standards’ (reference
DITSG\ITSS\0001.03, version 6.1 dated July 1995);
(b) ‘Post Office Counters Information Systems Security
Policy’ (as provided in Appendix 4-1 of the BA/POCL
SSR issued in April 1995);
(c) ‘A Code of Practice for Post Office Information
Systems Security’ (Version 1.5 dated 28/10/94, as
provided in Appendix 4-2 of the BA/POCL SSR issued
in April 1995);
(d) the ‘BPS Security Statement’, version 01, dated 30
November 1995 and issued to Service Providers in
that month.
4.1.2. Any changes to the list in paragraph 4.1.1. shall be
made in accordance with Clause 101.3.
4.2. Audit
4.2.1. The CONTRACTOR shall comply with the audit standards
described in Schedule A3.
4.3. Training and Training Material
4.3.1. The CONTRACTOR shall prepare all training events and
training material - and, where required by the
AUTHORITIES’ Agreement to provide them, shall provide
such training events - used to train the AUTHORITIES’
staff or agents and the AUTHORITIES’ Agents and their
staff or agents, in conformance with:
(a) either the Kirkpatrick structured training
evaluation methodology (levels 1 to 4 for all
training events; levels 1 and 2 for all training
documentation), or
(b) any alternative structured training evaluation
methodology which the CONTRACTOR may propose,
subject to obtaining the prior written agreement of
the relevant AUTHORITY.
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4.4. Documentation
4.4.1. The CONTRACTOR shall ensure that all documentation,
whether paper-based or electronically produced,
relating to the POCL Services, harmonises with the
design principles identified in the POCL Visual
Identity Design Applications Guideline, unless prior
written consent to the contrary has been obtained from
POCL.
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 POCL’s
Environmental Policy Summary.
5. 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 ISO 9001:1994 for all
its activities within the scope of the AUTHORITIES’
Agreement.
5.1.2. The quality management system shall be applied to all
aspects of the delivery of Services hereunder.
5.1.3. The quality management system shall to be audited and
certified by a BSI accredited auditor, who is
independent of both the CONTRACTOR and of the
AUTHORITIES:
(a) in any event, at intervals of not longer than
twelve (12) months, and
(b) in addition, within twenty (20) Working Days of any
such request.
5.1.4. The CONTRACTOR shall within one (1) month of each audit
(i) provide the AUTHORITIES with copies of all reports
produced by the auditor on the quality management
system, and (ii) notify the AUTHORITIES of and carry
out the CONTRACTOR’s proposed follow up actions where
required.
5.2. Human-Computer Interface
5.2.1. The CONTRACTOR shall create and maintain, as a
controlled document and to the documentation standards
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referenced in 4.4.1. above, a Human-Computer Interface
specification.
5.2.2. This specification shall set out general guidelines for
the Human-Computer Interface, including without
limitation details of screen layouts, system navigation
routes and help and manual entry facilities.
5.2.3. The CONTRACTOR shall use reasonable endeavours to
specify a Human-Computer Interface which is intuitive
and easy to use by Users, including Counter Clerks, to
minimise errors and delays.
5.2.4. The CONTRACTOR shall ensure that the Human-Computer
Interface provides a consistent look and feel across
all Applications delivered by the CONTRACTOR over the
POCL Service Infrastructure, and that it is easily
adapted to facilitate the introduction of new
Applications.
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SCHEDULE A3- AUDIT
Version — Reason for change
eeterecce
OA First draft ready for internal
review
OB Minor tidying ready for
supplier issue
oc Re-drafted for new contract I 22/12/95
structure
oD New numbering for contract map
(formerly B2), not re-issued
2.0 Issued to Service Providers and] 17/01/96
Sponsors
pe I Revised following comments fromI 25/01/96
Service Providers and Sponsors
2.0 Issued to Service Providers and] 26/01/96
Sponsors
a.0 Issued to Service Providers andI2 February 1996
Sponsors following comments on
Version 2.0
4.0 Issued to Service Providers andI9 February 1996
Sponsors following comments on
Version 3.0
5.0 Issued to Service Providers andI]16 February 1996
Sponsors following comments on
Version 3.0
6.0/ITT v2.0] Version for Sponsor QA 25 February 1996
1. SCOPE
ie es This Schedule identifies the audit requirements with
which the CONTRACTOR and its sub-contractors shall
comply.
2. AUTHORITIES’ AGENTS
2B For the purpose of this Schedule, the AUTHORITIES’
Agents shall mean:
a)the AUTHORITIES;
b)statutory or regulatory auditors of either or both of
the AUTHORITIES;
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c)external auditors appointed by either or both of the
AUTHORITIES;
d) (in the case of the DSS) any Crown bodies;
e)the National Audit Office;
f£) authorised agents or sucessors of the persons listed in
paragraphs 2.1 (a), 2.1 (b),2.1 (c) and 2.1 (d).
3. RECORD KEEPING
3.0. The CONTRACTOR shall maintain or shall cause to be
maintained an audit trail of all Transactions and Events
in strict conformance to the relevant ' standards
contained in the DSS IT Security Standards (compatible
with the BA generic audit trail requirements), the “POCL
Information Systems Security Policy” and the code of
practice entitled, “A Code of Practice for Post Office
Information Systems Security”.
4. ACCESS
4.1. The CONTRACTOR shall provide the AUTHORITIES’ Agents
access to such additional material required to support
the Records. Such access shall include:
a) premises;
b) facilities;
c) services;
da) documentation;
e)information (magnetic or otherwise) ;
£) staff;
g) procedures;
h)timesheets and other data used directly as a basis for
charging, belonging to the CONTRACTOR, which relate to
the provision of the Services.
4.2. The CONTRACTOR shall ensure that POCL or _ the
AUTHORITIES’ Agents relevant to POCL can gain access to
the POCL Data held by the CONTRACTOR in Outlets to
enable internal POCL audit requirements to be met.
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4.3... The CONTRACTOR shall provide reasonable assistance at
all times during the currency of the Related Agreements
and for six (6) years after the date of termination or
expiry of the Related Agreements, for the purposes of
allowing the AUTHORITIES to obtain such information as
is necessary to fulfil the AUTHORITIES’ obligations to
supply information for parliamentary, judicial, or
administrative purposes.
4.4. The AUTHORITIES shall pay the CONTRACTOR its reasonable
costs directly incurred in providing such assistance
after termination of the Related Agreements provided
that the CONTRACTOR proves such costs to the reasonable
satisfaction of the AUTHORITIES.
4.5. On notification of an audit as specified in section 6 of
this Schedule the CONTRACTOR shall provide the
AUTHORITIES’ Agents with reasonable access to the audit
trail in paragraph 3.1 of this Schedule and the facility
to interrogate that audit trail using reasonably
selected criteria.
4.6. The AUTHORITIES shall require the AUTHORITIES’ Agents to
comply with the CONTRACTOR’s reasonable security
requirements whilst on the CONTRACTOR’s premises, the
scope of which the CONTRACTOR shall notify to the
AUTHORITIES’ Agents directly on notification of audit.
5. AUDIT STANDARDS
5... Without prejudice or limit to the AUTHORITIES’ general
rights to audit, audits by the AUTHORITIES’ Agents shall
be conducted from time to time in accordance with the
standards laid down in the HM Treasury Government
Internal Audit Manual, the HM Treasury Government
Information Systems Audit Manual and the Post Office
Counters Limited Internal Audit Standards.
$2. Not withstanding the foregoing, the National Audit
Office shall be permitted to conduct their audits in
accordance with their NAO standards.
6. NOTIFICATION OF AUDIT
6.2. Subject to Clause 801.3, the CONTRACTOR and _ the
AUTHORITIES shall from time to time agree arrangements
(such agreement not to be unreasonably withheld or
delayed), including timescales, for audits required by
the AUTHORITIES.
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6.2. With respect to Clause 801.3 where the investigations
find no evidence of fraudulent activity or other
impropriety by the CONTRACTOR or the CONTRACTOR's
agents, then at the discretion of the AUTHORITIES, the
CONTRACTOR may be paid reasonable additional charges for
its assistance.
7. RESPONSE TO AUDITS
7.1. General
7.1.1. The AUTHORITIES’ Agents may produce reports to the
AUTHORITIES indicating areas of non-compliance with the
Related Agreements or any other reports they deem
appropriate. The AUTHORITIES’ Agents may also make
recommendations.
7.1.2. Following each audit the AUTHORITIES shall provide, to
the CONTRACTOR, a report approved by the AUTHORITIES’
Agents indicating:
a)any areas of non-compliance with the Related Agreements
which the CONTRACTOR is required to rectify;
b)any audit recommendation with which the AUTHORITIES
request the CONTRACTOR to comply.
7.1.3. The AUTHORITIES shall give the CONTRACTOR a minimum of
thirty (30) days to review the factual issues relevant
to the CONTRACTOR which are raised by the audit reports
and to comment upon the recommendations.
7.1.4. In the event that the CONTRACTOR disputes the findings
of any audit then the Alternative Disputes Resolution
Procedure in Clause 807 shall be invoked.
7.2. Action on agreed Non-Compliance
7.2.1. Any agreed non-compliance shall constitute a Default and
the CONTRACTOR shall at the CONTRACTOR's own expense,
implement, any changes necessary to remedy areas of non-
compliance with the terms of the Related Agreements as
identified by the AUTHORITIES’ Agents.
7.3. Action On Recommendations
7.3.1. The AUTHORITIES may request the CONTRACTOR to implement
audit recommendations in accordance with the provisions
of the Change Control Procedures.
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7.4. Evidence
7.4.1. The CONTRACTOR shall provide, in accordance with the
timescales agreed in the implementation plan for any
change arising from an_ audit, evidence, either
documentary or demonstrative of changes required by the
AUTHORITIES in accordance with paragraphs 7.2.1 and
7.3.1, and shall, if required, provide access to the I
representatives of the AUTHORITIES, to permit the I
AUTHORITIES’ Agents, to monitor and confirm the I
implementation of such changes.
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SCHEDULE A4 - CONTRACT MANAGEMENT
Ny First draft ready for internal
review
0B Re-order of sections after
internal review
i iO Post review by Bird and Bird/CNT I17 January, 1996
2.0 Comments from sponsors and} 26 January, 1996
service providers
ttT 2.0 Post further B&B review 28 February 1996
(DN: this schedule must be read in conjunction with the letter
of 27th February 1996 on contract and project management]
ks OBJECTIVES OF CONTRACT MANAGEMENT
: oo The objectives of Contract Management in the
AUTHORITIES’ Agreement are to monitor and manage the
relationship between the three parties to the Related
Agreements, and to authorise actions which affect the
interests of both AUTHORITIES.
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 Related Agreements.
2. ORGANISATION
2.1. General
2.1.1. The CONTRACTOR and AUTHORITIES shall establish a
Contracts Steering Group to co-ordinate this
AUTHORITIES’ Agreement. The specific individuals to
fulfil the roles identified in the group shall be
communicated in writing between the parties.
2.1.2. Any changes to the organisation of the Contracts
Steering Group as defined in this Schedule shall be made
in accordance with the Change Control procedures defined
in Clause 101.3 and Schedule AS.
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3. CONTRACTS STEERING GROUP
3.1. Attendees
3.1.1. The Contracts Steering Group shall be constituted of the
[DSS Senior Nominee], the [POCL Senior Nominee], the
CONTRACTOR’s director responsible for the Related
Agreements (as a non-voting member), and a secretariat
function provided by the AUTHORITIES. Each AUTHORITY or
the CONTRACTOR shall invite other attendees if required
to address specific items on the agenda.
3.2. Agenda
3.2.1. A typical agenda for the meeting shall include, but not
be limited to:
a)Operational Trial review (during period of Operation
Trial only)
During the period of the Operational Trial, the
Contracts Steering Group shall monitor and direct the
conduct of the Operational Trial, and shall be the
authority for final acceptance of the completion of
the Operational Trial.
b)Review of Services
The objective of the Services review shall be to
monitor the successful delivery of the AUTHORITIES’
business cases, and to take any corrective actions
required to optimise them.
c)Planning review
The objective of the planning review is to establish
the parameters for the Contract Administration Groups
in the DSS Agreement and the POCL Agreement for the
next twelve (12) months, and to resolve any planning
issues referred from those Contract Management
functions. The Contracts Steering Group shall take
account of, and resolve, any conflicting resource
demands across the AUTHORITIES.
d) Contract Variation and review of Contract Changes
The Contract Steering Group shall take the role of
the Change Control Board for any Contract amendments
requiring the approval of both AUTHORITIES as defined
in Clauses 101.3 and 101.4, and may meet more
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frequently than the full steering group if required.
At the Contract Steering Group meetings, they shall
also review all Change Controls (i.e. those requiring
a single AUTHORITY’s approval) authorised during the
previous period.
e)Joint issues referred from the DSS and/or POCL
Agreements.
The Contract Steering Group shall act as the
escalation point for issues raised by the Contract
Administration Groups in the DSS Agreement and the
POCL Agreement which cannot be resolved at that
level. Levels and nature of materiality for such
decisions will be defined and agreed between all
parties.
f)Plan and manage recompetition (as necessary during
later stages)
When required the Contract Steering Group shall be
responsible for initiating and steering procurement
activities to replace the Related Agreements, or any
Services within the scope of the Related Agreements.
3.2.2. The meetings will receive reports from AUTHORITY
Representatives responsible for the DSS Agreement and
the POCL Agreement to inform the above topics.
3.3. Frequency
3.3.1. From the date of execution hereof until the end of the
Operational Trial, the Contract Steering Group shall
meet every month unless otherwise decided by the
AUTHORITIES. After successful conclusion of the
Operational Trial the Contract Steering Group shall meet
every six (6) months or more frequently as decided by
the AUTHORITIES.
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SCHEDULE A05 -CHANGE CONTROL
Version Reason for change Frozen/issue
reference : : date
OA First draft ready for internal
review
0B Revised for new contract I 22/12/95
structure
oc Basic restructure to take
account of the contract clauses
v1.6.
oD Revised following legal advice 25/01/96
OE Revised following further legal I 26/01/96
consideration
%.0 Issued to Service Providers andI 26/01/96
Sponsors
2 0) Issued to Service Providers andI2 February 1996
Sponsors following comments on
Version 1.0
aol Issued to Service Providers andI9 February 1996
Sponsors following comments on
Version 2.0
4.0 Issued to Service Providers andI16 February 1996
Sponsors following comments on
Version 3.0
4.1 Further tidying up prior to]I25 February 1996
sponsor review.
5.8 Issued to Sponsors for final QAI28 February 1996
(Issue outstanding from Bird &
Bird)
6.0 Further revisions 29 February 1996
ITT
Version
2.0
1. INTRODUCTION
a A Amendments and changes as specified by Clause 101.3 and
Clause 101.4 of the AUTHORITIES’
Agreement shall be
made in accordance with the provisions of this
Schedule.
Tei. Within the context of the following sections of this
Schedule the term “change” includes both amendments and
changes.
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2. PRINCIPLES
Zits Where either of the AUTHORITIES or the CONTRACTOR
identifies the need for a change, then the AUTHORITIES
or the relevant AUTHORITY may at any time request a
change or the CONTRACTOR may at any time recommend a
change. Such a request or recommendation may only be
made in accordance with the procedures set out below.
2.2.2 Neither of the AUTHORITIES nor the CONTRACTOR shall
unreasonably withhold or delay their agreement to any
change or proposal in relation thereto.
m3. Until such time as a change has been fully authorised
in accordance with the procedures in this Schedule, the
AUTHORITIES and the CONTRACTOR shall continue as if the
change had not been made.
2.4. Any discussions which may take place between the
AUTHORITIES or the relevant AUTHORITY and the
CONTRACTOR on a change before its authorisation shall
be without prejudice to the rights and obligations of
any party to the AUTHORITIES’ Agreement. Emergency
situations resulting in the AUTHORITIES or the relevant
AUTHORITY requesting a change shall be dealt with by
exception and procedures to be agreed between the
AUTHORITIES or the relevant AUTHORITY and the
CONTRACTOR (such agreement not to be unreasonably
witheld or delayed).
235% No change shall be valid until it is authorised in
writing by the appropriate level of authority of the
AUTHORITIES and the CONTRACTOR in accordance with the
procedures specified below. No change shall be made in
accordance with Clause 103 and the provisions of this
Schedule.
226, Any purported change provided by the CONTRACTOR, that
has not been otherwise agreed in accordance with the
provisions of paragraph 2.5 above shall be undertaken
entirely at the expense and liability of the
“CONTRACTOR. If so required by the AUTHORITIES, the
CONTRACTOR shall at its own expense promptly take all
steps necessary to reverse and remove the effects of
such purported change.
267. The CONTRACTOR shall have the right to reject a change
pursuant to Clause 101.3.3.
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3. PROCEDURES
3.1. Change Procedures
3.1.1. Discussions between the AUTHORITIES or the relevant
AUTHORITY and the CONTRACTOR in relation to a change
shall result in any one of the following:
(a) no further action;
(b) a request to make a change by the AUTHORITIES’
Change Control Board (CCB) or the relevant
AUTHORITY’s CCB;
(c) a recommendation to make a change by the
CONTRACTOR.
3.1.2. Where the CONTRACTOR receives a written request for
amendment from the AUTHORITIES’ CCB or from the CCB of
the relevant AUTHORITY, the CONTRACTOR shall unless
otherwise agreed in writing submit to the AUTHORITIES’
CCB three (3) signed copies of the Change Control Note
(CCN), within three (3) weeks of the date of receipt of
such written request.
3.1.3. If the CONTRACTOR considers that the preparation of a
CCN, requested by the AUTHORITIES, would necessitate
significant allocation of resources over and above
those stated in the Related Agreements, the CONTRACTOR
shall notify the AUTHORITIES accordingly and, on
agreement by the AUTHORITIES, the CONTRACTOR will make
a proposal for a paid study of the cost and
implications of producing the required CCN. Pending
the AUTHORITIES’ acceptance of that proposal or in the
event that the AUTHORITIES do not agree that such
proposal should be submitted, the CONTRACTOR shall be
relieved of the CONTRACTOR’s obligations to produce
such CCN.
3.1.4. A recommendation to make a change by the CONTRACTOR
shall be submitted directly to the AUTHORITIES’ CCB in
the form of three (3) copies of the CCN signed by the
CONTRACTOR at the time of such recommendation.
3.1.5. Further impact analysis of the CCN may be carried out
by the AUTHORITIES’ CCB.
3.1.6. For each CCN submitted, the AUTHORITIES’ CCB shall
evaluate the CCN and, as appropriate during the period
of validity:
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(a) request further information;
(b) notify the CONTRACTOR of its rejection of the CCN;
(c) confirm to the CONTRACTOR its acceptance of the CCN
(d) suggest modifications to the CCN.
3.1.7. Once the AUTHORITIES’ CCB has indicated its acceptance
of a CCN, the CONTRACTOR shall arrange for the approval
in writing of the CCN by the appropriate parties in
accordance with Clauses 101.3 and 101.4. The CONTRACTOR
shall provide a copy of the CCN for each signatory, and
each party shall sign each copy of the CCN.
3.1.8. The CONTRACTOR shall arrange for the distribution,
within three (3) weeks of signing, of an original
signed CCN to all of the parties having signed it.
3.1.9. A CCN signed by each of the parties to the AUTHORITIES’
Agreement shall constitute a change pursuant to Clause
101.3 or Clause 101.4 (as appropriate).
3.2. Content of Change Control Note
3.2.1. Each CCN shall contain:
(a) the change control number;
(b) the title of the change;
(c) a specification of the approvals required for the
CCN in accordance with Clause 101.
(d) the name of the originator and the date of the
request or recommendation for the change;
(e) the reason for the change;
(£) full details of the change, including any
specifications and user facilities;
(g) a statement of the cost, if any, to each AUTHORITY
of the change including all non-recurring Charges
and any new or amended Charges;
(h) a timetable for implementation together with any
proposals for acceptance in accordance with the
provisions of Schedule A7;
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(i) a statement of the impact, if any, of the change on
other aspects of the Related Agreements or Services
including but not limited to:
a Deliverables;
ii. personnel involved;
iii. existing timetable;
iv. implementation plans;
. security;
vi. system support;
vii. system management;
viii.standards;
ix. accommodation/location;
De documentation;
xi. Charges and charging mechanism;
xii. Service delivery criteria;
xiii.the AUTHORITIES’ Responsibilities;
xiv. contractual issues;
xv. risk;
xvi. Service Levels;
(j) proposed revised wording to the AUTHORITIES’
Agreement ;
(k) the date for expiry of validity of the CCN subject
to approval by the AUTHORITIES or _ relevant
AUTHORITY;
(1) provision for the AUTHORITIES or relevant AUTHORITY
to record the progress with dates of the CCN for
each stage as follows:
i. submitted;
ii. evaluated;
iii.further information requested;
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iv. further information received;
v. modified CCN received;
vi. modified CCN evaluated;
vii.approved;
viii.rejected;
(m) provision for signature by each of the AUTHORITIES
and by the CONTRACTOR.
3.3. Record Keeping
3.3.1. The CONTRACTOR shall retain a record of all Change
Control Notes (CCN) raised.
3.3.2. The CONTRACTOR shall make the CCN record available on
demand to the AUTHORITIES or the relevant AUTHORITY.
3.3.3. The CONTRACTOR’s CCN record shall include without
limitation the following information:
(a) the CCN number;
(b) date CCN raised;
(c) CCN originator(i.e. DSS, POCL or CONTRACTOR) ;
(ad) the approvals required for the CCN in accordance
with Clauses 101.3 and 101.4;
(e) changes made pursuant to the CCN.
4. EMERGENCY PROCEDURES
41. If the CONTRACTOR considers that any change is
necessary in order for it to comply with its
obligations under the Related Agreements and there is
insufficent time to comply with the procedures
described above, the CONTRACTOR shall be entitled to
proceed with such change, provided that it shall as
soon as practicable provide the AUTHORITIES with a CCN
for retrospective change. Such change shall be subject
to the procedures described in this Schedule, and if
the AUTHORITIES acting reasonably, do not agree to such
change, such change shall be invalid and the CONTRACTOR
shall at its own expense promptly take all steps
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necessary to reverse and remove the effects of such
change.
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SCHEDULE A6- CHARGING MECHANISM
Version Reason for change Frozen/issue
reference date
OA First draft ready for internalI1 February 1996
review
1,0 Issued to Service Providers andI2 February 1996
Sponsors
a Revised following further input]I8 February 1996
from Charterhouse and Bird &
Bird
2.0 Issued to Service Providers and]9 February 1996
Sponsors
2s Further revisions 16 February 1996
3.8 Issued to Service Providers andI16 February 1996
Sponsors
ce Following input fromI27 February 1996
Charterhouse
352 Further development reflectingI29 February 1996
changes from Sponsor
4.0 Final version for sponsor QA 29 February 1996
Biss
Version
2.0
(DN: The classification of POCL Basic, Optional and
Additional Services attached as a separate paper is
provided to give Service Providers guidance on
completing the Service Provider sections and annexes of
this Schedule.]
PURPOSE
This Schedule sets out the terms of the Common Charging
Mechanism which is the means by which the CONTRACTOR
shall charge for, and each AUTHORITY shall pay for the
relevant:
(a) Basic POCL Services;
(b) Basic DSS Services;
(c) Optional POCL Services (subject to the provisions
of paragraph 10);
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(d) Optional DSS Services (subject to the provisions of
paragraph 10).
Dat. The Common Charging Mechanism is each AUTHORITY’s
preferred method for paying for the relevant:
(a) Additional POCL Services;
(b) Additional DSS Services;
(c) Additional POCL Products;
(d) Additional DSS Products.
and therefore the principles and procedures set out
in this Schedule shall apply.
df oBie Where an AUTHORITY decides not to pay for the services
or products in paragraph 1.2 by means of the Common
Charging Mechanism, then the charging mechanism for
each such particular service or product shall be agreed
between the relevant AUTHORITY and the CONTRACTOR on
the basis of the principles set out in paragraph 2
below.
2. PRINCIPLES
2.2. Each AUTHORITY requires that the Common Charging
Mechanism be a fair charging mechanism whereby each
AUTHORITY pays for the Services it uses according to
the CONTRACTOR’s total cost of delivering that Service.
2.2. Subject to the guarantees set out in paragraph 5 and
7.2, each AUTHORITY shall only be charged by the
CONTRACTOR according to the level of usage by the
relevant AUTHORITY of the Services.
ae The CONTRACTOR shall only be entitled to commence
charging following the Operational Trial Acceptance
Date.
3. COMPONENTS OF THE COMMON CHARGING MECHANISM
3.1. Transactions
3.1.1. The CONTRACTOR shall charge each AUTHORITY for the
Services on the basis of Chargeable Transactions as
agreed with the AUTHORITIES using the Services provided
to that AUTHORITY. The list of Chargeable Transactions
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and the definition of each such Chargeable Transaction
is attached as Annex 1 hereto.
3.1.2. Such definitions of the Chargeable Transactions are for
the purposes of the Common Charging Mechanism only.
3.1.3. Chargeable Transaction shall not include any
Transaction which is the subject of a Default by the
CONTRACTOR or for which the CONTRACTOR is liable under
Clause 808 and Clause 809 of the DSS Agreements and the
POCL Agreement .
3.2. Score Card
3.2.1. The CONTRACTOR’s Score Card is attached as Annex 2
hereto. The Score Card shall comprise a grid
containing a list of all Chargeable Transactions (as
rows of the grid) and a number of Service Components
relating to such Chargeable Transactions (as columns of
the grid).
3.2.2. The Score Card shall indicate which Service Components
are to be utilised by each Chargeable Transaction.
3.2.3. The Score Card shall be arranged so that each Service
Component on the Score Card shall relate to one (and
only one) of the following:
(a) the Payment Authorisation Service;
(b) the Card Management Service;
(c) the POCL Services.
[DN: The Score Card may be broken down into the DSS and
POCL Agreements after ITT.]
3.2.4. Each Chargeable Transaction that utilises a Service
Component relating to the POCL Services shall be
assigned to one (and only one) of the following:
(a) Benefit Encashment Service;
(b) Other POCL Services.
Such transaction assignment shall be agreed by the
AUTHORITIES and the CONTRACTOR.
3.2.5. The Score Card shall identify separately Chargeable
Transactions which are to be provided as part of Basic
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Services and Chargeable Transactions which are to be
provided as part of Optional Services.
3.3. Servicepoints
3.3.1. The CONTRACTOR’s Score Card shall assign a fixed number
of points to each Service Component (Servicepoints), on
the basis of fair and reasonable allocation of costs.
The CONTRACTOR’s description of the costs assigned to
each Service Component is attached as Annex 3 hereto.
3.4. Scoring
3.4.1. Each Chargeable Transaction shall be scored using the
Score Card. The score for each Chargeable Transaction
shall comprise the sum of the Servicepoints assigned to
the Service Components utilised by the relevant
Chargeable Transaction. Where a Chargeable Transaction
utilises Service Components that are related to two or
more of the POCL Services, Payment Authorisation
Service and the Card Management Service, then the score
for such Chargeable Transaction shall be separately
totalled for each such Service.
3.5. Servicepoint Prices
3.5.1. The CONTRACTOR shall charge the following Basic
Servicepoint Price for the relevant Service:
For periods up toICard Payment POCL
the year ending I Management Authorisation I Services
28/29 February Service Service
2000
2001
2002
2003
2004
2005
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3.6. Limits
3.6.1. The CONTRACTOR’s Servicepoint prices, as set out in
this Schedule, are fixed provided that none of the
physical, technical or service limits set out in Annex
4 to this Schedule and taken as an average for the Year
are exceeded. In the event that any limit is exceeded
then the CONTRACTOR may initiate a price review under
Change Control procedures, unless they have been caused
by volumes up to the high-line forecast.
3.6.2. Each AUTHORITY may initiate a price review under Change
Control procedures in the event that any of the limits,
taken as an average for any year (ended 28/29
February), for any Service Component column on the
Score Card is exceeded by more than 40%.
4. CHARGES
4.1. Charge Calculation for Quarters 1,2 and 3
4.1.1. The gross Charges payable to the CONTRACTOR by either
AUTHORITY for each of the first three (3) quarters of
each financial year shall be calculated by multiplying:
(a) the number of Chargeable Transactions during the
relevant period; by
(b) the Servicepoint score for the relevant Chargeable
Transaction and the relevant Service: by
(c) the Basic Servicepoint price for the relevant year
and the relevant Service as set out in paragraph
3.5.1 of this Schedule.
4.1.2. The net Charges payable to the CONTRACTOR by either
AUTHORITY for each of the first three (3) quarters of
each financial year shall be reached by calculating the
gross Charges figure in accordance with paragraph 4.1.1
and applying any adjustments in accordance with
paragraph 5.7 of Schedule A10 of the DSS Agreement or
paragraph 5.7 of Schedule 10 of the POCL Agreement.
4.1.3. The Charges payable to the CONTRACTOR for the final
quarter of each financial year shall be calculated in
accordance with paragraphs 5 and 6 of this Schedule.
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4.2. Usage
4.2.1. For each invoice period the CONTRACTOR shall record and
identify separately the count of each Chargeable
Transaction for each DSS Service and the count of each
Chargeable Transaction incurred for each POCL Service.
4.2.2. In addition to the provisions of paragraph 4.2.1,
benefit payments authorised during any invoice period
for the DSS Services provided to Benefits Agency, War
Pensions Agency, Social Security Agency (Northern
Ireland) and such other Agency or Department that DSS
may specify, shall be separately identified.
4.2.3. With respect to Chargeable Transactions incurred during
any invoice period for POCL Services provided to the
DSS, benefit payments authorised provided to Benefits
Agency, War Pensions Agency, Social Security Agency
(Northern Ireland) and such other Agency or Department
that DSS may specify, shall be separately identified.
4.3. Period
4.3.1. The CONTRACTOR shall calculate the Charges on a monthly
basis and shall submit an invoice for such charges on
quarterly basis in accordance with the periods set out
in Schedule A10 of the POCL Agreement and Schedule A10
of the DSS Agreement.
4.4. Adjustments
4.4.1. Servicepoint price discounts and guarantee adjustments
shall be made annually in accordance with paragraphs 5
and 6 of this Schedule.
4.4.2. In the final year of the term of the Related Agreements
an amount equal to 20% of the total value (excluding
VAT) of each invoice for the first three (3) quarterly
periods of such year shall be credited to an interest
bearing account in the name of the CONTRACTOR. The
total amount so credited shall be taken into account
when the final adjustment calculation in respect of
guarantees, discounts and remedies is made to the final
invoices. Following such final calculation the
AUTHORITIES shall consent to the release of the escrow
amounts in payment to the CONTRACTOR and if applicable
in refund to the either AUTHORITY or both AUTHORITIES.
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5. STEADY STATE GUARANTEES
5.1. POCL Guarantees
5.1.1. POCL shall be liable to pay minimum guaranteed amounts
to the CONTRACTOR, in respect of usage charges under
the Common Charging Mechanism, for each of:
(a) the provision of the Benefit Encashment Service
(the “POCL BES Guarantees”) ;
(b) the combined provision of the EPOSS, Automated
Payments and POCL Infrastructure Services (the
“Other POCL Services Guarantees”) and Optional POCL
Services;
(c) the Additional Services guarantees to be agreed at
the time;
in respect of each year of Steady State operation.
Such amounts are as set out in paragraph 5.4 of this
Schedule.
5.1.2. No guarantees will be provided in respect of any usage
of the Order Book Control Service and any Chargeable
Transactions associated with such Service.
5.2. DSS Guarantees
5.2.1. DSS shall be liable to pay minimum guaranteed amounts
to the CONTRACTOR in respect of usage charges under the
Common Charging Mechanism, for the combined provision
of the Payment Authorisation Service and the Card
Management Service (the “DSS Guarantees”), in respect
of each year of Steady State operation. Such amounts
are as set out in paragraph 5.4 of this Schedule.
5.2.2. No guarantees will be provided in respect of any usage
of the Order Book Control Service and any Chargeable
Transactions associated with such Service.
5.3 Severability Of Guarantees
5.3.1. POCL shall not be liable to the CONTRACTOR in respect
of the DSS Guarantees.
5.3.2. DSS shall not be liable to the CONTRACTOR in respect of
either the POCL BES Guarantees or the Other POCL
Services Guarantees.
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5.4. Guarantee Amounts
5.4.1. For the purposes of this Schedule the first full year
of Steady State Services shall commence on 1 March
1999. In the event that the AUTHORITIES decide to amend
this date then the Change Control Procedures shall
apply.
5.4.2. The following table sets out the annual amounts of the
POCL BES Guarantees, Other POCL Services Guarantees and
DSS Guarantees for each full year of Steady State
operation:
Year ending POCL BES Other POCL DSS
28/29 Guarantees Services Guarantees
February £m Guarantees £m
£m
2000
2001
2002
2003
2004
2005
5.4.3. The above guarantee amounts shall be reduced pro rata
for the actual period of the final year of the term of
the Related Agreements.
5.5. Adjustment To The DSS Guarantees
5.5.1. In the event that the Payment Authorisation Service is
terminated then the DSS Guarantees shall be reduce such
as to exclude the amount contributed by the Payment
Authorisation Service to the DSS Guarantees. The
revised amounts, for each then remaining full financial
year of the DSS Agreement shall be as set out below.
Year ending DSS
28/29 Guarantees
February (excluding
PAS)
£m
2000
2001
2002
2003
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2004
2005
5.5.2. The DSS Guarantee amount for the year in which the
Payment Authorisation Service is terminated shall be
calculated as follows:
guarantee in 5.4.2 X guarantee in 5.5.1 xX 12
no of months no of months
5.5.3. In the event that the Card Management Service is
terminated then the DSS Guarantee shall be reduce such
as to exclude the amount contributed by the Card
Management Service to the DSS Guarantees. The revised
amounts, for each then remaining full financial year of
the DSS Agreement shall be as set out below.
Year ending DSS
28/29 Guarantees
February (excluding
cms)
2000
2001
2002
2003
2004
5.5.4. The DSS Guarantee amount for the year in which the Card
Management Service is terminated shall be calculated as
follows:
Quarantee in 5.4.2 X guarantee in 5.5.3 X 12
no of months no of months
5.6. Adjustment to the POCL Guarantees
5.6.1. In the event of a POCL Service being terminated then
the POCL Guarantees shall be reduce such as to exclude
the amount contributed by that Service to the POCL
Guarantees.
5.6.2. The POCL Guarantee amount for the year in which the
POCL Service is terminated shall be calculated as
follows:
Quarantee in 5.4.2 X guarantee in 5.6.1 X 12
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no of months no of months
5.7 Application Of Guarantees
5.7.1. For each year of the term of the Related Agreements
ending 28/29 February and commencing with the year
ending 29 February 2000 the fourth quarter’s invoices
shall include details of the gross Charges calculated
in accordance with paragraph 4.1.1 for the previous
three quarters of such year for each of the following
Services:
(a) the Benefit Encashment Service;
(b) the EPOSS, Automated Payments, Other POCL Services
and POCL Infrastructure Services; and
(c) the Payment Authorisation Service and the Card
Management Service.
5.7.2. For the purpose of sections 5 and 6, (a) and (b) above
shall constitute a “POCL Service Group” and (c) the
“DSS Service Group”.
5.7.3. In relation to each of the two POCL Service Groups the
gross Charges will be calculated for the fourth quarter
of each year in accordance with paragraph 4.1.1 of this
Schedule. Such gross Charges shall be added to the
relevant gross Charges calculated for the previous
three quarters. In the event that the total of the four
quarterly gross Charges so calculated, in any year and
in respect of each of the two POCL Service Groups, is
less than the relevant POCL guarantee amount (BES or
Other POCL Services as appropriate) then the Charges
for the fourth quarter shall be increased such that the
total of the four quarterly gross Charges payable for
such year, for the relevant POCL Service Group, shall
equal the relevant POCL guarantee amount(BES or Other
POCL Services as appropriate) .
5.7.4. The net Charges for the fourth quarter shall be reached
by applying any adjustments in accordance with
paragraph 5.6 of Schedule 10 of the POCL Agreement.
5.7.5. In relation to the DSS Service Group the fourth
quarter's Charges shall first take account of any
Servicepoint price discounts available as calculated in
accordance with paragraphs 6.2.3 and 6.2.4 of this
Schedule.
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5.7.6. In the event that the sum of the figures calculated in
accordance with paragraphs 6.2.3 and 6.2.4 and the
gross Charges calculated in accordance with paragraph
4.1.1 for the first three quarters for the Payment
Authorisation Service and the Card Management Service
is less than the DSS Guarantee amount then the gross
Charge for the fourth quarter for the DSS Service Group
shall be increased such that the total of the four
quarterly gross Charges for the DSS Service Group
payable for such year, shall equal the relevant Dss
Guarantee amount.
5.7.7. The net Charges for the fourth quarter shall be reached
by applying any adjustments in accordance with
paragraph 5.6 of Schedule 10 of the DSS Agreement.
6. DISCOUNTS
6.1. General
6.1.1. For each year of the Related Agreements ending 28/29
February and commencing with the year ending 29
February 2000 the gross Charges calculated for the
first three quarters of such financial year in
accordance with paragraphs 4.1.1 and for the fourth
quarter in accordance with paragraph 5.7 of this
Schedule shall be further adjusted to reflect the
discounted Servicepoints prices set out hereunder.
6.1.2. Each fourth quarter invoice shall include details of
the total numbers of Servicepoints actually incurred in
the previous three quarters and for the fourth quarter
of such year, for each of:
(a) the POCL Services;
(b) Payment Authorisation Service; and
(c) Card Management Services.
6.1.3. For the purpose of this section 6, (a),(b) and (c)
above shall each constitute a “Discount Group”.
6.1.4. For the purposes of establishing whether any discounted
Servicepoint prices are applicable in relation to the
POCL Services the sum of the total number of
Servicepoints for each POCL Service Group during any
year shall be calculated
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6.1.5. To calculate the figure in 6.1.4 the higher of:
(a) the
aggregate number of
actual Servicepoints
incurred for the relevant year for the relevant
POCL Service Group; or
(b) the number of Servicepoints at the relevant basic
Servicepoint price that equates to the relevant
guaranteed amount for the relevant year and the
relevant POCL Service Group.
shall be taken into account.
6.1.6. The following Servicepoint discount bands shall apply
in relation to the relevant Discount Groups:
Year Servicepoint discount bands
ending
28/29
February
z 2 I 3 [ 4 L_ fete]
POCL Services
2000 z2osfj2Clsj2 C1) sj2 Ci sj2z2tis
J { a £4 t 3 Bed
2001 zosj2(C)lsj2 Cl] sj2zCisj2tis
3 C4) La Et} ft
2002 2os(Cj2C)sj2 Cl sj2Cisjztis
J L i C 4 i i (1)
2003 zos(/2C)] s/2 (1 s/2 C1 s/2tl1s
1 C) £ oJ Ed C1}
2004 z2osCj2zCisj=Cil sj2ztCl sj2z tis
J C1 £ J tC] tC]
Card Management Service
2000 zos(Cj2Cisj2 C1] sj2Cl)lsjectis
] {] Cd fod {J
2001 SOs hie kL ste £) Se 6.) sje 81s
I Ie £3) CJ { 1
2002 SOS CY Sia fo Speed seb ).s
] by oa La Ed I
2003 20s Che.) sfe0.] spe Ci sje cis
] f.J ae EJ i
2004 zostl2()s[z Cl) sj2 tT slztis
] C1 { ] {_1 I
Payment Authorisation Service
2000 zoos jz) sj2i sf2tis]J2z tis
] i) ic i C1
2001 20s f/2f) sf2C1 sJ2Clislz2zCils
] i c oo Ct] { 3
2002 zoos t/2tl sj2 C1 sj2C) sj2 Cl <s
] Ct] £ 2 Cd CJ
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2003 zos(j2C) s/2 (1 sj2 1) sfzt) s
J (i tS i tC]
2004 zosj2Clsj2 (1 sj2ti sj2ztis
J Ct] EF CJ Ct]
6.1.7. The following Servicepoint prices shall apply to the
Servicepoint discount bands in paragraph 6.1.6:
Year Servicepoint prices per discount bands
ending
28/29
February
i I 2 I s I a L_ fete]
POCL Services
2000
2001
2002
2003
2004
Card Management Service
2000
2001
2002
2003
2004
Payment Authorisation Service
2000
2001
2002
2003
2004
[DN: Discount bands and discount servicepoint prices will form
part of CONTRACTOR’s proposals]
6.2. Discount Calculation
6.2.1. For each year the total number of Servicepoints for
such year for each Discount Group shall be allocated to
the relevant discount bands and multiplied by the
corresponding Servicepoint price (each a “Discounted
Charge”) . The total number of Servicepoints for the
POCL Services shall be the sum of Servicepoints
incurred for the Benefit Encashment Service and the
Other POCL Services both as adjusted in accordance with
paragraph 6.1.5 of this Schedule.
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6.2.2. In the event that, for any year, the Discounted Charge
for the POCL Services is less than the sum of the gross
Charges for the two POCL Service Groups then the gross
Charge for the fourth quarter of the relevant year
shall be reduced such that the aggregate of the gross
Charges payable for such year, for such Discount Group,
shall equal the relevant Discounted Charge.
6.2.3. The gross Charge for the Payments Authorisation Service
for the fourth quarter of any year shall be equal to:
(a) the Discounted Charge for such year calculated in
accordance with 6.2.1; less
(b) the sum of the gross Charges calculated for the
first three quarters of such year.
6.2.4. The gross Charge for the Card Management Service for
the fourth quarter of any year shall be equal to:
(a) the Discounted Charge for such year calculated in
accordance with 6.2.1; less
(b) the sum of the gross Charges calculated for the
first three quarters of such year.
7. CHARGING DURING THE ROLL-OUT PERIOD
Tails. Calculation Of Charges
7.1.1. The amended charging terms set out in this paragraph 7
shall apply during the period (the “Roll-Out Charging
Period”) commencing from the Operational Trial
Acceptance Date and ending Roll-Out Completion Date.
7.1.2. Charges shall be calculated in accordance with
paragraphs 4, 5 and 6 of this Schedule except that:
(a) the first Invoice Period during the Roll-Out
Charging Period shall commence on the day following
the Operational Trial Acceptance Date and end on
the next quarter end date as specified in Schedule
Al0 of the DSS Agreement or Schedule A10 of the
POCL Agreement.
(b) the last full Invoice Period during the Roll-Out
Charging Period shall commence on 28 November 1998
and end on 28 February 1999;
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(c) there shall be a further invoice or adjustment for
the period 1 March 1999 to/Roll-Out Completion
Date;
(d) the Basic Servicepoint price shall be the Basic
Servicepoint price applicable for the year ended 29
February 2000 as set out in paragraph 3.5.1 of this
Schedule;
(e) the discounted Servicepoint prices and Servicepoint
discount bands shall be the those applicable for
the year ending 29 February 2000 as set out in
paragraphs 6.1.6 and 6.1.7 of this Schedule;
(£) the amounts of the Roll-Out DSS Guarantees, POCL
BES Guarantees and Other POCL Services Guarantees
shall be calculated in accordance with paragraph
7.2 of this Schedule;
(g) the first invoice to be adjusted for the
application of Roll-Out Guarantees and Servicepoint
discount prices shall be for the quarter ended 28
February 1998. For the purposes of calculating any
invoice discounts, all discount bands shall be
adjusted pro rata to reflect the duration of the
period commencing on the day following the
Operational Trial Acceptance Date and ending on the
year ended 28 February 1998. For the purposes of
calculating any Charge adjustment for the
application of Guarantees in accordance with
paragraph 5.7 of this Schedule, the calculation of
gross Charges shall be for the comparable period to
which the relevant Guarantee amount relates;
(h) the second and last invoice to be adjusted for the
application of Roll-Out Guarantees and Servicepoint
discount prices shall be for the quarter ending 28
February 1999. For the purposes of calculating any
invoice discounts, all discount bands shall be
adjusted pro rata to reflect the duration of the
period commencing on the 1 March 1998 and ending on
the 28 February 1999. For the purposes of
calculating any Charge adjustment for the
application of Guarantees in accordance with
paragraph 5.7 of this Schedule, the calculation of
gross Charges shall be for the comparable period to
which the relevant Guarantee amount relates.
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7.2. Calculation Of Guarantees
7.2.1. No guarantees will be provided by either AUTHORITY in
respect of usage for any period prior to the 1 July
1997 or six (6) months after the Operational Trial
Acceptance Date, whichever is later. No guarantees
will be provided in respect of any usage of the Order
Book Control Service and any Chargeable Transactions
associated with such Service.
7.2.2. Subject to amendment of the date in paragraph 7.2.1
above, the First Roll-Out Guarantee Period shall be the
three quarters commencing 1 July 1997 and ending 28
February 1998. The Second Roll-Out Guarantee Period
shall be the period commencing 1 March 1998 and ending
28 February 1999/Roll-Out Completion Date.
7.3. POCL BES Guarantees
7.3.1. The following calculation shall be carried out in order
to determine the POCL BES Guarantee amounts for the
First and Second Roll-Out Guarantee Periods:
(a) the calculation uses the 1995/96 total number of
benefit payments at the relevant post office
expressed as a percentage of the national total
number of benefit payments at post offices in
1995/96 (as recorded by the POCL PIVOT MIS system) .
For the purpose of this Schedule, this shall be
known as the historic benefit percentage for the
office. For offices which were not open until after
April 1995 the historic transaction volumes shall
be agreed on the basis of a similar office when the
detailed roll-out programme is established;
(b) for each month during the Roll-Out Guarantee
Period, the guarantee contribution for offices
automated in that month shall be calculated by
adding together the historic benefit percentages
for all the post offices at which the BES service
is first accepted during that month. The guarantee
contribution shall be zero for all months before 1
January 1997;
(c) The accumulated guarantee percentage level for any
month shall then be calculated by adding together:
i. the guarantee contribution for the calendar month
two calendar months previous multiplied by 10%,
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ii. the guarantee contribution for the calendar month
three calendar months previous multiplied by 20%,
iii.the guarantee contribution for the calendar month
four calendar months previous multiplied by 30%,
iv. the guarantee contribution for the calendar month
five calendar months previous multiplied by 40%,
v. the guarantee contribution for the calendar month
six calendar months previous multiplied by 50%,
vi. the guarantee contribution for the calendar month
seven calendar months previous multiplied by 60%,
and
vii.the aggregate guarantee contribution for all
calendar months eight calendar months or more
previous multiplied by 70%.
(d) The guaranteed servicepoints in any month shall
then be calculated by multiplying the accumulated
guarantee percentage level by the Best View volume
projection for the month taken from the table
attached as Annex 5.
(e) the POCL BES Guarantee amounts for the First and
Second Roll-Out Guarantee Periods, as applicable
shall be calculated by multiplying the aggregate
number of guaranteed servicepoints for all months
of the relevant Roll-Out Guarantee Period by the
Basic Servicepoint price applicable for the POCL
Services for the year ended 29 February 2000 as set
out in paragraph 3.5.1 of this Schedule.
7.4. Other POCL Services Guarantee
7.4.1. The following calculation shall be carried out in order
to determine the other POCL Services Guarantee amounts.
7.4.2. The calculation uses:
(a) one twelfth of the total number of Automated
Payment transactions at each post office in 1995/96
(as recorded by the POCL PIVOT MIS system). For the
purpose of this Schedule, this shall be known as
the historic APT transaction volume for each such
office: and
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(b) one twelfth of the total number of all transactions
excluding benefit encashment and Automated Payment
transactions at each post office in 1995/96 (as
recorded by the POCL PIVOT MIS system). For the
purposes of this Schedule, this shall be known as
the historic EPOS transaction volume for each such
office;
(c) for offices which were not open until after April
1995 the historic transaction volumes shall be
agreed on the basis of a similar office when the
detailed roll-out programme is established.
7.4.3. The calculation also uses:
(a) the minimum AP servicepoint score which is equal to
the minimum Servicepoint score for any plastic card
based automated payment transaction on the
Scorecard: and
(b) the minimum EPOS servicepoint score which is equal
to the minimum Servicepoint score for any
transaction on the Scorecard that uses EPOS.
7.4.4. The guaranteed servicepoints in each month from 1 July
1997 to 28 February 1999/Roll-Out Completion Date shall
be:
(a) 65% of the total of the historic EPOS transaction
volumes at those post offices where both the EPOS
and AP services were available throughout that
month;
(b) multiplied by the minimum EPOS service point score;
(c) plus 65% of the total of the historic APT
transaction volume at those post offices where both
the EPOS and AP services were available throughout
the month;
(d) multiplied by the minimum AP service point score.
7.4.5. The Other POCL Services Guarantee amounts for the First
Roll-Out Guarantee Period and for the Second Roll-Out
Guarantee period as applicable shall be calculated by
multiplying the aggregate number of guaranteed
servicepoints for all months of the relevant Roll-Out
Guarantee Period by the Basic Servicepoint price
applicable for the POCL Services for the year ended 29
February 2000 as set out in paragraph 3.5.1.
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7.5. DSS Guarantees
7.5.1. The calculation of DSS Guarantees use the 1995/96 total
number of benefit payments at each post office
expressed aS a percentage of the national total of
benefit payments at post offices (as recorded by the
POCL PIVOT MIS system). This shall be known as the
percentage outlet benefit activity (b,9).
7.5.2. Outlets closed since 31 March 1995 shall be ignored for
the purposes of calculating Guarantees. Outlets opened
since 31 March 1995 or opened during the Roll-Out
Charging Period or the installation of terminals in
non-post office locations shall be treated for the
purposes of calculating these amounts as having the
same benefits or non-benefit activity contribution as
the average over all outlets (for which volume data is
available) with the same number of terminals as such
opened outlets/locations.
7.5.3. For the purposes of the calculations in this paragraph
7.5 only outlets accepted by POCL as having been
satisfactorily installed and operating at the beginning
of the relevant period shall be included.
7.5.4. The relevant Roll-Out DSS Guarantee amounts shall equal
the sum of the relevant PAS component and the relevant
CMS component calculated in accordance with paragraphs
7.5.5 and 7.5.6 of this Schedule.
7.5.5. The PAS component of the Roll-Out DSS Guarantee amounts
shall be calculated using the following formula:
n
s* Vigi
i=m
where:
n = the last month of the First Roll-Out Guarantee Period
or the Second Roll-Out Guarantee Period, as
applicable.
m= the first month of the First Roll-Out Guarantee
Period or the Second Roll-Out Guarantee Period, as
applicable.
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S = the Basic Servicepoint price applicable to the
Payment Authorisation Service for the year ended 29
February 2000 as set out in paragraph 3.5.1 of this
Schedule.
v, = the Best Guess volume projection, for month i of the
Roll-Out Charging Period, for the regular benefit
payment Chargeable Transaction expressed in
Servicepoints (for the use of Service Components
arranged under Payment Authorisation Services) as
determined in accordance with paragraph 3.4.1 of this
Schedule.
g, =the total percentage guarantee level for all
automated outlets, for month i of the Roll-Out
Charging Period, for the regular benefit payment
Chargeable Transaction as calculated using the
following formula:
(byo# 0%) + (by, *0%) + (by*10%) + (by3*20%) + (by4*30%) + (by, *40%) +
(by¢*50%) + (by,*60%) + (by,*70%)
Si
where:
bi, = the percentage outlet benefit activity covered by all
outlets automated during month i.
bi, = the percentage outlet benefit activity covered by all
outlets automated in the one month prior to month i
by, = the percentage outlet benefit activity covered by all
outlets automated in the k‘ month prior to month i
by, = the percentage outlet benefit activity covered by all
outlets automated in the 8‘ month and higher, prior
to month I.
7.5.6. The CMS component of the Roll-Out DSS Guarantee amounts
shall be calculated using the following formula:
v
s* Pad
o = the first quarter of the First Roll-Out Guarantee
Period or the Second Roll-Out Guarantee Period, as
applicable
p= the final quarter of the First Roll-Out Guarantee
Period or the Second Roll-Out Guarantee Period, as
applicable (final quarter of the Second Roll-Out
Period may not be a whole quarter)
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S = the Basic Servicepoint price applicable to the Card
Management Service for the year ended 29 February
2000 as set out in paragraph 3.5.1 of this Schedule.
cy = the Best View volume projection, for quarter i of the
Roll-Out Charging Period, for the Chargeable
Transaction associated with the number of benefit
cards in issue, expressed in Servicepoints as
determined in accordance with paragraph 3.4.1 of this
Schedule. Where the Best View volume projection of
benefit cards in issue for quarter i shall be the
Best View volume projection of the number of regular
benefit payments for the middle month of quarter i
divided by 3.5.
g, =the total percentage guarantee level for all
automated outlets, for the middle month of quarter i
of the Roll-Out Charging Period, for the benefit
cards in issue Chargeable Transaction as calculated
using the following formula:
Gi= (bio 0%) + (by, *0%) + (yg*10%) + (1by3*20%) + (by,*30%) + (by, *40%) +
(by¢*50%) + (b,,*60%) + (by_*70%)
where:
by) = the percentage outlet benefit activity covered
by all outlets automated during the middle month
of quarter i.
by, =the percentage outlet benefit activity covered
by all outlets automated in the one month prior
to the middle month of quarter i
by, =the percentage outlet benefit activity covered
by all outlets automated in the k‘ month prior
to the middle month of quarter i
by, = the percentage outlet benefit activity covered
by all outlets automated in the 8 month and
higher prior to the middle month of quarter i
8. FIRST STEADY STATE INVOICE
8.1. The calculation of invoice Charges during the period,
if any, between the Roll-Out Completion Date and the
commencement of the first full financial year of Steady
State operation shall be in accordance with paragraphs
4, 5 and 6 of this Schedule except that:
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(a) the first invoice period during this period shall
commence on the day following the Roll-out
Completion Date and end on the next quarter end
date;
(b) the last invoice period during this period shall
end 28 February 1999 and commence on the later of
the day following the Roll-Out Completion Date and
the day following the end of the first preceding
quarter end date;
(c) the Basic Servicepoint price shall be the Basic
Servicepoint price applicable for the year ended 29
February 2000 as set out in paragraph 3.5.1 of this
Schedule;
(d) the discounted Servicepoint prices and Servicepoint
discount bands shall be the those applicable for
the year ended 29 February 2000 as set out in
paragraphs 6.1.5 and 6.1.6 of this Schedule;
(e) the amounts of the DSS Guarantees, POCL BES
Guarantees and Other POCL Services Guarantees shall
be the those applicable for the year ended 29
February 2000, as set out in paragraph 5.4.1 of
this Schedule, pro rated according to the length of
this period;
(£) the first and last invoice to be adjusted for the
application of Guarantees and Servicepoint discount
prices shall be for the period ended 28 February
1999. For the purposes of calculating any invoice
discounts, all discount bands shall be reduced pro
rata to reflect the duration of this period.
9. SERVICE CHARGING DURING TRANSFER
9.26 During the period commencing with the notice of
termination and until termination of the Related
Agreements. The AUTHORITIES shall not guarantee any of
the volumes. The CONTRACTOR shall continue to charge
the relevant Basic Servicepoint price for Chargeable
Transactions for the year current at that time
10. REMEDIES - PRECEDENCE
10.2. In accordance with Schedule B03 and Clause 802.42,
financial Remedies shall be reflected as Service
Credits. Any such reductions shall be applied after
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the calculation of Charges (excluding VAT) in
accordance with paragraphs 4, 5 and 6.
11. OTHER CHARGING MECHANISMS FOR OPTIONAL SERVICES AND
OPTIONAL PRODUCTS
(DN: The charging mechanism selected for each of these
Optional Products/Services is yet to be fully defined
as is the entire list, these are suggested mechanisms.]
11.1. POCL Services
11.1.1. Out of Hours Support - Hourly rate
11.1.2. Training post Roll-Out - price per course/candidate
11.1.3. Electrical Re-wiring - Measured Term
11.1.4. Customer Education/Marketing - Quotation
11.1.5. Electronic Operations Manual - Per issue per post
office
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ANNEX 5
Period Best View of Potential Card
Based BA Payments (millions)
1997
January 0.146
February 1.171
March 2.34
April 4.53
May 7.3
June 10.5
July 16.04
August 22
September 27.62
October 33.33
November 39
December 43.44
1998
January 47.92
February 49.7
March 51.72
April 52.78
May 56.94
June 60.98
July 65.25
August 69.51
September 70.07
October 70.3
November 71.13
December 71.41
1999
January 71.42
February 71.44
March 71.45
April 71.45
May 71.45
June 71.45
July 71.45
August 71.45
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SERVICE PROVIDER’S GUIDANCE PAPER
Classification of Basic, Optional and Additional Services
For the purpose of preparing the pricing structure, suppliers should
take note of the following distinctions between basic, optional and
additional services:
Basic services
are those which the Authorities definitely require either on day one
or in the future. The requirement for these services has been
specified in the Requirements register and related documents.
Optional services
are those which the Authorities may require at any time and must be
provided by the Service Provider when given due notice. The
requirement for these services has also been specified in the
Requirements register and related documents.
Additional services
are those which the Authorities may require and which have been
identified but not specified at present. They may also be services
not yet identified.
Suppliers are required to include contracted prices in their tenders
for all basic and optional services. Contracted prices are not
required for Additional services, but where additional services have
been indicated by the Authorities or proposed by the Service
Provider, indicative pricing information should be provided for
evaluation purposes.
For the POCL Services, the basic, optional and additional elements
are defined in three dimensions, i.e.:
e The infrastructure facilities provided by the Service Provider to
deliver the POCL services
© The service components
* The transactions using the services
The tables at Appendices A to C provide the classification of these
three dimensions
Except for those items which are to be charged for separately (on a
time and materials or other agreed basis) the Common Charging
Mechanism and the scorecard should determine contracted prices for
the following usage of the services. In all cases charges should be
on the basis of the principles in Schedule a6.
Basic or Optional Services
Basic or Optional Transactions using Basic Infrastructure
The full price for these must be covered by the contracted pricing
mechanism. Basic transactions include the implementation of any
transaction using the EPOS service.
Basic or Optional Transactions using Optional or Additional
Infrastructure
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In addition to the contracted pricing mechanism, the introduction of
such transactions would be expected to incur additional costs either
as one or more fixed payments representing the cost of providing the
hardware or the addition of one or more columns to the score-card
grid to enable the Service Provide to charge for the use of the
additional Infrastructure by specified transactions. In the case of
Optional Infrastructure, Service Providers must specify the relevant
fixed payments or service-point weightings of the additional columns.
In the case of Additional Infrastructure, the price and method of
charging will be determined through the change control mechanism.
Additional Transactions using Basic Infrastructure
Once the requirements for such transactions have been determined, the
Service Provider will charge for their use of the existing
Infrastructure through the contracted score-card mechanism. In
addition there may be charges, to be determined through the change
control process, for development, testing, integration and associated
activities.
Additional Transactions using Optional or Additional Infrastructure
In cases where the optional infrastructure has already been
introduced, charging will be as for Basic Infrastructure above. In
other cases, there may be two additional charges covering (1) the
introduction of the optional or additional infrastructure as at xxx
above and (2) the development, testing, integration and associated
activities for the introduction of the transaction as at yyy above.
Additional Services
These will be charged on bases to be agreed at the time through the
change control mechanism.
Calculation of the Guarantee for POCL Other Services in the Steady
State
The POCL guarantee for POCL Other Services after completion of roll-
out shall be calculated as 65% of that charge for Basic transactions
plus 65% of the charge for Optional transactions at the best view
forecast transaction volumes and usage of the infrastructure.
However, POCL may notify the supplier within [6 months] of the award
of contract that on the basis of the suppliers prices and solutions
it will not require certain optional transactions at any time in the
contract. In that event, the guarantee shall be calculated without
including those optional transaction so notified. Should such a
transaction be required subsequently, its introduction would be on
the basis of it being additional and subject to the change control
procedures applicable.
POCL Infrastructure
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Component
Basic
Optional
Additional
TMS
Endorse token
Token management
Signed receipt
Supplementary details capture
Outpayment
Inpayment
EPOS
Back-office printer
Receipt/Slip Printer
AIST SISTINE ST SESSA
Pass-book printer
Bar-code printer
Smart key charger
Smart card reader/writer
Magnetic stripe card reader
SAISISATS
Scales link
PIN pad
2-D Bar code printer
OCR reader
Bar code reader
POCL Services
Component
Optional
Additional
Transaction Management
Benefit Encashment
Order Book Checking
Automated Payments
EPOS
Infrastructure
Contingency
NINE EN NEN
3
Out-of-hours support*
On-line real-time interfaces to
client and/or POCL systems
Training post roll-out*
Electrical rewiring*
Customer
Education/Marketing*
SISTSN
Electronic Operations
Manual*
* Priced separately (i.e. not necessarily through the scorecard.)
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POCL Transactions
(Client [Transaction Basic Day I [Basic Future] Optional I Additional
BBC [0618 BBC CASH EASY ENTRY SCHEME Z
BT BT PAYMENT PLAN. 7
BT BT PHONE CARDS (any amount) 7
BT [Smart Cards 7
ICABLE [0322 CABLE TV RECEIPTS Z
[DVLA [0071 MVL - VIO. 7
DVLA [0072 MVL- Vit v
[DVLA __ I Temporary first licences Z
ELEC [Payment Plan Z
ELEC [Saving Schemes 7
ELEC ISMART card schemes v
ELEC SMART KEY (CLIENT KIT) Vv
ELEC SMART KEY schemes v
GAS (0145 GAS METER TOKENS (MIM) 7
GAS (0147 BRITISH GAS SAVINGS SCHEMES v
GAS (0581 BRITISH GAS QUANTUMCARD. 2
GAS (0616 BRITISH GAS PAYMENTS PLAN a
GIRO (0033 ATM WITHDRAWALS 7
GIRO [GS foreign postcheques Z
GIRO IGTATM deposits 7
IKOCAL [0002 COUNCIL TAX CARD/VOUCHER 7
LOCAL IHOMEHELP HOMECARE Ci
LOCAL [MISCELLANEOUS-MAGSTRIPE 7
LOCAL __ [PERMIT SALES - CONCESSIONARY. Z
LOCAL [PERMIT SALES - COMMERCIAL. 7
MOBILES [Sale of Handsets v
[OGD EM 7
PF [Acceptance of BFPO Parcels v
PF [Acceptance of Inland Contract Datapost v
PF [Acceptance of Inland Datapost v
PF [Acceptance of International Contract Datapost v
PF [Acceptance of International Datapost v
PF COD (Cash on Delivery) v
PF [COD (Cash on Delivery) International 2
PF [Collection of Customs Charges 7
PF [Compensation Fee 7
PF inland Standard Contract a
PF inland Standard Retail Parcels v
Pr international Retail Standard and Economy Parcels v
PE international Standard and Economy Contract v
PE (Mail Order Returns v
PF Postage Forward Parcel Service v
PF Prepaid in Money Parcels v
POCL [American Money Order 7
POCL, Browser / OTC Retai v
POCL [Canadian Money Order ra
POCL ENCASHED OB CHEQUES v
POCL, Post Shop sales v
POCL, Postal Orders Paid Batches 7
POCL, POSTAL ORDERS Redeemed (paid) v
POCL, Postal Orders SOLD. 7
POOLS __ [Littlewoods Pools - Quick Pic a
POOLS [Littlewoods Seratchcard 7
IRM IAR Forms (advice of delivery receipt) v
IRM Books vending a
IRM Boxes & Bags 7
IRM DWS 7
IRM Faxmail v
IRM Franking Machine Ei
IRM P58 (Search Fees) 7
IRM P739 Z
IRM Packets Inland 7
RM Packets INT ra
RM Philatelic products Z
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Client ITransaction Basic Day I I Basic Future] Optional Additional
RM Philatelic stamps 7
RM Postage Stamps Z
RM Poste-Restante 7
RM Prepaid 7
IRM RPP v
RM [Stamp books other v
WATER (0878 WATER SAVINGS SCHEMES v
WATER _IPayment Plan v7
WATER. ISMART card schemes v
WATER SMART KEY schemes v
BBC MONO TV LICENCE REFUNDS Z
BBC [Saver Scheme 7
BBC TV LICENCE - manually produced form v
BBC TV LICENCE - pre-printed form eZ
BBC ITV LICENCE SS SOLD v
BT 0171 TELEPHONE RECEIPTS Vv
BT [0172 TPHONE SAVING SCHEMES 7
GIRO [0006 BUSINESS A/C cash deposit Z
GIRO [0012 PERSONAL A/C CHQ DEPOSITS 7
GIRO. 0013 LINKSAVE v
GIRO 10024 / 0015 NSC / USC v
GIRO (0026 CHANGE GIVING v
GIRO. (0032 PSB purchases, etc v
GIRO }0561 BUSINESS CHQ ONLY DEPOSIT v
[GIRO BUSINESS A/C mixed deposit Ei
GIRO [GI Personal account cash deposit v
GIRO IG2 Account withdrawals v
GIRO IG4 Cashcheques v
(OGD [MOD pensions v
POCL EFTPOS Z
RM [Consequential Loss v
IRM Recorded Inland a
IRM Recorded INT v
IRM Redirection v
IRM [Registered Inland v
IRM Registered INT v
RM IRMSD v
IRM /Swiftair v
IDVLA [0074 MVL SAVING STAMPS SOLD. 7
GIRO [G3 Cash provisioning 7
GIRO [G6 Merchant vouchers v
GIRO ITRANSCASH - Preprinted v
INRA. 10325 ROD FISHING LICENCE - VOLUMES v
[OGD Prescription refunds z
POCL [Counterpoint Media a
TST RATE [IST RATE - BUY/SELL - cash 7
IST RATE [IST RATE - BUY/SELL - traveler's cheques v
TST RATE [IST RATE - pre-order - cash & T.Chq Z
[COOP [0039 Co-Op Cash Cheques ra
DNS [0255 NS ORD ACC DEP - INITIAL 7
DNS. [0256 NS ORD ACC DEP - SUBSQNT. v
DNS [0257 NS ORD ACC WITHDRAWALS v
DNS [0260 NS INVAC DEP - INITIAL 7
DNS [0261 NS INVAC DEP - SUBSQUENT 7
DNS CBB, Capital bond purchases 7
DNS investment products ra
DNS [pay out cash warrants - ordinary account v
IDNS IPay Out Warrant - Inv Acc. Ca
DNS POCL Savings account - deposit v
DNS POCL Savings account - opening a/c 7
DNS: POCL Savings account - withdrawal a
GIRO [Accept deposits for other banks (Personal Banking) 7
{GIRO Accpet withdrawals from other banks (Personal Banking) v
GIRO BS deposit A
GIRO BS withdrawal 7
v
INS
IGeneral Insurance
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[Client Transaction Basic Day I [Basic Future] Optional I Additional
INS [Travel Insurance v
(OGD. Game Licences 7
POCL (0371 ACTIVE LIFE - renewals 7
POCL [Open Value Postal Order 7
TICKET [THEATRE TICKET SALES 7
UKPA TO year passport work 7
WU [0189 WESTERN UNION - SENT 5
v
WU
(0190 WESTERN UNION - RECEIVED
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SERVICE PROVIDER’s GUIDANCE PAPER
Calculation of the Revenue Guarantees Subsequent to the Roll-out
The Authorities’ Best View of future volumes which will be used in
the calculation of guaranteed payments is as set out in the Workload
Brief Version 5.3 which is associated with the Invitation to Tender.
The POCL BES Guarantee amounts shall be calculated as follows:
(a)The AUTHORITIES’ Best View of the annual numbers of
Chargeable Transactions (assigned to the Benefit Encashment
Service) that will occur shall be scored using the
CONTRACTOR'’s Score Card. Any Chargeable Transactions
associated with the Order Book Checking Service shall not be
scored for the purposes of this guarantee calculation.
(b) For each year of Steady State operation the number of
Servicepoints scored for all such Chargeable Transactions
projected to occur in such year shall be aggregated (each a
“Projected Aggregate Score”) .
(c)For each such year the Projected Aggregate Score shall be
multiplied by the relevant guarantee percentage level set
out below:
Year ending POCL BES
28/29 percentage
February guarantee
levels
2000 75%
2001 75%
2002 70%
2003 65%
2004 60%
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(d)The resultant number of guaranteed Servicepoints shall be
multiplied by the relevant Servicepoint price applicable for
that year and for that number of Servicepoints using the
Servicepoint discount bands and Servicepoint discount prices
set out in Schedule Aé to give the POCL BES Guarantee
amounts.
The Other POCL Services Guarantee amounts shall be calculated as
follows:
(a)The POCL Best View projections of the annual numbers of each
Basic Chargeable Transaction (assigned to the EPOS,
Automated Payments and POCL Infrastructure Services) that
will occur shall be scored using the CONTRACTOR’s Score
Card.
(b) The POCL Best View projections of the annual numbers of each
Optional Chargeable Transaction (assigned to the Automated
Payments and POCL Infrastructure Services) that will occur
shall be scored.
(c)For each year of Steady State operation the number of
Servicepoints scored for all such Chargeable Transactions
projected to occur in such year shall be aggregated (each a
“Projected Aggregate Score”) .
(d) For each such year the Projected Aggregate Score shall be
multiplied by the relevant guarantee percentage level set
out below:
Year ending Other POCL
28/29 Services
February percentage
guarantee levels
2000 65%
2001 65%
2002 65%
2003 65%
2004 65%
(d)The resultant number of guaranteed Servicepoints shall be
multiplied by the relevant Servicepoint price applicable for
that year and for that number of Servicepoints using the
Servicepoint discount bands and Servicepoint discount prices
set out in Schedule A6 to give the Other POCL Services
Guarantee amounts
The DSS Guarantee amounts shall be calculated as follows:
(a)DSS's Best View projections of the annual numbers of each
Chargeable Transaction (using Service Components assigned to
the Benefits Payment Service and the Card Management
Service) that will occur shall be scored using the
CONTRACTOR’s Score Card. Any Chargeable Transactions
associated with the Order Book Checking Service shall not be
scored for the purposes of this guarantee calculation.
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(b) For each year of Steady State operation the number of
Servicepoints scored for all such Chargeable Transactions
projected to occur in such year shall be aggregated
separately for the Benefits Payment Service and the Card
Management Service (each a “Projected Aggregate Score”).
(c) For each such year the Projected Aggregate Score for each of
the Benefits Payment Service and the Card Management Service
shall be multiplied by the relevant guarantee percentage
level set out below:
Year ending CMS percentage I BPS percentage
28/29 guarantee guarantee
February levels levels
2000 75% 75%
2001 75% 75%
2002 70% 70%
2003 65% 65%
2004 60% 60%
(d)The resultant number of guaranteed Servicepoints shall be
multiplied by the relevant Servicepoint price applicable for
that year and for that number of Servicepoints using the
Servicepoint discount bands and Servicepoint discount prices
set out in paragraphs 6.1.4 and 6.1.5 of this Schedule to
give the BPS component and the CMS component of the DSS
Guarantee amounts. These component amounts will be used, in
accordance with paragraph 5.6 of this Schedule, to
established the revised DSS Guarantee amounts in the event
of the due termination of one of the relevant Services.
(e)For each year the sum of the relevant BPS and CMS component
amounts established under paragraph 5.4.3 (d) of this
Schedule shall be the DSS Guarantee amount.
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AUTHORITIES’ AGREEMENT SCHEDULE A7 RESTRICTED CONTRACTS
SCHEDULE A7- ACCEPTANCE PROCEDURES
‘Reason for change I Frozen/issue
date
irst draft ready for internal
review. Note that this includes
comments from SP’s from previous
process.
1.0 Comments from CNT/lawyers 17 January 1996
2.0 Comments from sponsors andI26 January 1996
service providers
i) Further refinement fromI02 February 1996
comments/ meetings sponsors and
service providers
4.0 Further refinement fromI09 February 1996
comments/ meetings sponsors and
service providers
5.0 As above 16 February 1996
6.0 Substantial change to remove] 23 February 1996
partial acceptance and _ place
bounds on substantial fault.
7.0 Requirements of whole contract I27 February 1996
and termination right only
during operational trial
IVT 28 February 1996
version
1. SCOPE
Dells This Schedule specifies the procedures for Acceptance of
Deliverables and Services provided under the terms of
the AUTHORITIES’ Agreement. The scope of this Schedule
includes the Acceptance of all Deliverables and Services
provided under this Agreement, including, for the
avoidance of doubt, Deliverables and Services arising
from orders or changes after the date of execution
hereof.
1.2. For the purposes of this Schedule, the term “AUTHORITY”
shall be deemed to mean the AUTHORITIES where both of
the AUTHORITIES have an interest in an Acceptance Test,
and to mean the relevant AUTHORITY where only one of the
AUTHORITIES has an interest in an Acceptance Test.
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i Where in this Schedule the AUTHORITY or the CONTRACTOR
is required to approve a report or deliverable, such
approval shall not be unreasonably withheld or delayed
by either party.
2. ACCEPTANCE METHOD
i An Acceptance Test shall take the form of one or more
Acceptance Trials as defined in paragraph 3 of this
Schedule, one or more Acceptance Reviews as defined in
paragraph 4 of this Schedule, or combinations thereof.
22x In general, Acceptance of Services shall be by
Acceptance Trial and the Acceptance of Deliverables
shall be by means of Acceptance Review. An Acceptance
Review shall be used to accept a Service where the
AUTHORITY agrees that an Acceptance Trial is
inappropriate or unnecessary.
2.3. The scope and conduct of any Acceptance Test shall be
documented in an Acceptance Specification in accordance
with paragraph 5 of this Schedule.
2.4 The AUTHORITY reserves the right to test whether a
Service is in accordance with all the provisions of this
AUTHORITIES’ Agreement.
2.5. The CONTRACTOR and the AUTHORITY shall nominate
representatives to manage and to participate in each
Acceptance Test at least one month prior to the
commencement of the Acceptance Period.
ZIG. The CONTRACTOR shall repeat any or all parts of the
Acceptance Test as often as necessary during the
Acceptance Period to resolve any outstanding Acceptance
Incidents affecting the Acceptance Test.
2.7. The outcome of an Acceptance Test shall be one of the
following:
(a) Acceptance as defined in paragraph 7 of this
schedule;
(b) Failed Acceptance as defined in paragraph 8 of this
Schedule.
2.8. The AUTHORITY shall raise a report in relation to each
Acceptance Incident occurring during an Acceptance Test,
as soon as is’ reasonably practicable after the
Acceptance Incident occurs. When the CONTRACTOR has
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satisfactorily resolved an Acceptance Incident and the
AUTHORITY has signed the report by way of confirmation
of satisfactory resolution, such Acceptance Incident
shall be deemed to have been resolved.
3. ACCEPTANCE TRIAL
3.2. An Acceptance Trial shall consist of one or more of the
following:
(a) inspection of any system used to provide a Service;
(b) demonstration of any system used to provide a
Service;
(c) running a real or simulated operational workload on
any system used to provide a Service;
(d) monitoring provision of a Service over a trial period
to verify performance to the Service Levels specified
for the Service.
3.2. The scope and conduct of any Acceptance Trial proposed
shall be documented in the Acceptance Specification in
accordance with paragraph 5 of this Schedule, and the
Acceptance Trial shall not commence until the Acceptance
Specification has been approved by the AUTHORITY.
4. ACCEPTANCE REVIEW
4.1. An Acceptance Review shall consist of one or more of the
following:
(a) inspection of a Deliverable (e.g. a document) by one
or more competent reviewers nominated by the
AUTHORITY;
(b) inspection by one or more competent reviewers
nominated by the AUTHORITY of documentary evidence
that a Service has been provided;
(c) a meeting between the AUTHORITY and the CONTRACTOR at
which one or more of the following occur:
i. Deliverables or documentary evidence are
inspected;
ii. a presentation is given by the CONTRACTOR;
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iii.the results of prior inspections, visits or
presentations are reviewed and the outcome
agreed.
4.2. The scope and conduct of any Acceptance Review proposed
shall be documented in an Acceptance Specification in
accordance with paragraph 5 of this Schedule, and the
Acceptance Review shall not commence until the
Acceptance Specification has been approved by the
AUTHORITY.
5. ACCEPTANCE SPECIFICATION
SiorD The CONTRACTOR shall prepare an Acceptance Specification
for approval by the AUTHORITY. The Acceptance
Specification shall:
(a) define the purpose and scope of the Acceptance Test;
(b) define the detailed procedures for raising and
resolving Acceptance Incidents for the Acceptance
Test in accordance with paragraph 2.7;
(c) define the Acceptance Period for the Acceptance Test;
(d) identify the Deliverables and Services which are
subject to Acceptance and the acceptance method, as
described in paragraph 2, to be used to accept each;
(e) identify the Acceptance Criteria for each Deliverable
or Service, where appropriate by reference to the
Agreements; and for each criterion:
i. define the Acceptance Test Conditions to be used
for establishing that the criterion has or has
not been met;
ii. designate the severity of any deficiency
resulting from a failure to meet the criterion in
accordance with paragraph 6 of this Schedule.
(£) for any Acceptance Trial define any test data
necessary;
(g) identify AUTHORITY responsibilities, including the
resources required to carry out each Acceptance
Trial/Acceptance Review.
B2. The CONTRACTOR shall assist the AUTHORITY in meeting the
AUTHORITY’s responsibilities as approved in the
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Acceptance specification approved by the AUTHORITY for
the development of the Acceptance Tests, including, but
not limited to, assisting in the preparation of any
necessary test data.
6. ACCEPTANCE DEFICIENCIES
Gel. The CONTRACTOR shall analyse each Acceptance Incident,
and the following definition shall be used to categorise
each Acceptance Incident:
(a) failure to meet an Acceptance Criterion defined in an
Acceptance Specification as essential to the
Deliverable or Service shall be designated a high
severity deficiency;
(b) failure to meet an Acceptance Criterion defined in an
Acceptance Specification as highly desirable for the
Deliverable or Service shall be designated a medium
severity deficiency;
(c) failure to meet an Acceptance Criterion defined in an
Acceptance Specification as desirable for the
Deliverable or Service shall be designated a low
severity deficiency;
(d) an Acceptance Incident which does not relate to an
Acceptance Criterion, but which identifies a failure
to meet any other obligation under this AUTHORITIES’
Agreement and, in the reasonable opinion of the
AUTHORITY, represents a substantive fault, equivalent
to, and categorised according to, part (a), (b) or
(c) of this paragraph
(e) none of the above.
Cie. Other than for category (e) above, the analysis of an
Acceptance Incident shall not of itself be sufficient to
resolve the Acceptance Incident. Resolution of an
Acceptance Incident shall only occur when the deficiency
or fault has been corrected by the CONTRACTOR and the
relevant parts of the Acceptance Test have been repeated
without further Acceptance Incidents arising.
a The AUTHORITY may, at its sole discretion, waive in
writing the resolution of an Acceptance Incident and
deem it resolved.
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7. ACCEPTANCE
Wed» The outcome of an Acceptance Test during an Acceptance
Period shall be Acceptance where no Acceptance Incidents
remain unresolved at the end of the Acceptance Period,
and the full scope of the Acceptance Test as defined in
the Acceptance Specification has been covered. In these
circumstances, the AUTHORITY shall confirm Acceptance to
the CONTRACTOR in writing, within five (5) working days
of the end of the Acceptance Period.
Tse Any charging mechanism associated with a Service becomes
active after achievement of Acceptance of the Service.
Any payment associated with a Deliverable becomes due on
achievement of Acceptance of the Deliverable.
8. FAILED ACCEPTANCE
@.1.. The outcome of an Acceptance Test shall be Failed
Acceptance where one or more deficiencies as defined in
paragraph 6 of this Schedule, or one or more Acceptance
Incidents remain unresolved at the end of the Acceptance
Period. In these circumstances, the AUTHORITY shall
confirm Failed Acceptance to the CONTRACTOR in writing,
within five (5) working days of the end of the
Acceptance Period.
BD In the event of Failed Acceptance the CONTRACTOR shall,
within one (1) month of the notification of Failed
Acceptance, submit in writing to the AUTHORITY a plan
for the correction of unresolved Acceptance Incidents
and a date for a further Acceptance Test.
o.2. In the event of Failed Acceptance, the Deliverable or
Service to which the Acceptance Test relates shall be
regarded by the AUTHORITY as unfit for use.
8.4. The AUTHORITY’s right of termination for Failed
Acceptance shall only apply under Clause 402, and only
in the event that:
(a) one or more high severity deficiencies; or
(b) ten or more medium severity deficiencies; or
(c) fifty (50) or more low severity deficiencies;
remain uncorrected at the end of the Operational Trial
Period, or one or more Acceptance Incidents have not
been analysed according to paragraph 6.1.
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8.5. Any payment or charging mechanism associated with the
Deliverable or Service due on achievement of Acceptance
will be withheld until deficiencies are rectified and
Acceptance is achieved.
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AUTHORITIES’ AGREEMENT SCHEDULE A08 RESTRICTED CONTRACTS
SCHEDULE A08- AUTHORITIES REMEDIES
I/Reason for chan:
oe 2
internal
= ne :
First draft ready for
review
0B Revision as part of new
development process
Lae Draft for issue to ServiceI/11 Oct 1995
Providers
ied Revised for new contract I5 January 1996
structure and renumbered
(formerly B8)
1.2 Revised following legal advice 15 January 1996
2.0 Issued to Service Providers andI17 January 1996
Sponsors
2 od Revised following comments fromI 25/01/96
Sponsors and Service Providers
3.0 Issued to Service Providers andI 26/01/96
Sponsors
4.0 Issued to Service Providers andI]2 February 1996
Sponsors following comments on
Version 3.0
5.0 Additional changes subject to] 9-Feb-96
CNT consideration and therefore
held over - therefore no changes
from version 4.0
Sal Revised following comments on]I13 February 1996
Version 4.0 and resolution of
CNT issues
6.0 Issued to Service Providers andI14 February 1996
Sponsors following comments on
Version 4.0
re Issued to Sponsors for final QA 27 February 1996
Eve
Version
2.0
1. PURPOSE
Dodd. This Schedule sets out the approach to remedies which
shall be applicable to all Services supplied under the
Related Agreements.
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2. GENERAL PRINCIPLES
2.2. The purpose of remedies is that the relevant AUTHORITY
shall not be disadvantaged by failures of the
CONTRACTOR to provide the contracted Services to the
agreed specification and reliability.
2.2. Remedies in failure to meet Service Levels are designed
so that:
(a) The AUTHORITIES will not pay for Services which
they do not receive or will pay a reduced amount
for Services which fail to meet the Service Levels;
(b) The AUTHORITIES will be compensated for loss or
damage which they incur as a result of
unavailability of Services or 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 Service to the
appropriate Service Levels will entitle the
relevant AUTHORITY to terminate the relevant
Service or the Related Agreement in accordance with
clauses 902.1.5 or 903.1.5 respectively of the DSS
Agreement or the POCL Agreement as appropriate.
2.3. Remedies for:
(a) failure by the CONTRACTOR to make available the
Operational Trial System, the DSS Operational Trial
System, the POCL Trial System or any Service or any
Product to be supplied under any of the Related
Agreements for appropriate acceptance testing; and
(b) extension of the appropriate acceptance test period
for any of the items listed in paragraph 2.3(a) in
accordance with the appropriate provisions of the
appropriate Related Agreement
are designed so that the relevant AUTHORITY will be
compensated for costs which it incurs thereby.
Bo. The limits on the CONTRACTOR’s liability contained in
Clause 810 shall apply to financial remedies due in
accordance with this Schedule.
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3. APPLICATION TO SERVICES
Bick For each Service supplied under the AUTHORITIES’
Agreement, the relevant Service Levels and Remedies
Schedule shall define the measures of Service Levels
and Remedies.
4. SERVICE LEVELS
i There are the following two (2) thresholds:
(a) Minimum Acceptable Threshold;
(b) Termination Review Threshold.
4,2. Service Levels shall be measured and reported over
Invoicing Periods and using metrics defined for each
Service. Additionally all levels of service shall be
monitored on a weekly and monthly basis and any failure
to meet a Service Level shall be reported to the
AUTHORITIES detailing the required Service Level and
the actual level of service achieved.
a In respect of any Invoicing Period when the level of
service falls below the threshold in paragraph 4.1 (a),
the AUTHORITIES shall be entitled to remedies at the
end of that Invoicing Period as set out in the relevant
Service Level and Remedies Schedule.
4.4. Unless specified otherwise in the relevant Service
Levels and Remedies Schedule, where the CONTRACTOR
fails to meet the threshold in paragraph 4.1 (a) for a
particular Service for three (3) quarterly Invoicing
Periods in any twenty four (24) month period, then the
relevant AUTHORITY may terminate the relevant Related
Agreement or the relevant Service in accordance with
Clause 902.1.5 or Clause 903.1.5 respectively of the
DSS Agreement or the POCL Agreement, as appropriate. If
the relevant AUTHORITY decides not to exercise its
rights hereto, then rectification of the Default shall
be made in accordance with paragraph 7.
4.5. If the level of service fails to meet the threshold in
paragraph 4.1 (b) for a particular Service, the
relevant AUTHORITY may terminate the relevant Related
Agreement or relevant Service in accordance with Clause
902.10 or Clause 903.6 respectively of the DSS
Agreement or the POCL Agreement, as appropriate. If the
relevant AUTHORITY decides not to exercise its rights
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AUTHORITIES’ AGREEMENT SCHEDULE A08& RESTRICTED CONTRACTS
hereto, then rectification of the Default shall be made
in accordance with paragraph 7.
5. PAYMENT OF REMEDIES
©. 1. The remedies due shall be available in the form
specified in Clause 802 of the AUTHORITIES Agreement,
Clause 802 of the DSS Agreement and Clause 802 of the
POCL Agreement, as appropriate.
6. CALCULATION OF TOTAL COMPENSATION DUE
Sl. The remedies due to the AUTHORITIES from the CONTRACTOR
in accordance with paragraph 2.3 are cumulative.
6.2 The liquidated damages paid to the relevant AUTHORITY
in respect of the circumstances in paragraph 2.3 shall
be the relevant AUTHORITY’s exclusive remedy in damages
for such failure.
a oe The remedies due to the AUTHORITIES from the CONTRACTOR
in accordance with paragraph 4 are cumulative.
6.4. Without prejudice to paragraph 4.4, in the event that a
Service meets the threshold in paragraph 4.1 (b) but
fails to meet that in paragraph 4.1 (a), the Service
Credits due for such failure shall be the relevant
AUTHORITY’s exclusive remedy in damages for such
failure.
Ve RECTIFICATION IN CASE OF SERIOUS FAILURE
wa. In the event that the relevant AUTHORITY decides not to
exercise its rights of termination pursuant to
paragraphs 4.4 or 4.5, then the CONTRACTOR and the
relevant AUTHORITY 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 Services, the procedures
set out in Schedule A5 shall apply.
T.3% Notwithstanding the provisions of paragraph 7.1, the
AUTHORITIES reserve their termination rights in the
event of the CONTRACTOR and the relevant AUTHORITY
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being unable to reach agreement on a rectification
plan.
Tih « Without prejudice to the AUTHORITIES’ general rights to
remedies, during the rectification period the
CONTRACTOR shall maintain the levels of service of all
other Services above the threshold in paragraph 4.1 (a)
unless otherwise agreed with the relevant AUTHORITY as
part of the rectification plan.
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AUTHORITIES’ AGREEMENT SCHEDULE A9 RESTRICTED CONTRACTS
SCHEDULE A9- CONTRACT TERMINATION
ii. There are no provisions in this Schedule.
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SCHEDULE A11
GUARANTEE
(Clause 1003)
K,AB\BPOCL(001\AGR\GUARUMB.003
DATED 1996
[GUARANTOR]
- to-
SECRETARY OF STATE FOR SOCIAL
SECURITY
-and-
POST OFFICE COUNTERS LTD
DEED OF GUARANTEE
Bird & Bird
90 Fetter Lane
London EC4A IJP
Tel: N71.
Fax:)
Ref: CCTAG/013/AGR/GUARUMB.003
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a K:\B\BPOCL\001\AGR\GUARUMB.003
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THIS DEED is made the day of 1996
BETWEEN
(60) [ ] whose registered office is at
[ ] (“the GUARANTOR”) in
favour of
(2) 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 Ireland (“DSS”); and
(3) POST OFFICE COUNTERS LTD whose registered office is situated at Drury House,
1-16 Blackfriars Road, London, SE1 9UA (“POCL”) (DSS and POCL being referred
to collectively as “the AUTHORITIES”);
WHEREAS
(A) This Deed is supplemental to Information Technology Services Agreements for
Bringing Technology to Post Offices and Benefits Payments dated [ J
between:
@ the AUTHORITIES and [ ] (“the CONTRACTOR”)
(“the AUTHORITIES’ Agreement”);
3 KAB\BPOCL(001\AGR\GUARUMB.003
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(ii) DSS and the CONTRACTOR (“the DSS Agreement”); and
iii) I POCL and the CONTRACTOR (“the POCL Agreement”)
(collectively, “the Related Agreements”).
(B) The services to be provided by the CONTRACTOR to the AUTHORITIES under the
Related Agreements are critical to the accomplishment of the respective statutory
functions and business objectives of the AUTHORITIES.
(C) The AUTHORITIES would not have entered into the Related Agreements without a
satisfactory guarantee being provided by the GUARANTOR of the CONTRACTOR’s
obligations and liabilities thereunder.
NOW, THEREFORE, in consideration of the AUTHORITIES entering into the
AUTHORITIES’ Agreement, the GUARANTOR hereby guarantees to the AUTHORITIES
as follows:-
‘i. If the CONTRACTOR fails fully and punctually to perform its obligations under the
AUTHORITIES’ Agreement or commits any breach of its obligations under the
AUTHORITIES’ Agreement which is not remedied in accordance therewith, the
GUARANTOR unconditionally undertakes that upon demand by either AUTHORITY
in accordance with Clause 3 hereof it shall:
4 KAB\BPOCLI001\AGR\GUARUMB.003
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subject to the provisions of Clause 810 of the AUTHORITIES’ Agreement,
indemnify and maintain the relevant AUTHORITY 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 the relevant
AUTHORITY 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
AUTHORITIES’ Agreements;
as a separate and independent obligation and as primary obliger, be
responsible for and hereby guarantee to the relevant AUTHORITY the due
performance by the CONTRACTOR of the CONTRACTOR’s obligations
under the AUTHORITIES’ Agreement; and
as a separate and independent obligation and as primary obliger, fully,
punctually and specifically perform the CONTRACTOR’s obligations under
the AUTHORITIES’ 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
AUTHORITIES’ Agreement which are not performed as a result of the
Default of the CONTRACTOR thereunder as if the AUTHORITIES’
Agreement were directly entered into by the GUARANTOR and the
AUTHORITIES;
5 KAB\BPOCL\001\AGR\GUARUMB.003
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PROVIDED THAT in no event shall the liability of the GUARANTOR to the
relevant AUTHORITY hereunder be greater than the liability of the CONTRACTOR
to the relevant AUTHORITY under the Related Agreements, and provided further
that any limitation on the liability of, and any defences available to, the
CONTRACTOR under the Related Agreements shall be available to the
GUARANTOR hereunder.
Insofar as DSS has rights and remedies under the AUTHORITIES’ Agreement in
relation to the POCL Agreement and POCL has rights and remedies under the
AUTHORITIES’ Agreement in relation to the DSS Agreement, the obligations of the
GUARANTOR under this Deed of Guarantee shall apply equally to the observance
of such rights and remedies by the CONTRACTOR under the DSS Agreement and
the POCL Agreement (as the case may be). However, DSS and POCL shall have no
greater rights under this Deed of Guarantee in relation to the DSS Agreement and the
POCL Agreement than they have under the AUTHORITIES’ Agreement.
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 the relevant AUTHORITY, 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 the AUTHORITIES as being an address for the
receipt of such demands.
6 KAB\BPOCL(001\AGR\GUARUMB.003
4.1
4.2
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The GUARANTOR shall not be discharged or released from the Deed of Guarantee
by any arrangement made between the CONTRACTOR and the AUTHORITIES
without the assent of the GUARANTOR or by any amendment to or termination of
the AUTHORITIES’ Agreement or by any forbearance or indulgence whether as to
payment, time, performance or otherwise granted by the AUTHORITIES in relation
thereto.
The obligations of the GUARANTOR under this Deed of Guarantee may not be
assigned or sub-contracted in whole or in part without the express written agreement
of both AUTHORITIES.
This Deed of Guarantee shall be a continuing security and accordingly it shall:
a. not be discharged by any partial performance (except to the extent of such
partial performance) by the CONTRACTOR of its obligations under the
AUTHORITIES’ Agreement, and
b. extend to cover the unperformed part of the obligations of the
CONTRACTOR from time to time under the AUTHORITIES’ Agreement.
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 AUTHORITIES’ Agreement. The
relevant AUTHORITY shall not be obliged before taking steps to enforce this Deed
a KAB\BPOCL(001\AGR\GUARUMB.003
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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).
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.
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.
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).
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
8 KAB\BPOCL\001\AGR\GUARUMB.003
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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 governed by and construed in all respects in
accordance with the laws of England, and the parties hereby submit to the non-
exclusive jurisdiction of the Courts of England in respect of any dispute which may
arise between the parties concerning this Deed of Guarantee.
12.1 In the event that there shall, in the reasonable opinion of the AUTHORITIES, 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 the AUTHORITIES
in writing, procure that there is provided to the AUTHORITIES an Acceptable
Additional Guarantee. Such an Acceptable Additional Guarantee shall be provided
within one (1) month after the AUTHORITIES require 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 the AUTHORITIES which:
9 K,AB\BPOCL\001\AGR\GUARUMB.003
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(a) is given by an entity acceptable to the AUTHORITIES 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 the AUTHORITIES 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 the AUTHORITIES, occur
a material adverse change in the financial condition of any person liable as guarantor
under an Acceptable Additional Guarantee by comparison with such financial
condition as at the date of the relevant Acceptable Additional Guarantee, which
change in financial condition could reasonably be expected to have an adverse effect
on the ability of the relevant party to perform its obligations under the applicable
Acceptable Additional Guarantee, then the GUARANTOR shall, if so required by the
AUTHORITIES in writing, procure that there is provided to the AUTHORITIES a
further Acceptable Additional Guarantee from another entity. Any such Acceptable
Additional Guarantee shall be provided within one (1) month after the
AUTHORITIES require the provision of the same.
10 KAB\BPOCL\001\AGR\GUARUMB 003
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12.3 Any failure by the GUARANTOR to provide an Additional Acceptable Guarantee in
accordance with the provisions of this Clause shall be treated as a Default by the
CONTRACTOR entitling the AUTHORITIES to terminate the AUTHORITIES’
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 .
(Director/The Secretary of the said GUARANTOR)
in the presence of:
11 K,\B\BPOCL\001\AGR\GUARUMB.003
INFORMATION TECHNOLOGY SERVICES AGREEMENT FOR
BRINGING TECHNOLOGY TO POST OFFICES AND BENEFIT PAYMENTS
INVITATION TO TENDER
29 FEBRUARY 1996
PATHWAY GROUP LTD
PART I .
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AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
For convenience, the following Schedule comprises all
Requirements, including "single key" Requirements belonging
in this Schedule Bl and "double key" Requirements belonging
in Schedule B4. For a list of the "double key" Requirements
see the index in Schedule B4.
Requirements ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
DSS Services (CMS) I Customer education 962
DSS Services (CMS) I Customer services 730
DSS Services (CMS) I Customer services 733
DSS Services (CMS) I Customer services 750
DSS Services (CMS) Flexibility - services 741
DSS Services (CMS) Integration of services 736
DSS Services (CMS) Integration of services 737
DSS Services (CMS) [Interface with BA staff 734.
DSS Services (CMS) I Interface with BA staff 742
DSS Services (CMS) I Interface with CAPS 967
DSS Services (CMS) IManagement information 743
DSS Services (CMS) IManagement information 744
DSS Services (CMS) I Policies & standards 701
DSS Services (CMS) I Policies & standards 702
DSS Services (CMS) IPolicies & standards 703
DSS Services (CMS) IPolicies & standards 708
DSS Services (CMS) I Security 710
DSS Services (CMS) I Security 7121
DSS Services (CMS) I Security 719
DSS Services (CMS) I Security 722
DSS Services (CMS) I Security 723
DSS Services (CMS) I Security 725
DSS Services (CMS) I Security 726
DSS Services (CMS) I Security Fat
DSS Services (CMS) I Security 740
DSS Services (CMS) Security 747
DSS Services (CMS) I Security 961
DSS Services (CMS) IService - design 705
DSS Services (CMS) IService - design 706
DSS Services (CMS) IService - design 707
DSS Services (CMS) IService - design 709
DSS Services (CMS) IService - design 712
DSS Services (CMS) [Service - design 714
DSS Services (CMS) IService - design 715
DSS Services (CMS) I Service - design 716
DSS Services (CMS) I Service - design 717
DSS Services (CMS) I Service - design 718
DSS Services (CMS) IService - design 721
DSS Services (CMS) IService - design 724
DSS Services (CMS) IService - design 728
DSS Services (CMS) I Service - design 732
DSS Services (CMS) [Service - design 745
DSS Services (CMS) Service - design 746
Requirements Page 1 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
DSS Services (CMS) Service - design 748
DSS Services (CMS) IService - design 749
DSS Services (CMS) IService - design 954
DSS Services (CMS) I Service - design 955
DSS Services (CMS) [Service - design 966
DSS Services (CMS) IService - design 968
DSS Services (CMS) IService - development 704
DSS Services (CMS) ISystems - design 700
DSS Services (CMS) Systems - design 713
DSS Services (CMS) Systems - design 720
DSS Services (PAS) I Customer services 760
DSS Services (PAS) I Customer services 792
DSS Services (PAS) I Customer services 794
DSS Services (PAS) I Customer services 796
DSS Services (PAS) Flexibility - services 975
DSS Services (PAS) I Interface with CAPS 753
DSS Services (PAS) I Interface with CAPS 754
DSS Services (PAS) I Interface with CAPS 756
DSS Services (PAS) I Interface with CAPS 762
DSS Services (PAS) I Interface with CAPS 763
DSS Services (PAS) I Interface with CAPS FIL
DSS Services (PAS) I Interface with CAPS 773
DSS Services (PAS) Interface with CAPS 774
DSS Services (PAS) I Interface with CAPS 778
DSS Services (PAS) I Interface with CAPS 782
DSS Services (PAS) I Interface with CAPS 790
DSS Services (PAS) I Interface with CAPS 795
DSS Services (PAS) Interface with CAPS 963
DSS Services (PAS) I Interface with CAPS 964
DSS Services (PAS) [Management information 785
DSS Services (PAS) I Process - development 765
DSS Services (PAS) I Security 761
DSS Services (PAS) I Security 7719
DSS Services (PAS) I Security 788
DSS Services (PAS) IService - design 752
DSS Services (PAS) IService - design 755
DSS Services (PAS) IService - design 758
DSS Services (PAS) IService - design 764
DSS Services (PAS) [Service - design 766
DSS Services (PAS) IService - design 767
DSS Services (PAS) IService - design 768
DSS Services (PAS) IService - design 769
DSS Services (PAS) I Service - design 770
Requirements Page 2 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT
SCHEDULE Bl
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RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
DSS Services (PAS) IService - design 772
DSS Services (PAS) Service - design 776
DSS Services (PAS) Service - design 781
DSS Services (PAS) IService - design 783
DSS Services (PAS) IService - design 787
DSS Services (PAS) IService - design 789
DSS Services (PAS) IService - design 791
DSS Services (PAS) IService - design 793
DSS Services (PAS) IService - design 904
DSS Services (PAS) [Service - design 943
DSS Services (PAS) IService - design 944
DSS Services (PAS) IService - design 965
DSS Services (PAS) IService - design 970
DSS Services (PAS) IService management 759
DSS Services (PAS) I Service management 780
DSS Services (PAS) I Service management 786
DSS Services (PAS) IService management 797
DSS Services (PAS) IService management 798
DSS Services (PAS) ISystems - design 751
DSS Services (SLA) [Service levels 884
DSS Services (SLA) [Service levels 885
DSS Services (SLA) IService levels 886
DSS Services (SLA) [Service levels 887
DSS Services (SLA) IService levels 888
DSS Services (SLA) [Service levels 889
General Audit 697
General Audit 699
General Customer education 918
General Customer education 919
General Management information 894
General Overview of Solutions 950
General Security 698
General Security 828
General Security 829
General Security 830
General Security 872
General Security 895
General Security 897
General Service - design 911
General Supporting services 920
General Systems - design S51
Implementation Customer education 916
(Dss)
Requirements Page 3 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
Implementation Documentation 927
(Dss)
Implementation Documentation 928
(Dss)
Implementation Installation 930
(Dss)
Implementation Roll-out 926
(Dss)
Implementation Roll-out 929
(Dss)
Implementation Roll-out 941
(DSs)
Implementation Roll-out 957
(DSss)
Implementation Service - design 933
(DSS)
Implementation Service - design 959
(DSss)
Implementation Service - development 974
(DSS)
Implementation Supporting services 931
(DSs)
Implementation Training 932
(DSS)
Implementation Trials & Testing 958
(DSs)
Implementation Operational Trial 925
(Joint)
Implementation Roll-out 972
(Joint)
Implementation Customer education 1.7
(POCL)
Implementation Documentation 481
(POCL)
Implementation Documentation 482
(POCL)
Implementation Documentation 483
(POCL)
Implementation Documentation 484
(POCL)
Implementation Documentation 485
(POCL)
Implementation Documentation 486
(POCL)
Requirements Page 4 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT
SCHEDULE Bl
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RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
Implementation Documentation 896
(POCL)
Implementation Installation 487
(POCL)
Implementation Installation 488
(POCL)
Implementation Installation 489
(POCL)
Implementation Installation 490
(POCL)
Implementation Installation 491
(POCL)
Implementation Installation 492
(POCL)
Implementation Installation 493
(POCL)
Implementation Installation 494
(POCL)
Implementation Installation 495
(POCL)
Implementation Installation 496
(POCL)
Implementation Installation 497
(POCL)
Implementation Integration of services 498
(POCL)
Implementation Integration of services 499
(POCL)
Implementation Interface with POCL 971
(POCL) applications
Implementation Roll-out 500
(POCL)
Implementation Roll-out 501
(POCL)
Implementation Roll-out 502
(POCL)
Implementation Roll-out 503
(POCL)
Implementation Roll-out 504
(POCL)
Implementation Roll-out 505
(POCL)
Implementation Roll-out 506
(POCL)
Requirements Page 5 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
Implementation Roll-out 507
(POCL)
Implementation Roll-out 508
(POCL)
Implementation Roll-out 509
(POCL)
Implementation Roll-out 510
(POCL)
Implementation Roll-out St.
(POCL)
Implementation Roll-out 512
(POCL)
Implementation Roll-out 513
(POCL)
Implementation Roll-out 514
(POCL)
Implementation Roll-out 5i5)
(POCL)
Implementation Roll-out 516
(POCL)
Implementation Roll-out BLT
(POCL)
Implementation Roll-out 518
(POCL)
Implementation Roll-out 906
(POCL)
Implementation Service - steady state 519
(POCL)
Implementation Supporting services 520
(POCL)
Implementation Supporting services 521
(POCL)
Implementation Supporting services 522
(POCL)
Implementation Supporting services 523
(POCL)
Implementation Supporting services 524
(POCL)
Implementation Supporting services 525
(POCL)
Implementation Supporting services 526
(POCL)
Implementation Supporting services 527
(POCL)
Requirements Page 6 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
Implementation Supporting services 528
(POCL)
Implementation Supporting services 529
(POCL)
Implementation Systems - design 530
(POCL)
Implementation Systems - design 905
(POCL)
Implementation Training cel
(POCL)
Implementation Training 532
(POCL)
Implementation Training 533:
(POCL)
Implementation Training 534
(POCL)
Implementation Training 949
(POCL)
Interfaces Audit 942
Interfaces Customer interface 936
Interfaces Documentation 976
Interfaces Flexibility - services 973
Interfaces Integration of services 831
Interfaces Interface with BA staff 937
Interfaces Interface with CAPS 934
Interfaces Interface with CAPS 935
Interfaces Interface with OPS 956
Interfaces Management interfaces 938
Interfaces Management interfaces 939
Interfaces Management interfaces 940
Interfaces Systems - design 893
Order Book Control [Service - design 898
Service
Order Book Control IService - design 899
Service
Order Book Control IService - design 900
Service
Order Book Control [Service - design 901
Service
Order Book Control [Service - design 902
Service
Order Book Control [Service - design 903
Service
POCL Applications Documentation 545
“Requirements ~~~—S Page *7 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
(APS)
POCL Applications Service - design 543
(APS)
POCL Applications Service - design 544
(APS)
POCL Applications Service - design 546
(APS)
POCL Applications Service - design 548
(APS)
POCL Applications Service - design 549
(APS)
POCL Applications Service - design 550
(APS)
POCL Applications Service - design 552
(APS)
POCL Applications Service - design 552
(APS)
POCL Applications Service - design 799
(APS)
POCL Applications Service levels 890
(APS)
POCL Applications Systems - design 547
(APS)
POCL Applications Systems - design 553
(APS)
POCL Applications Systems - design 554
(APS)
POCL Applications Customer interface 868
(BES)
POCL Applications Flexibility - services 873
(BES)
POCL Applications Flexibility - services 876
(BES)
POCL Applications Integration of services 878
(BES)
POCL Applications Interface with PAS 857
(BES)
POCL Applications Interface with PAS 858
(BES)
POCL Applications Interface with PAS 859
(BES)
POCL Applications Interface with PAS 864
(BES)
POCL Applications Interface with PAS 866
Requirements
Catalogue
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ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
(BES)
POCL Applications Security 855
(BES)
POCL Applications Service - design 840
(BES)
POCL Applications Service - design 841
(BES)
POCL Applications Service - design 842
(BES)
POCL Applications Service - design 843
(BES)
POCL Applications Service - design 844
(BES)
POCL Applications Service - design 845
(BES)
POCL Applications Service - design 846
(BES)
POCL Applications Service - design 847
(BES)
POCL Applications Service - design 848
(BES)
POCL Applications Service - design 849
(BES)
POCL Applications Service - design 850
(BES)
POCL Applications Service - design 851
(BES)
POCL Applications Service - design 852
(BES)
POCL Applications Service - design 853
(BES)
POCL Applications Service - design 854
(BES)
POCL Applications Service - design 856
(BES)
POCL Applications Service - design 861
(BES)
POCL Applications Service - design 862
(BES)
POCL Applications Service - design 863
(BES)
POCL Applications Service - design 865
(BES)
POCL Applications Service - design 867
Requirements Page 9 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
(BES)
POCL Applications Service - design 874
(BES)
POCL Applications Service - design 875
(BES)
POCL Applications Service - design 877
(BES)
POCL Applications Service - design 879
(BES)
POCL Applications Service - design 880
(BES)
POCL Applications Service - design 881
(BES)
POCL Applications Service - design 882
(BES)
POCL Applications Service - design 908
(BES)
POCL Applications Service - design 909
(BES)
POCL Applications Service - design 910
(BES)
POCL Applications Service - design 924
(BES)
POCL Applications Service - design 969
(BES)
POCL Applications Supporting services 860
(BES)
POCL Applications Accounting & reconciliation I 960
(EPOSS)
POCL Applications Management information 838
(EPOSS)
POCL Applications Process - development 832
(EPOSS)
POCL Applications Service - design 800
(EPOSS)
POCL Applications Service - design 801
(EPOSS)
POCL Applications Service - design 802
(EPOSS)
POCL Applications Service - design 803
(EPOSS)
POCL Applications Service - design 804
(EPOSS)
POCL Applications Service - design 805
Requirements Page 10 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
(EPOSS)
POCL Applications Service - design 806
(EPOSS)
POCL Applications Service - design 807
(EPOSS)
POCL Applications Service - design 808
(EPOSS)
POCL Applications Service - design 809
(EPOSS)
POCL Applications Service - design 810
(EPOSS)
POCL Applications Service - design 811
(EPOSS)
POCL Applications Service - design 812
(EPOSS)
POCL Applications Service - design 813
(EPOSS)
POCL Applications Service - design 814
(EPOSS)
POCL Applications Service - design 815
(EPOSS)
POCL Applications Service - design 816
(EPOSS)
POCL Applications Service - design 817
(EPOSS)
POCL Applications Service - design 818
(EPOSS)
POCL Applications Service - design 819
(EPOSS)
POCL Applications Service - design 820
(EPOSS)
POCL Applications Service - design 821
(EPOSS)
POCL Applications Service - design 822
(EPOSS)
POCL Applications Service - design 823
(EPOSS)
POCL Applications Service - design 824
(EPOSS)
POCL Applications Service - design 825
(EPOSS)
POCL Applications Service - design 834
(EPOSS)
POCL Applications Service - design 837
Requirements Page 11 of 15 ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Primary Index Secondary Index Req No
(EPOSS)
POCL Applications Service - design 839
(EPOSS)
POCL Applications Service - development 836
(EPOSS)
POCL Applications Service levels 870
(EPOSS)
POCL Applications Systems - design 691
(EPOSS)
POCL Applications Systems - design 692
(EPOSS)
POCL Applications Systems - design 693
(EPOSS)
POCL Applications Systems - design 694
(EPOSS)
POCL Applications Systems - design 695
(EPOSS)
POCL Applications Systems - design 696
(EPOSS)
POCL Applications Systems - design 835
(EPOSS)
POCL Applications Training 833
(EPOSS)
POCL Applications Service levels 871
(SLA)
POCL Commercial policy 561
Infrastructure
(OPS)
POCL Flexibility - systems 826
Infrastructure
(OPS)
POCL Flexibility - systems 827
Infrastructure
(OPS)
POCL Interface with OPS 559
Infrastructure
(OPS)
POCL Procedures & documentation 469
Infrastructure
(OPS)
POCL Procedures & documentation 470
Infrastructure
(OPS)
POCL Security 472
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Primary Index Secondary Index Req No
Infrastructure
(OPS)
POCL Security 921
Infrastructure
(OPS)
POCL Service - design 475
Infrastructure
(OPS)
POCL Service - design 536
Infrastructure
(OPS)
POCL Service - design 540
Infrastructure
(OPS)
POCL Service - design 952
Infrastructure
(OPS)
POCL Service - design 953
Infrastructure
(OPS)
POCL Service - steady state 466
Infrastructure
(OPS)
POCL Service - steady state 468
Infrastructure
(OPS)
POCL Service management 464
Infrastructure
(OPS)
POCL Service management 476
Infrastructure
(OPS)
POCL Service management 477
Infrastructure
(OPS)
POCL Systems - current 556
Infrastructure
(OPS)
POCL Systems - design 465
Infrastructure
(OPS)
POCL Systems - design 467
Infrastructure
(OPS)
Requirements Page 13 of 15 ITT Version 2.0
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Primary Index Secondary Index Req No
POCL Systems - design 471
Infrastructure
(OPS)
POCL Systems - design 473
Infrastructure
(OPS)
POCL Systems - design 474
Infrastructure
(OPS)
POCL Systems - design 478
Infrastructure
(OPS)
POCL Systems - design 479
Infrastructure
(OPS)
POCL Systems - design 480
Infrastructure
(OPS)
POCL Systems - design S55:
Infrastructure
(OPS)
POCL Systems - design 558
Infrastructure
(OPS)
POCL Systems - design 922
Infrastructure
(OPS)
POCL Systems - development 463
Infrastructure
(OPS)
POCL Systems - development 557
Infrastructure
(OPS)
POCL Systems - steady state 542
Infrastructure
(OPS)
POCL Systems - steady state 560
Infrastructure
(OPS)
POCL Service levels 869
Infrastructure
(SLA)
POCL Service levels 883
Infrastructure
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Primary Index
Secondary Index
Req No
(SLA)
POCL
Infrastructure
(SMS)
Systems - design
537
POCL
Infrastructure
(SMS)
Systems - design
538
POCL
Infrastructure
(SMS)
Systems - design
539
POCL
Infrastructure
(SMS)
Systems - steady state 912
POCL
Infrastructure
(TMS)
Flexibility - systems
541
Service Level
Agreements
Documentation
913
Service Level
Agreements
Installation
945
Service Level
Agreements
Supporting services
914
Service Level
Agreements
Training
925.
Shared Services
Accounting & reconciliation [891
Requirements
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Requirement 463 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems -
development
Requirement Description:
Additional requirements for OPS equipment
Samples of all OPS equipment must be supplied for
purposes other than production work. Examples include: -
testing by BA/POCL
training
demonstrations and marketing.
It should be noted that specimens of all OPS equipment or
proposed OPS equipment will be needed from time to time
to undergo destructive safety testing.
Precise figures for this requirement cannot be predicted
at this stage, but it is unlikely that more than the
equivalent of 8 post offices with a total of 50 counter
positions equipment will be needed for acceptance testing
by BA/POCL.
Requirements for training are unknown at this stage, and
are dependent on the training methodology employed.
Requirements for destructive testing would not normally
exceed one example of each hardware component that is
proposed for use in the OPS.
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Requirement 464 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Service
Management
Requirement Description:
Agreement to offer services using OPS and TMS.
Services which utilise OPS or TMS may only be provided
subject to the express agreement of BA/POCL.
Requirements Page 2 of
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Requirement 465 Release spr 2
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Requirement Description:
Appearance of the equipment within OPS.
Systems - design
The livery of the equipment to be used within OPS must be
specifically agreed with BA/POCL. A single livery will be
agreed for all outlets to fit in with POCL’s style guide
for post offices
The effort required to maintain the acceptable appearance
of the equipment must be minimal
Requirements Page 3 of
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Requirement 466 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Service - steady
state
Requirement Description:
Consumables.
Detailed specifications of all the consumables that will
be used by the OPS must be supplied to BA/POCL with
estimates of the likely consumption of each.
The service provider must be prepared to supply all
consumables. However BA/POCL may choose to source
consumables separately.
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Requirement 467 Release spr 2
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Links from OPS to TMS.
Each instance of OPS within outlets must be connected to
the TMS to allow the transfer, in both directions, of
authorised data files and messages.
The transfer of data between OPS and TMS must be secure,
complete, accurate and robust.
Within OPS it must be possible to identify whether data
has been ‘collected’ by the TMS or not.
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Requirement 468 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Service - steady
state
Requirement Description:
OPS equipment - engineering visits.
Maintenance and repair of the OPS equipment involving on-
site attendance by engineers must not interfere unduly
with the ability of the outlet to serve customers. It
must be borne in mind that many of the outlets have a
single counter position and/or extremely limited physical
space.
Requirements Page 6 of
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Requirement 469 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Procedures &
documentation
Requirement Description:
OPS - technical documentation.
The supplier must provide technical documentation for OPS
suitable to allow BA/POCL to procure applications which
will utilise OPS or hardware which will interface with
OPS. These procurements would not necessarily be from the
supplier. All changes to the documention must be
specifically agreed with BA/POCL
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Requirement 470 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Procedures &
documentation
Requirement Description:
TMS - technical documentation.
The supplier must provide technical documentation for TMS
suitable to allow BA/POCL to procure applications which
will utilise TMS. These procurements would not
necessarily be from the supplier. All changes to the
documention must be specifically agreed with BA/POCL
Requirements Page 8 of ITT Version 2.0
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Requirement 471 Release spr 2
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Messaging facilities.
Using TMS and OPS it should be possible to broadcast
short messages to all or a subset of outlets. As a guide,
a message length of approximately 2000 bytes is likely to
be acceptable. The message should be brought to the
attention of staff working in the outlet at the earliest
practical opportunity. It should be possible to produce a
hard copy of the message within the outlet.
Using TMS and OPS it should be possible for staff working
in the outlets to gain access to electronically held
information such as is currently published in ‘Counter
News’ and the operations manuals.
Requirements Page 9 of ITT Version 2.0
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Requirement 472 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Security
Requirement Description:
Security of data and audit trail for OPS.
Data capture within OPS must be accurate and robust.
The integrity and security of data held within the OPS
must be protected at all times. Logs of events within
OPS must be maintained and an audit trail of interactions
with, and actions within OPS must be maintained.
The integrity and security of data held within OPS must
not be compromised when OPS is re-established following
any failure.
Requirements Page 10 of ITT Version 2.0
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Requirement 473 Release spr 15
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
User access to OPS.
Any remote access to OPS must be restricted to
specifically authorised users and must be via TMS.
Access to OPS and services offered via OPS to staff
working in the outlets must be controlled by a mechanism,
conforming to the Style Guide, offering multiple access
levels and providing specific identification of each
user.
It must be possible to restrict the functionality
available at an outlet; some services will not be
offered through all outlets.
There must be support available to users who have
forgotten their passwords. It must be borne in mind that
a large proportion of the outlets have only a single
counter position. The mechanism used must not unduly
reduce the effectiveness of access control.
There must be a secure and reliable mechanism for users
to suspend and resume access to OPS and services offered
via OPS. This must not be unduly onerous or time
consuming.
Requirements Page 11 of ITT Version 2.0
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Requirement 474 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Health, Safety and Legal on OPS equipment.
1.All OPS Equipment must be continuously rated and
capable of functioning safely and reliably, attended or
unattended, for an indefinite period in outlets.
2.Each installation of OPS must be physically and
electrically safe and in compliance with relevant
legislation and recognised best practice. It must not
cause interference with other devices. It should be borne
in mind that the equipment may be installed in premises
that would be classified as residential.
2.1 This includes all relevant UK Regulations and Council
Directives (that is, Directives of the Council of the
European Communities) which are implemented by HMG. The
equipment must be maintained to be compliant with any
subsequent legislation.
2.2 This includes mandatory standards, including all
relevant UK Regulations and Council Directives (that is,
Directives of the Council of the European Communities)
which are implemented by HMG. The equipment must be
maintained to be compliant with any subsequent
legislation or mandatory standards.
2.3 All OPS equipment must comply with BS EN60950 : 1992
(BS7002 :1992) and any subsequent amendments.
2.4 All OPS equipment comprising AC power adaptors must
comply with BS EN60065 : 1993 (BS7002 :1992).
2.5 The workstation aspects of all OPS equipment must
comply with the Health and Safety (Display Screen
Equipment) Regulations 1992, which implement Council
Directive 90/270/EEC on working with display screen
equipment .
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2.6 Any OPS equipment containing laser emitters must
comply with BS EN 60825:1992. (Examples laser printers
and laser barcode scanners) .
2.7 Any OPS telecommunications equipment must comply with
Council Directive 91/263/EEC (the Telecommunication
Terminal Equipment Directive) and have a current BABT
certificate or equivalent for connection to the public
telephone network
2.8 All OPS equipment defined as Machinery must comply
with the Supply of Machinery (Safety) Regulations 1992,
which implement the Machine Directive 89/392/EEC as
amended by 91/368/EEC.
2.9 All OPS equipment must comply with the Electrical
Equipment (Safety) Regulations 1994, which implement the
Low Voltage Directive 93/23/EEC as amended by 93/68/EEC.
2.10 All OPS equipment must meet the requirements of the
Non-automatic Weighing Instruments (EEC Requirements)
Regulations 1992 Schedule 3 Applications.
2.11 All OPS visual display terminal equipment must
comply with the relevant requirements of either BS
7179:1990 or ISO 9241:1992 (applies to keyboards) .
2.12 All Equipment which falls within the scope of The
Electromagnetic Compatibility (EMC) Regulations 1992,
which implement Council Directive 89/336/EEC (as amended
by 92/31/EEC), must comply with these regulations.
2.13 All OPS Equipment must meet the minimum EMC
requirements of both residential and commercial
installations, including compliance with BS EN 50081 and
BS EN 50082 with the following amended test severity
levels and with no degradation of performance:
IEC 801 part 2 class 3, 6kV contact discharge
IEC 801 part 3 3V/m
IEC 801 part 4 +/- 1kV injected onto mains AC supply
IEC 801 part 5 +/- 2kv.
2.14 All OPS equipment covered by EN45501:1992 must
comply with clause A4.5 (voltage variations) and Annex B
Requirements Page 13 of ITT Version 2.0
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of that standard.
2.15 All items of OPS equipment must have an Index of
Protection rating of IP3X as defined in BS EN 60529:1992.
3. The OPS equipment and its installation must not
constrain BA/POCL and its agents from meeting their
legal safety responsibilities as employers.
4. It must be possible to prove compliance with
legislation or mandatory standards as and when necessary.
Requirements Page 14 of ITT Version 2.0
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Requirement 475 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Service - design
Requirement Description:
Style Guide
The supplier must draw up a Style Guide and agree this
with BA/POCL. Any services to be offered via the OPS
will be constrained by the Style Guide. Any changes to
the Style Guide must be specifically agreed with BA/POCL.
The style guide will set out general guidelines for the
Human Computer Interface, including screen layouts,
system navigation routes and help and manual entry
facilities.
The Human Computer Interface must be intuitive and easy
to use, to minimise errors and delays. The Human Computer
Interface must provide a consistent look and feel across
all applications and be easy to adapt to allow the
introduction of new applications.
Requirements Page 15 of ITT Version 2.0
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Requirement 476 Release spr 2
No _
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Service
management
Requirement Description:
Release control.
1. A release refers to a set of electronic data (software
and/or reference data) which is to be distributed to and
subsequently activated within any of the services.
2. The following must be agreed explicitly with BA/POCL:-
the contents of any release
the upgrade path for any release
the timing of the distribution of any release
the timing of the activation of any release
3. Proof of sufficient and satisfactory testing of each
release is required including the following aspects: -
- at individual component (unit test) level
- of all components working together (system test)
- of all components in combination with different
hardware and software combinations which may be
encountered in production running.
4. Proof of sufficient and satisfactory preparation for
the implementation of a release is required. This will
include testing the implementation and reversion from the
release.
5. The implementation of any release of software and/or
reference data must not cause any significant disruption
to users, must not disrupt the normal working environment
and must not require significant involvement from end
users.
6. The implementation of any release of software and/or
reference data must not cause any corruption to data held
on behalf of BA/POCL.
Requirements Page 16 of ITT Version 2.0.
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7. A detailed record of all releases of software and
reference data and where they are deployed must be
maintained.
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Requirement 477 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Service
management
Requirement Description:
Asset register.
A detailed list of all physical system components ( an
asset register) must be maintained and available to
BA/POCL on request. From the list it must be possible to
identify all equipment installed at any location, for
example in a post office.
Requirements Page 18 of ITT Version 2.0
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Requirement 478 Release spr 12
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Basic TMS facilities.
1. TMS must link into each instance of OPS which is to be
used for production work.
2. TMS must provide links into other computer systems as
required to support BA/POCL. These systems will include: -
client systems operated on behalf of POCL’s clients
other POCL systems, for example TIP
3. TMS must provide the links to PAS and CMS.
4. TMS must provide data file collection and data file
delivery services, where a data file is simply any set of
electronic data.
4.1 Files may be collected from or delivered to any
computer system attached to TMS.
4.2 The collection or delivery of data files must be
triggerable by any of
- operator action
- time
- in response to a message from an attached computer
system or generated within TMS
4.3 The collection or delivery of data files must be
retried automatically, under parameter control, in the
event of any failure.
4.4 It must be possible 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.
5. TMS must provide a message switching capability, where
a message consists of electronic data which must be
passed from one computer system to another (switched)
Requirements Page 19 of ITT Version 2.0
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with minimal delay.
5.1 It should be possible to switch messages between any
two attached computer systems. This includes any two
instances of OPS.
5.2 Where TMS is unable to deliver a message it must
notify the originating computer system.
5.3 The TMS must 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 a data file
- generating control totals through access to the
contents of data files
- reconciliation of control totals
- produce reports summarising financial transactions.
6. A full audit trail of all TMS activity must be
maintained.
7. TMS must ensure that any transfer of data files or
messages can be shown to be secure, complete accurate and
robust.
Requirements Page 20 of ITT Version 2.0
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Requirement 479 Release spr 1
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Control and monitoring of TMS links.
1. No computer system may be connected to the TMS without
the express authority of BA/POCL.
2.TMS must only allow connections to it to be established
with computer systems which are authorised to be
connected. This implies that there must be a register of
computer systems with which connections are allowed.
3. TMS must authenticate the identity of any computer
system with which a link is to be established.
4. TMS must produce reports detailing any attempt to
establish a link which is rejected. These reports must be
available to BA/POCL on request.
Requirements Page 21 of ITT Version 2.0
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Requirement 480 Release spr 12
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Discreteness of TMS.
TMS must be kept logically discrete from other services
such that, in extremis, the service could be
procured.
separately
In particular there must be a clear and documented
interface between PAS and TMS functions and CMS and TMS
functions. These interfaces should include:
- specification of any programming inteface
- specification of any shared data and data
- specification of any other protocols that
allow communication between functions within
that exists
standards
exist to
the services
- specification of any other constraint that enables the
interoperability between services
Requirements Page 22 of ITT Version 2.0
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Requirement 481 Release spr 12
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Documentation
Requirement Description:
There will be a comprehensive and definitive guide for
completing transactions that are processed using the
automated platform this could include Post Shop
transactions where appropriate.The guide will 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 eg system failure.
In essence the guide will provide full details of
completing all business transactions in all post office
outlets, including non automated transactions such as
giving information to customers
Requirements Page 23 of ITT Version 2.0
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Requirement 482 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Documentation
Requirement Description:
The guide must conform to POCL identity and communication
standards
Requirements Page 24 of ITT Version 2.0
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Requirement 483 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Documentation
Requirement Description:
The guide is to incorporate additional product
information for specific products e.g. posting
restrictions
Requirements Page 25 of ITT Version 2.0
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Requirement 484 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Documentation
Requirement Description:
The guide must be available to all users and others
(including helpline operators, non serving staff in
retail outlets who may be asked to supply
information/advice together with others as appropriate)
whenever the operating platform is in use.
Requirements Page 26 of
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Requirement 485 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr 3
Implementation
(POCL)
Documentation
The guide must be updatable, in line with agreed service
levels, to ensure information is always current.
Requirements Page 27 of
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Requirement 486 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Documentation
Requirement Description:
All documentation must be given final approval by the
AUTHORITY before publication
Requirements Page 28 of ITT Version 2.0
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POL00028118
——_
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 487 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier will carry out the survey of outlets to
accertain what modifications are needed to install the
office platform
Requirements Page 29 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 488 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The installation and acceptance of the office platform
will be undertaken in one day.
Requirements Page 30 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
AUTHORITIES’ AGREEMENT SCHEDULE Bl
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 489 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr 3
Implementation
(POCL)
Installation
The supplier will disconnect and remove to an agreed
location existing automated equipment as specified by the
AUTHORITY.
Requirements Page 31 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 490 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
Installation is carried out within the outlets hours of
business
Requirements Page 32 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 491 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier will carryout internal office modification
work at all outlets necessary to enable the installation
of the office platform.
Requirements Page 33 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 492 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
All contractors carrying out modification work will
conform to all legislative requirements
Requirements Page 34 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 493 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier will be responsible for the removal /
fitting of the equipment when offices are either
relocated or refurbished. The supplier will be required
to move equipment within post offices if needed for
refitment/refurbishment reasons - including open plan -
this may include the requirement for extra equipment.
The service provider will be required to equip new
sites/relocated sites in line with POCL's evolving
network strategy.
Requirements Page 35 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 494 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier shall respond within the agreed timescale to
network change requests supplied by POCL, as per agreed
service levels. This requirement covers provision and
installation of equipment in new and relocated sites as
well as the movement/reconfiguration of equipment within
existing retail outlets.
Requirements Page 36 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 495 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier shall provide the equipment at all 'live'
counter serving positions. A 'live' position is defined
as being one at which counter transactions take place.
This will include modified parcel positions and may
include non-modified positions.
Requirements Page 37 of ITT Version. 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 496 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier shall install the equipment at any site
designated by POCL which may include Cash Centres and
training centres
Requirements Page 38 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 497 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Installation
Requirement Description:
The supplier will install the office platform in outlets
Requirements Page 39 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 498 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Integration of
services
Requirement Description:
Existing products and systems will be migrated from
current POCL platforms - APT, ECCO+, ALPS, Manual - to
the new automated platform with no customer/client
discontinuity of service. The Service Provider will work
closely with POCL personnel to plan how best to achieve
effective migration. At post office outlets, data
transfer and associated tasks should be expedited as
efficiently as possible with minimum staff/ subpostmaster
involvement.
Requirements Page 40 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 499 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Integration of
services
Requirement Description:
Installation should not take place until the
infrastructure and support service are ready
Requirements Page 41 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 500 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The supplier must obtain certification from Authorised
Personnel - to be agreed - that relevent permissions have
been granted before modifications are carried out.
Requirements Page 42 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 501 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The supplier will ensure there is a process in place to
ensure all outlets and regional liaison points are aware
of and agree the times and dates of all site visits. The
regional liaison point will be the final arbiter in case
of disagreements.
Requirements Page 43 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
AUTHORITIES’ AGREEMENT SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 502 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr 3
Implementation
(POCL)
Roll-out
The supplier will carry out all survey activities without
degradation of Post Office and retail operations -
including existing systems at the outlet
Requirements Page 44 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 503 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The supplier will carry out all modification activities
without degradation of Post Office and retail operations
- including existing systems at the outlet.
Requirements Page 45 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 504 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The service
utilise the
provider shall indicate their proposals to
existing kit
Requirements
Catalogue
RCMERGE!.DOC
Page 46 of
ITT Version 2.0
29 Feb 96 11:26/29 Feb 96 22:08
AUTHORITIES’ AGREEMENT SCHEDULE Bl
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 505 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr 3
Implementation
(POCL)
Roll-out
No specific requirements expressed on geography, although
regional roll out is not the preferred option.
Requirements Page 47 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 506 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The limited live trial should take place in a maximum of
three POCL regions, one of which must be South East or
North Thames, but not both.
Requirements Page 48 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
AUTHORITIES’ AGREEMENT SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 507 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr 3
Implementation
(POCL)
Roll-out
POCL would not wish the supplier to install the equipment
in most offices during particular business periods,
namely Christmas and New Year pressure periods, and other
office specific dates agreed on an annual basis.
Requirements Page 49 of
Catalogue
RCMERGE!I.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 508 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
POCL will reserve the right to suspend the roll out
programme if the supplier fails to deliver the agreed
service levels.
Requirements Page 50 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 509 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
Within a specification to be agreed with the Authority,
the siting of the office platform will be agreed by the
outlet manager.
Requirements Page 51 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26/ 29 Feb 96 22:08
AUTHORITIES‘ AGREEMENT SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 510 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
For the purpose of rollout planning no particular
distinction should be made between types of "main" post
office - Branch offices; modified sub post offices; and
franchised post offices.
Requirements Page 52 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 511 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The supplier will carry out all installation activities
without degradation of Post Office and retail operations
- including existing systems at the outlet.
Requirements Page 53 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 512 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
Roll out should be undertaken as quickly as possible
subject to the over-riding requirement to
(a) 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 roll-
out in the context of uncertainty and risks
(vi) treat POCL's staff and agents professionally and
with respect.
Requirements Page 54 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 513 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
If at some point in the future the supplier wishes to
upgrade equipment at the outlets, this will only be
carried out with the agreement of the AUTHORITIES.
Requirements Page 55 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 514 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
There will be a mechanism for determining that individual
outlets - Post Offices - are ready to go live i.e. that
the new platform functionality should be activated for
use. POCL reserves the right to withhold such agreement
if, for any reason, it determines that to do so ina
particular set of circumstances is detrimental to its
customers, clients, staff, or agents. If "go live" is
not sanctioned, POCL and the Service Provider will
resolve outstanding issues as soon as possible.
Requirements Page 56 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 515 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The service provider is asked to propose a support
package for offices within the first few weeks of "go
live", in acknowledgement that there may be additional
training or other corrective action needed at this early
stage. These proposals should also include a process for
identifying problem offices.
Requirements Page 57 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/ 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 516 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
POCL reserve the right to amend the roll out plan as
necessary in order to protect its service levels.
Requirements Page 58 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 517 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The Post Office outlet modifications will be completed in
one visit to the outlet.
Requirements Page 59 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 518 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Roll-out
Requirement Description:
The Post Office Outlet survey will be completed in one
visit to the outlet.
Requirements Page 60 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 519 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Service - steady
state
Requirement Description:
The supplier shall provide and install the equipment at
previously unequipped counter serving positions as
directed by POCL.
Requirements Page 61 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 520 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
The supplier shall ensure that all the agreed support
services will be available from day 1 in line with agreed
service levels
Requirements Page 62 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 521 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
The supplier will provide one phone number as a single
point of access to all Helpdesk services
Requirements Page 63 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 522 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
The Helpdesk contact point will be a "freecall" number.
Requirements Page 64 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 523 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
Appropriate levels of support services must be available
(i) to provide support when all users have access to the
system
(ii) to cover the operation of interfaces with other
systems
(iii) to provide support for all other helpdesks linked
to the service provider helpdesk facility
Requirements Page 65 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 524 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
The Helpdesk service will deal with calls relating to the
hardware
This will include, but is not exclusive to
Fault diagnosis
Maintenance call out
Caretaking advice
Configuration management
Requirements Page 66 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 525 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
The Helpdesk must be able to provide access for users to
additional support services for day 1 and when requested
to do so by the authority in the future. This will
include
Access to training facilities
Access to training materials
Operational support documentation
Consumables
Requirements Page 67 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 526 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL
Supporting
services
Requirement Description:
All reported incidents must be resolved in line with
agreed service levels.
Requirements Page 68 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 527 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
A dedicated POCL Helpdesk staffed by fully trained,
qualified and experienced personnel must be provided
working to specified service level agreement.
Requirements Page 69 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 528 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Supporting
services
Requirement Description:
Calls made to the Helpdesk that are not pertinent to it
must be re-routed to the appropriate point as per
service levels
Requirements Page 70 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 529 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL.
Supporting
services
Requirement Description:
The Helpdesk support service must comply with POCL help
service behavioural standards in accordance with Service
Levels.
Requirements Page 71 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
AUTHORITIES’ AGREEMENT SCHEDULE Bl
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 530 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr 3
Implementation
(POCL)
Systems - design
If for any reason it is not possible to - or it is
decided by POCL not to - make EPOS functionality
immediately live on Day One of operation of the new
platform, BES/APT functionality will be available and
operational with no adverse system or operational
impacts. In effect it will be a requirement to "ring-
fence" EPOS functionality so that it cannot inadvertently
be used/misused to the detriment of customer service and
POCL accounting needs.
Requirements Page 72 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 531 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Training
Requirement Description:
Training must be provided to enable POCL's target
audience to achieve acceptable standards in key
competencies as defined by POCL. These competencies will
be reviewed from time to time. For some groups this may
mean familiarisation training only. The target audience
will 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 service provider to give details of his
proposals as to how, when and where he will deliver the
training, differentiating between roll out and steady
state as appropriate.
Competence will be measured by a method agreed by POCL
and the service provider
Requirements Page 73 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 532 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Training
Requirement Description:
The Service Provider must train all appropriate staff in
the requirement for new products or product changes
Requirements Page 74 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 533 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Training
Requirement Description:
If the system has a facility to operate in dummy training
mode, it must not interfere with data transfer or
integrity.
Requirements Page 75 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 534 Release spr 3
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Training
Requirement Description:
The Service Provider's training solution must take
account of users experiences in term of automated
products and platforms (ECCO+, APT, ALPS) and their
differing propensities to learn. The service provider
will agree with POCL the training requirements for the
different target audiences identified including training
required when individuals move between these target
audiences. This may include change of office, promotion,
new recruits etc.
Requirements Page 76 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 536 Release spr 3
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Requirement Description:
OPS equipment - general requirements.
Service - design
1. Peripheral and input devices supplied as part of OPS
must be reliable, robust and easy to use.
2. Peripheral and input devices supplied as part of OPS
must be capable of detecting contention, premature
removal/swapping of tokens etc as appropriate.
Requirements Page 77 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 537 Release spr 4
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(SMS)
Systems - design
Requirement Description:
System management.
System Management of all the services provided to
BA/POCL must be carried out in a consistent and coherent
manner to ensure the following: -
1. Activities within the services, including PAS, CMS,
TMS, OPS, BES, OBCS, APS and EPOSS, are co-ordinated.
2. Changes to the services offered can be made speedily
and accurately.
Requirements Page 78 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 538 Release spr 15
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(SMS)
Requirement Description:
Systems - design
System management - synchronisation of time.
SMS must provide a facility for synchronising the date
and time across all services and computer systems
providing them. This should cater for the handling of
clock changes at the beginning and end of British Summer
Time for example.
A facility is required to allow transactions to be
processed using local time and / or GMT, thus each
computer system must be able to derive both local time
and GMT.
Requirements Page 79 of
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Requirement 539 Release spr 15
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(SMS)
Systems - design
Requirement Description:
System management - Reference Data handling.
1. Within the System Management Service it will be
necessary to maintain reference data necessary to the
operation of the systems and the applications.
2. It will be necessary to receive store and utilise
reference data from sources outside of the CONTRACTOR
domain (e.g. TIP and potentially client systems) .
CONTRACTORS should bear in mind that it may be necessary
to implement changes in reference data to tight
timescales. As an example it would be necessary to
implement reference data changes consequent on a Budget
by start of business on the following day.
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Requirement 540 Release spr 4
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Requirement Description:
Service - design
OPS equipment - environmental considerations.
Due attention should be given to the effects of the OPS
equipment on the environment during manufacture,
installation and use. This includes:-
- use of CFCs
- energy consumption
- recyclability of components
- recyclability of consumables
- waste minimisation
- use of sustainable resources
- disposal of displaced equipment and waste
- making appropriate use of recycled materials
The service provider must adhere to relevant
environmental legislation such as the 'Duty of Care’
Requirements Page 81 of
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Requirement 541 Release spr 4
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(TMS)
Flexibility -
systems
Requirement Description:
TMS scaleability.
TMS must be scaleable to meet POCL’s business needs.
It must be borne in mind that POCL are looking to re-
engineer current client transactions and develop new
capabilities. This may involve considerable volumes of
transactions needing authorisation from a client system
or a central point in POCL.
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Requirement 542 Release spr 4
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - steady
state
Requirement Description:
Continued support of operating systems ,middleware and
applications software.
The operating system software, any middleware and any
application software used within the services supplied
must be fully supported during the life of any computer
systems on which they are utilised in providing the
services.
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Requirement 543 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Service - design
Requirement Description:
APS Tokens.
The APS shall support the following range of Tokens:
- Landis & Gyr PISCES smart card;
- GEC Meters WATERCARD smart card;
- Schlumberger Smart Key for the water
industry;
- Schlumberger Smart Key for the electrical
industry;
- Magnetic stripe card;
- British Gas Quantum smart card;
- Bar coded documents.
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Requirement 544 Release spr 17
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Service - design
Requirement Description:
APS Clients/Client Service Types.
The CONTRACTOR shall provide the APS to POCL in respect
of all its Clients.
The CONTRACTOR shall provide the APS such that Clients or
Client Service Types (which conforms to generic APS) may
be added to, modified or removed from, the APS on a
regular basis.
The CONTRACTOR shall provide assistance to implement an
interface to additional third party applications/Tokens
if so required by POCL.
The CONTRACTOR shall provide technical assistance to
support POCL’s relationship with Clients and potential
Clients.
The CONTRACTOR shall develop and maintain the APS in a
generic way that enables additional Client Service types
to be added with minimum cost and disruption.
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Requirement 545 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Documentation
Requirement Description:
APS Documentation
The Contractor shall provide technical and overview
documentation describing the APS. The technical and
overview documentation is to be in sufficient detail as
to allow POCL to market the Service to Clients and
potential Clients and to consider the suitability of
additional services.
The Contractor shall agree the content of the
documentation with POCL and any changes to it.
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 the OPS, the data involved
and any necessary timings.
AP Client Specification contents 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 business objectives of the service.
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
- Transfer
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4. Other data
- Contents
- Validation
- Availability
5. Service Levels
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Requirement 546 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
APS General Constraints
Service - design
The Contractor shall deliver the APS using the POCL
Strategic Infrastructure.
APS shall be available at all counter positions and at
such other places as required by POCL.
The Contractor shall ensure that the availability of each
Client Service Type at each Outlet is individually
controllable.
Requirements Page 88 of
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Requirement 547 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
APS Data Capture and Validation
Systems - design
The CONTRACTOR shall ensure that data are captured
correctly, robustly, accurately, securely and as agreed
with POCL.
The APS shall, as a minimum, validate data, whether read
from Tokens or entered by the User, in accordance with a
set of rules identified in:
(a) POCL APS Generic Rules;
(b) Token technology 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 AP Client
Specification or Token Technology Specification.
The APS shall enable the display of user instructions
specific to a Client Service Type as identified in the AP
Client Specification.
Requirements Page 89 of
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Requirement 548 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Service - design
Requirement Description:
APS Transaction Committal.
The APS shall commit the transaction when:
- monies have been accepted; or
- a transaction has been reversed; or
- a Token has been issued; or
- a Smart Token has been accessed (including an
abandoned or enquiry transaction).
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Requirement 549 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
APS Transaction Reversal.
Service - design
The APS shall enable the reversal of committed
transactions if eligible for reversal as defined in the:
- POCL APS Generic Rules
- Token Technology Specifications
- AP Client Specification.
The Contractor must provide a secure and auditable
process for dealing with transaction reversals.
Requirements Page 91 of
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Requirement 550 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
Update of APS Tokens.
Service - design
The APS shall write data to APS Tokens in accordance with
the rules identified in the appropriate Token Technology
Specification, AP Client Specification and POCL APS
Generic Rules.
Requirements Page 92 of
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Requirement 551 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Service - design
Requirement Description:
APS Receipting.
The APS shall produce a transaction receipt for each
committed transaction.
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.
The receipt produced for a reversal transaction shall
identify it as a reversal and identify the original
(reversed) transaction.
In the event of printer failure the APS shall provide
information to enable a manually completed receipt to be
produced.
The APS shall enable individual Outlets to produce bi-
lingual receipts (Welsh/English) .
The APS shall facilitate 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.
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Requirement 552 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
APS Transaction Collection/Delivery.
Service - design
The APS shall maintain and deliver committed transactions
to POCL and Clients in accordance with the following:
- APS Generic Rules;
- the appropriate AP Client
Specification;
- Token technology
Specification.
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Requirement 553 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Systems - design
Requirement Description:
APS Client Data Collection and Distribution.
The CONTRACTOR shall ensure that Data Files from POCL and
Clients are collected/received and validated in
accordance with the relevant AP Client Specification,
Token technology specification and POCL APS Generic
Rules.
The CONTRACTOR shall ensure that Data Files from POCL and
Clients are available to all, groups of, or specific
Outlets in accordance with the appropriate AP Client
Specification, Token technology specification and POCL
APS Generic Rules.
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Requirement 554 Release spr 4
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Systems - design
Requirement Description:
APS Fallback and Recovery
The CONTRACTOR shall provide fallback facilities for
situations when a User is unable to use part or all of
the POCL Strategic Infrastructure (for whatever reason)
and this provision shall maintain the integrity,
auditability, security and levels of customer service.
The CONTRACTOR shall ensure that following an Incident
the User can return to a known position and identify what
transaction data has to be recovered.
The CONTRACTOR shall ensure that following an Incident
any previously recorded data which has been corrupted is
discarded.
The APS shall provide facilities for the re-input
(recovery) of previously captured transaction data which
has been lost following an Incident.
The APS shall provide facilities for the input (recovery)
of the details of customer transactions performed whilst
the OPS was unavailable.
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 without
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 APS Generic Rules.
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Requirements Page 97 of ITT Version 2.0
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Requirement 555 Release spr 17
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
Capabilities of OPS on initial implementation.
1. In all outlets, at all automated counter positions,
from initial implementation, OPS must :-
1.1 support the reading of track 2 from magnetic Cards
complying with ISO 7811 parts 1-4.
1.2 support the reading from and writing to smart Cards
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.
1.3 CONTRACTORS should note that some clients may issue
Magnetic stripe or Smart Cards which do not match the
above standards in all respects. For example, embossing
May not be in the correct position, or the magnetic
stripe may not adhere fully to the standards. CONTRACTORs
should indicate the impact of such non-standard features
on their solution.
1.4 Support the reading of 1 dimensional bar codes. The
maximum bar code width to be read will be 10.9cm at a
resolution of 9mils. OPS must support, at minimum
code128, EAN 8, EAN 13, code 39
Support for the Royal Mail four state code (RM4SCC) is
not required.
2. In all outlets from initial implementation EPOSS
must: -
2.1 support printing on manually fed pre-printed forms at
the counter, for example Girobank summary forms G4631,
G4632 and G4633
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2.2 support printing on cheques and other forms at the
counter
2.3 support printing of existing client reports at the
counter. This includes printing in large fonts and
printing with 90 degree rotation.
2.4 support the connection to electronic weighing scales,
which will be supplied separately from this procurement.
As a minimum, connections are to include Avery Berkel
type D104 and A702. It must be possible to share a set
of weighing scales between OPS at two or more counter
positions.
2.5 support the printing of reports necessary to meet
existing client commitments
2.6 support the printing of cash accounts and plain paper
summaries
2.7 support the printing of PDF417 two dimensional
barcodes on forms generated through back office
processing. Typically the two dimensional barcode would
be used to contain cash account information.
2.8 it would be desirable to support the printing of one
dimensional bar-codes at the counter on forms as well as
tally roll print, as a minimum code 128, EAN 8, EAN 13
and code 39 should be printable.
2.9 it would be desirable to support the printing of one
dimensional bar-codes at the back office, as a minimum
code 128, EAN 8, EAN 13 and code 39 should be printable.
Requirements Page 99 of ITT Version 2.0
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Requirement 556 Release spr 17
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - current
Requirement Description:
Schlumberger smart keys
1. In some outlets, from initial implementation, OPS must
support the reading from and the writing to
Schlumberger smart keys.
2. The precise number of outlets and counter positions is
not known at this time; the capability will be required
in no more than 10,500 outlets.
3. The outlets requiring this capability will be chosen
on a geographical basis
4. In any outlet requiring this capability it will be
acceptable to use an external peripheral device which may
be shared between counter positions where practical.
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Requirement 557 Release spr 5
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems -
development
Requirement Description:
Flexibility of OPS.
1. OPS must have the flexibility for additional
peripheral types to be added in the future, including
input devices and printers.
2. Up to 3 additional peripheral types may be required
within the next 5 years.
3. There is a potential requirement to support the
reading of OCR to interpret code lines on bills etc. The
decision on whether to implement this capability on
initial implementation or later has not been made and
suppliers are requested to indicate what difference there
would be to charges dependent on this.
4. There is a potential requirement to support the
reading of 2 dimensional barcodes. The decision on
whether to implement this capability on initial
implementation or later has not been made and suppliers
are requested to indicate what difference there would be
to charges dependent on this
5. There is a potential requirement to link OPS to teller
cash dispensers in due course.
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Requirement 558 Release spr 5
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Requirement Description:
OPS equipment - capacity.
Systems - design
1. The OPS must support the POCL imperative of keeping
transaction times to a minimum.
2. The OPS must be capable of supporting the entire range
of business transacted at outlets for current and
projected volumes of business.
Requirements Page 102 of
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Requirement 559 Release spr 5
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Interface with
OPS
Requirement Description:
Extent of OPS.
1. OPS must be provided in each of POCL’s outlets.
2. OPS must support the automation of all POCL counter
transactions in due course.
3. From initial implementation OPS must be capable of
supporting APS, BES and OBCS and EPOSS.
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Requirement 560 Release spr 12
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - steady
state
Requirement Description:
OPS equipment - technology refresh.
BA/POCL recognise that technology will change during the
period of the contract, and will wish to take advantage
of this.
1. BA/POCL require that no change be made to the
specification of equipment to be used within the POCL
strategic infrastructure, without prior express
agreement.
2. BA/POCL require that periodically the specification of
the equipment being used and installed is reviewed with
the service provider, to ensure that the most appropriate
technology is deployed.
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Requirement 561 Release spr 5
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
‘Commercial policy
Requirement Description:
Licence indemnities.
The supplier shall indemnify BA/POCL against any dispute
of the suppliers' or BA/POCL's right to utilise the
hardware, software or information used for any of the
supplied services, e.g. third party challenges with
reference to licensing or intellectual property rights.
In the event of any dispute, the supplier shall ensure
that there is no impact on service.
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Requirement 691 Release spr 7
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
EPOSS - Inventory Management
EPOSS must allow cash and stock ordering at denomination
level.
EPOSS must allow the recording of stock and cash
transfers into and out of the Outlet.
EPOSS must provide a facility to allow the authorised
update of stock and cash through TMS or another remote
source as part of SMS.
EPOSS must allow the physical receipt of stock and cash
to be reconciled by the system against the consignment
note. Any discrepancy must be recorded against the
consignment reference.
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Requirement 692 Release spr 21
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
EPOSS - MoPs
EPOSS must accept single or multiple methods of payment
as settlement.
EPOSS must allow the implementation of new types of
methods of payment such as debit cards and EFTPOS.
The Service Provider shall indicate their proposals to
implement an EFTPOS service commencing the first quarter
of 1997.
POCL requires 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
Day 1 is desirable.
Indicative volumes for end of roll-out are:
* between 30 and 50 million EFTPOS payments p.a.;
* 70% above the floor limit (£15 working assumption)
and so needing authorisation;
* 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 Post Shops (5%),
all estimates;
* other likely transactions leading to EFTPOS are
expected to include Travel Insurance
and Bureau de Change and cash withdrawals;
sid there would be no “cash-back” option initially.
Business arrangements have not yet been finalised but the
current assumptions are for:
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* 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 Service
Provider 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 p.a. at above volumes.
POCL also requires guidance from the Service Provider as
to the options for EFTPOS on
the particular facilities being proposed and the relative
costs and benefits of each.
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Requirement 693 Release spr 7
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
EPOSS - Receipting
EPOSS must allow production of a VAT style customer
receipt on demand.
EPOSS must allow automatic production of a non VAT style
customer receipt to support a specific Client service
e.g. BES or APS.
The format of all styles of receipts will be agreed by
POCL.
A bilingual Welsh/English receipt header/footer is
required..
EPOSS must allow production of additional (duplicate)
receipts and they must be marked as such.
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Requirement 694 Release spr 7
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
EPOSS - Data Capture
Provide an Point of Sale / "Till" function to record all
sales.
Data should be automatically recorded in EPOSS if
captured during another service.
EPOSS must allow the input of weight values where scales
are not linked.
EPOSS must be event driven so that both data capture and
the recording of services such as BES and APS are
dynamic.
EPOSS must have the facility to read data from any input
devise supplied as part of the OPS.
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Requirement 695 Release spr 7
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
EPOSS - Stock Unit Control
EPOSS must provide the facility to adjust cash and stock
levels within a stock unit to reflect the actual levels
on hand.
Each Outlet shall have the flexibility to set up stock
unit(s) according to the local working practice
requirement.
Within EPOSS there must be a stock unit management
facility a Outlet level to change stock unit options and
assignments.
Stock units are individual units of accountability which
contain stock (fixed price items, customer and client
specific tokens, rental items, cash and transaction
vouchers for an office accounting period.
EPOSS must allow a clerk or group of clerks 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 must allow each stock unit to be balanced
individually. The stock unit may be balanced more than
once within an accounting week. Cash and stock items must
be entered by denomination or stock item level. This
applies whether or not multiple tills are linked toa
single stock unit.
At the end of the office accounting week an office
balance is struck with the details provided by the
balanced stock units.
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An Outlet will bring to account manual voucher
transactions, automated voucher transactions, report the
suspense account position and the stock and cash totals
within the approved cash account format.
The cycle will be repeated in the new accounting week
with an office balance brought forward value that will
include the stock and cash in hand, suspense account and
loss and gain position from the previous period.
EPOSS must provide a secure mechanism for controlling
access to a stock unit.
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Requirement 696 Release spr 7
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
Reporting
EPOSS must allow production of a daily report that will
show, at office level the cash holdings by individual
denomination of bank note and coin. The format of the
report will be agreed by POCL and the Contractor.
EPOSS must support the summarisation of daily and weekly
transaction vochers at stock unit level.
EPOSS must support a reporting facility to print on
Client cut sheet stationary where the client requires it
(such as Girobank daily summaries) .
Girobank is only a current example - we neeed 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 will be agreed by
POCL and the Contractor. A bilingual Welsh/English
version is required.
EPOSS must allow production of duplicate receipts and
they must be marked as such.
EPOSS must support the summarisation of daily and weekly
transaction vouchers at stock unit level.
EPOSS must support a reporting facility to print on
Client cut sheet stationary to support Girobank and the
Postmaster’s daily Record (PDR) summarisation.
EPOSS must support reporting by journal/tally roll and on
A4 sheets to predefined Client requirements at both
stock unit and office levels.
EPOSS must allow reporting to be previewed on screen.
Requirements Page 113 of ITT Version 2.0
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Requirements Page 114 of ITT Version 2.0
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Requirement 697 Release spr 7
No
Programme General Subject General
Grouping Heading
Audit
Requirement Description:
Audit Access
The CONTRACTOR and his Sub-CONTRACTORs shall keep or
cause to be kept full and accurate records (including
financial records) of all services provided to the
AUTHORITIES, covering materials and services provided,
timesheet records, contracts let to Sub-CONTRACTORs and
charges levied to the AUTHORITIES. These records will be
those held for the CONTRACTOR's own audit purposes.
The CONTRACTOR shall permit the AUTHORITIES or
AUTHORITIES' representatives (including internal and
external auditors, the National Audit Office and any
other independent body appointed by the AUTHORITIES)
unrestricted access to the records relating to the
provision of services to the AUTHORITIES for the purpose
of auditing and reporting on the operation, including
charging and accounting aspects, of the services and the
performance of the contract.
The BA will have the right to inspect the PAS and CMS,
POCL will have the right to inspect the TMS and all
applications utilising OPS. The AUTHORITIES may appoint
an independent auditor to examine areas that are mutually
commercially sensitive.
Such access will be provided on request and will include
access to premises, facilities, services documentation,
information (magnetic or otherwise), staff, procedures,
timesheets and other data used as a basis for charging
belonging to the CONTRACTOR which relate to the provision
of service to the AUTHORITIES.
Such access shall be required within 4 hours where
investigation into suspected impropriety or negligence
must be carried out.
The CONTRACTOR shall implement audit recommendations in
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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
AUTHORITIES' representatives to monitor and confirm the
implementation of such changes.
Clarification:
The following clarifications are provided in relation to
this requirement:
3rd paragraph - DSS will have the right to inspect the
PAS and CMS
5th paragraph - The AUTHORITIES will wish under change
control to change the requirement for access from ‘within
4 hours' to ‘immediately on request’
Requirements Page 116 of ITT Version 2.0
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Requirement 698 Release spr 7
No
Programme General Subject General
Grouping Heading
Security
Requirement Description:
Security Policy
The CONTRACTOR shall minimise and control liabilities to
itself and the AUTHORITIES.
The CONTRACTOR shall set-up an organised security
infrastructure covering:
- The agreement of a 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 BA and POCL Records;
- Information Classification;
- Compliance with Data Protection and other
legislation;
- Information Exchange Control;
- External Contractors and Suppliers;
- Compliance with Security Policy;
- The management of fraud and risk during service
operation.
The implementation of a security policy with the features
described is one means by which risk can be assessed,
monitored and controlled. The suppliers will have
additional policies that achieve the same objectives.
The Service Provider shall be compliant with BS7799.
Clarification:
The following clarification is provided in relation to
Paragraph 2 of this requirement:
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‘Safeguarding BA and POCL Records' should read as
‘Safeguarding DSS and POCL Records'
‘External CONTRACTORs and CONTRACTORs' should read
‘External contractors and CONTRACTOR's sub contractors
and suppliers'
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Requirement 699 Release spr 7
No
Programme General Subject General
Grouping Heading
Audit
Requirement Description:
Audit Trail
1. An audit trail must be maintained during periods of
service operation including fallback and recovery.
2. The audit trail must record all data file transfer,
messaging and processing, whether as a result of manual
or automated action.
3. The information recorded must be sufficient to
identify the action, by whom it was undertaken, when it
was undertaken, why it was undertaken and the resulting
outcome.
4. The audit trail must allow activities that utilise
more than one of the services provided to be traced
across the services from start to finish, or from an
intermediate service in any direction, with certainty.
5. The audit trail must provide information to allow
the original transaction to be recreated.
6. The content of the audit trail must be agreed
explicitly with the AUTHORITIES.
7. Audit trail records must be retained for a period
consistent with Companies Act requirements.
8. The audit trail must be available for inspection by
the AUTHORITIES.
9. The audit trail must have a level of security such
that it cannot be altered or deleted.
10. The integrity of the audit trail must be continued
during periods of partial or complete service loss or
failure:
11. It must be possible to provide a suitable legal
assurance as to the integrity of the audit trail.
12. Technological changes must not render the audit
trail unusable.
Clarification:
The following clarification is provided in relation to
this requirement:
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3. The information provided should also indicate where
the action was undertaken
7. Records should be provided for a period consistent
with Companies Act requirements, or a period of 18
months, whichever is the greater
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Requirement 700 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Systems - design
Requirement Description:
The CONTRACTOR shall supply and issue Benefit Payment
Cards to the correct Authorised Person, to support
benefit payment when notified by CAPS. Only changes to
personal details authorised by the DSS through CAPS may
be made.
Requirements Page 121 of ITT Version 2.0
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Requirement 701 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Policies &
standards
Requirement Description:
All Benefit Payment Cards and Temporary Tokens remain the
property of the Secretary of State.
Requirements Page 122 of ITT Version 2.0
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Requirement 702 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Policies &
standards
Requirement Description:
The Card can only be used for benefit payment unless
authorised by the Secretary of State.
Requirements Page 123 of ITT Version 2.0
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Requirement 703 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Policies &
standards
Requirement Description:
Card designs are subject to approval of the Secretary of
State.
Requirements Page 124 of ITT Version 2.0
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Requirement 704 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service -
development
Requirement Description:
The CONTRACTOR must ensure that they will supply and
maintain cards of more than one livery / logo.
Clarification:
The following clarification is provided in relation to
this requirement:
The CONTRACTOR will ensure that at any time an Authorised
Person will not have more than one valid card
Requirements Page 125 of ITT Version 2.0
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Requirement 705
Release
No
Programme Benefit Payment Subject
Grouping Service
Heading
Requirement Description:
Details to appear on the card are as follows:-
spr 8
DSS Services
(cms)
Service - design
* NINO
* Authorised Person Initials & Surname
* Card ID No
* Expiry Date
Requirements Page 126 of ITT Version 2.0
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Requirement 706 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
Every card number shall be unique and must conform to
financial industry numbering standards as within the
Benefit Payment Card technical specification document.
Requirements Page 127 of ITT Version 2.0
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Requirement 707 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
The CONTRACTOR must ensure that a facility is available
to allow for emergency encashment when a valid Card is
not available, i.e. Temporary Token.
Clarification:
The following clarification is provided in relation to
this requirement:
If Temporary Tokens are to be used, there will need to be
a secure method of supplying the Temporary Tokens,
recording and replenishing stock levels at the prescribed
points of issue.
Requirements Page 128 of ITT Version 2.0
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Requirement 708 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Policies &
standards
Requirement Description:
The CONTRACTOR must conform to the relevant financial
industry standard for Card usage. They must also conform
with the agreed life expectancy of the Card, to be agreed
between the CONTRACTOR and the Dss.
Requirements Page 129 of ITT Version 2.0
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Requirement 709 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMs)
Service - design
Requirement Description:
The CONTRACTOR must provide a migration strategy to
Integrated Circuit (IC) smart Card technology for all
Benefit Payment Services within a time frame to be agreed
within the DSS.
Requirements Page 130 of ITT Version 2.0
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Requirement 710 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR must ensure that a series of successively
more secure anti-fraud measures can be deployed using the
proposed underlying architecture, infrastructure and
interfaces without the need for significant re-
engineering and must not have an impact on the overall
transaction time.
Requirements Page 131 of
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Requirement 711 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR must be capable of updating any chosen
security verification details or procedures without
adversely affecting the Authorised Persons ability to
collect Authorised Payments and must not have an impact
on the overall transaction time.
Requirements Page 132 of ITT Version 2.0
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Requirement 712 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Service - design
Card production, personalisation and size must conform to
relevant International Standards Organisation (ISO) and
Association of Payment and Clearing Services (APACS)
standards as detailed within the Benefit Payment Card
technical specification document.
Requirements Page 133 of
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Requirement 713 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Systems - design
Requirement Description:
CMS will renew a Card when the Card has reached the end
of its life expectancy and CAPS has not indicated that no
further Cards are required.
Requirements Page 134 of ITT Version 2.0
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Requirement 714 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Service - design
Renewal Cards must be available for the Authorised Person
in good time, so that the renewal does not impinge upon
the Authorised Persons ability to collect benefits and
there is no impact on DSS offices.
Requirements Page 135 of
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Requirement 715 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMs)
Service - design
Requirement Description:
Replacement Cards must be available for use by the
Authorised Person in time to access their benefits
following notification from the DSS that any of the
Authorised Persons details relating to the Card (Card
type) or details shown on the Card have changed or where
the Authorised Person has reported the Card as lost,
stolen, damaged, or not available.
Requirements Page 136 of ITT Version 2.0
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Requirement 716 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Service - design
CMS will accept a notification from CAPS when a
Authorised Person no longer requires a Card and will send
no further Cards to that Authorised Person. On expiry CMS
must remove the Authorised Persons details from the
operational database in accordance with archiving policy
(x-ref 753).
Requirements Page 137 of
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Requirement 717 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Service - design
When a Card is renewed CMS will invalidate the previous
Card when it expires or when the new Card is activated,
whichever occurs first. Until the old Card is
invalidated, CMS must not allow the new Card to be used.
Requirements Page 138 of
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Requirement 718 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Service - design
The CONTRACTOR will ensure that the issue of initial,
renewal and replacement Cards does not adversely affect
the Authorised Persons ability to collect Authorised
Payments.
Requirements Page 139 of
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Requirement 719 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMs)
Security
Requirement Description:
The CONTRACTOR shall distribute CARDS by secure method(s)
agreed in advance of their use by the DSS and the
CONTRACTOR.
Requirements Page 140 of ITT Version 2.0
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Requirement 720 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Systems - design
Requirement Description:
The CONTRACTOR shall ensure that CMS will record:-
1. Date and time of request received from CAPS to issue a
Card;
2. Date, time, location of production facility,
destination of the Card issued by the CONTRACTOR;
3. Expected date of arrival of the Card at its
destination;
4. Method of Card delivery (if appropriate) ;
5. Card received at the collection location (date, time,
and location received at) if appropriate;
6. Card returned from location,if appropriate and to
include (date, time and reason for return e.g. damaged,
uncollected)
7. Pick Up Notice (PUN) issued if appropriate and to
include (date, time, method of delivery, destined
collection location) ;
8. Card in Authorised Persons possession;
9. Cards incapable of activation and use by the
Authorised Person due to the Card being damaged or
unserviceable on delivery;
10. If the CONTRACTOR intends to use a collection
location, CMS must record the issue of a reminder to the
Authorised Person after (initially but subject to review)
forty (40) days of non-collection of the Card requesting
that they pick up the Card or contact the DSS to inform
them of any change of circumstances.
Requirements Page 141 of ITT Version 2.0
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Requirement 721 Release
No
Programme Benefit Payment Subject
Grouping Service Heading
Requirement Description:
spr 8
DSS Services
(CMS)
Service - design
If the CONTRACTOR intends to use a collection location
for the issue of new or replacement Cards they shall
ensure that Authorised Persons are notified of their
availability.
Requirements Page 142 of
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Requirement 722 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
Card Authentication methods must be positive rather than
negative, resistant to forgery or other unauthorised
manipulation and include a mechanism agreed by the
CONTRACTOR and the DSS for identifying the attempted use
of non genuine and invalid Cards and Temporary Tokens.
Requirements Page 143 of ITT Version 2.0
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Requirement 723 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
Cardholder Verification methods must be resistant to
impersonation and shall include a mechanism agreed by the
CONTRACTOR and DSS for identifying the attempted use of a
Card or Temporary Token by a person other than an
Authorised Person.
Requirements Page 144 of ITT Version 2.0
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Requirement 724 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMs)
Service - design
Requirement Description:
CMS will on request from the DSS, invalidate a Card or
Temporary Token and change and record the new status.
Requirements Page 145 of ITT Version 2.0
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Requirement 725 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR shall automatically and immediately
invalidate a Card or Temporary Token when CMS determines
that it has not been received at the collection location
or home address within three (3) working days of the
expected arrival at that location.
Requirements Page 146 of ITT Version 2.0
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Requirement 726 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR shall automatically and immediately
invalidate a Card if it is not in the Authorised Person's
possession within (initially but subject to review) 56
(fifty six) calendar days of its issue. Temporary Tokens
will be invalidated (initially but subject to review)
seven (7) calendar days from the date of issue.
Requirements Page 147 of
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Requirement 727 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR shall on receipt of the appropriate data,
invalidate a Card or Temporary Token following a report
of loss, theft, destruction or damage beyond use of the
Card or Temporary Token by the Authorised Person or the
Dss.
Requirements Page 148 of ITT Version 2.0
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Requirement 728 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
CMS must be able to monitor the issue, distribution,
collection, usage and status of current or previous
Cards, ensuring that status confirmation is available for
secure and auditable enquiry by all DSS staff at
locations to be agreed by the CONTRACTOR and the DSS, but
as a minimum all DSS offices.
Requirements Page 149 of ITT Version 2.0
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Requirement 730 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Customer services
The CONTRACTOR shall provide a Customer service Help Desk
facility (accessed via a Freephone or low rate call
service), to deal with general enquiries, reports of
loss, damage and theft of Cards from Authorised Persons.
Requirements Page 150 of
Catalogue
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 731 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Interface with BA
staff
Requirement Description:
The CONTRACTOR shall provide secure and auditable access
to CMS to enable authorised DSS staff to notify the
CONTRACTOR of a Card or Temporary Token termination.
Requirements Page 151 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 732 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
In response to enquiries made via CMS, the CONTRACTOR
shall ensure that the service displays as a minimum the
following information: -
* Authorised Persons NINO;
* Card identification number;
* Card status;
* previous Card status and date status changed.
Requirements Page 152 of ITT Version 2.0
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29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 733 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Customer services
Requirement Description:
The CONTRACTOR shall provide a Help Desk function for DSS
staff as defined within the Service Levels and Remedies
Schedule.
Clarification:
The following clarification is provided in relation to
this requirement:
add "and the Service Interface Definition Document" at
the end of sentence
Requirements Page 153 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 736 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Integration of
services
Requirement Description:
The CONTRACTOR shall ensure that a logical separation is
maintained between CMS, PAS and POCL Infrastructure and
have in place a detailed interface specification agreed
between the CONTRACTOR and DSS to support this.
Requirements Page 154 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 740 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR shall ensure that all relevant information
produced at the request of the DSS shall be evidentially
admissible and capable of certification in accordance
with the Police and Criminal Evidence Act. (PACE) 1984 and
the Police and Criminal Evidence [Northern Ireland] Order
1989.
Clarification:
The following clarification is provided in relation to
this requirement:
add "and equivalent legislation covering Scotland". After
Order 1989
Requirements Page 155 of ITT Version 2.0
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RCMERGEI.DOC
POL00028118
POL00028118 _
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 741 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Flexibility -
services
Requirement Description:
CMS will support the payment of existing, new and
additional benefits and any change to existing benefits.
Requirements Page 156 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 742 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Interface with BA
staff
Requirement Description:
The CONTRACTOR shall be aware of the requirements imposed
by the Welsh Language Act 1993 and will ensure that the
CMS has the capability of producing bi-lingual Cards and
collateral material as required for those Authorised
Persons living in Wales.
Requirements Page 157 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 743 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (cms)
Management
information
Requirement Description:
Service Level reports must be received no less then five
(5) working days before regular Service Review meetings.
Reports required for ad hoc meetings will be provided in
agreement with the AUTHORITIES.
Requirements Page 158 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 744 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Management
information
Requirement Description:
Service Level reports must indicate performance against
all service levels detailed in the Service Levels and
Remedies Schedule.
Requirements Page 159 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POLO0028118 _
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 745 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
If the CONTRACTOR intends to use a collection location
for the issue of new or replacement Cards, CMS must
recognise the failure of an Authorised Person to collect
the Card within forty (40) calendar days of issue and
send a reminder note to the Authorised Person advising
them to pick up the Card or contact the DSS.
Requirements Page 160 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 746 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
The CONTRACTOR must have contingency procedures to allow
payments to continue to be made without degradation of
service if any failure occurs with any components of the
Benefits Payment Service (BPS) or any service required to
operate BPS.
Requirements Page 161 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 747 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
All aspects of Card Management including production,
storage, delivery and destruction of Cards must be
secure, auditable and allow the production of audit
trails of all Cards and collateral material.
Requirements Page 162 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 748 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMs)
Service - design
Requirement Description:
The CONTRACTOR must deal directly with Card related
enquiries ensuring that Authorised Persons are provided
with a seamless, one stop service.
Requirements Page 163 of ITT Version 2.0
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RCMERGEI.DOC
AUTHORITIES’ AGREEMENT SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 749 Release
No
Programme Benefit Payment Subject
Grouping Service Heading
Requirement Description:
spr 19
DSS Services
(CMS)
Service - design
The CONTRACTORS Card distribution process must allow for
circumstances where the Authorised Person is unable to
visit a Post Office, DSS office or other office in person
in order to collect their Benefit Payment Card.
Requirements Page 164 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26/29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 750 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMs)
Customer services
Requirement Description:
If the CONTRACTOR intends to use a collection location
for the issue of new or replacement Cards they must have
contingency plans in place for the situation when a valid
Card Pick Up Notice (PUN) is presented at collection
location and there is no valid Card available, or when a
Card is available and the PUN is lost, not received,
stolen etc.
Requirements Page 165 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 751 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Systems - design
Requirement Description:
The CONTRACTOR shall ensure that Authorised Payment
information forwarded from CAPS to PAS is accepted and
available for subsequent encashment from the due date
until the end of the period of validity.
Requirements Page 166 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 752 Release
No
Programme Benefit Payment Subject
Grouping Service Heading
Requirement Description:
spr 8
DSS Services
(PAS)
Service - design
PAS must recognise payments from CAPS that have been
advanced due to a National or Regional holiday (so that
the Post Office clerk and Authorised Person can be
informed) .
Requirements Page 167 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 753 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
CAPS will supply and revise personal details to PAS until
they are no longer required, at which point personal
details must be deleted from the operational database and
archived in accordance with an archiving policy to be
agreed between the CONTRACTOR and the AUTHORITIES (x-ref
716).
Requirements Page 168 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 754 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must support Urgent Payments forwarded from CAPS.
Requirements Page 169 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
AUTHORITIES’ AGREEMENT
SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 755
Release
No
Programme Benefit Payment Subject
Grouping Service
Heading
Requirement Description:
A facility to stop payments authorised must be available
on stop request from CAPS, so that payments so identified
cannot be encashed. Following the receipt of a request,
PAS must notify CAPS of the success or failure of the
stop (x-ref 766).
spr 19
DSS Services
(PAS)
Service - design
Requirements
Catalogue
RCMERGE!.DOC
Page 170 of
ITT Version 2.0
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POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 756 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must accept new or changed personal details provided
through CAPS and take them into account in any subsequent
encashment or enquiry.
Requirements Page 171 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 758 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must recognise different types of payments according
to the timing constraints of the payment (urgent,next day
etc.) as defined in the Service Levels and Remedies
Schedule.
For all payments PAS must recognise four (4) different
types of status:
* stopped payments;
* encashed payments;
* uncashed payments;
a) received but not due;
b) due but not collected and within the
validity period;
* uncollected payments beyond validity period.
Requirements Page 172 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 759 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service
management
Requirement Description:
PAS must support the authentication process to ensure
that valid Cards are accepted and invalid Cards rejected.
Requirements Page 173 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/ 29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 760 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Customer services
Requirement Description:
Following the successful authentication process to
validate the Card, PAS must provide the data to support
verification of Authorised Person's identity. If an
Authorised Person is collecting benefits on behalf of
other Beneficiaries the verification and authentication
checks must only be required once per visit to the Post
Office counter.
Requirements Page 174 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 761 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Security
Requirement Description:
PAS must have the provision to advise the Post Office
clerk of the action to be taken when Card Authentication
or Cardholder Verification checks are not satisfied.
Requirements Page 175 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 762 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must respond to CAPS requests for encashment status
on particular payments, with either the relevant
encashment data or with an indicator that the payments
has not been encashed.
Requirements Page 176 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:08
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 763 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must allow for payment of cash and tokens (e.g milk
tokens) as authorised by CAPS.
Requirements Page 177 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 764 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must support the production of legible receipts with
details as follows: -
* Authorised Person's name and abbreviated NINO;
* Appointee's Name and abbreviated NINO; (if appropriate)
* Name of Permanent Agent and Signing Agent and
abbreviated NINO (if available) (including Casual Agent
if possible.);
* Benefit Payment Description;
* Amount (s) ;
* Signature - (space for signature clearly identifiable) ;
* Time - (numerical 24 hour clock) ;
* Date - (DD/MM/YY);
* Due dates;
* Token Type;
* No.of token(s) ;
* Code of Post Office of payment;
* Predicted due date of next payment;
* Total amount encashed;
* Declaration of Entitlement (combined or otherwise) ;
* Message (subject to physical constraints of receipts
and CAPS);
The receipt must also include the following details
produced externally from PAS;
* Unique encashment transaction identifier;
* Unique Post Office counter clerk transaction
identifier.
Clarification:
The following clarification is provided in relation to
this requirement:
amend first and third bullet points to read:-
* Beneficiary’s name and abbreviated NINO
Requirements Page 178 of ITT Version 2.0
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POL00028118
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AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
* Name and abbrieviated NINO (if available) of Person
collecting payment(s) eg Permanent Agent, Signing Agent,
Casual Agent (if possible)
and in brackets after bullet point "Unique encashment
transaction identifier the following wording":-
(Either this must be the same as that passed back to CAPS
with the encashment confirmation or it must be possible
to cross reference for audit purposes).
Receipts for any Authorised Person receiving a benefit
from a Post Office in Wales can receive a receipt in
Welsh if required (thereby complying with the Welsh
Language Act 1993).
Requirements Page 179 of ITT Version 2.0
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RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 765 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Process -
development
Requirement Description:
PAS must support the process to prompt
the post office
clerk to retain the original signed receipt (together
with any other forms presented) for us by the DSS. The
forms to be accepted are to be agreed between the
CONTRACTOR and the DSS.
Requirements Page 180 of
Catalogue
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 766 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must support the process necessary to allow the
encashment to be terminated before it is completed if the
Authorised Person or DSS so requests (x-ref 755).
Requirements Page 181 of ITT Version 2.0
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29 Feb 96 11:26/29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 767 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must support payment to Authorised (as identified
within the payment data passed from CAPS) and Casual
Agents.
Requirements Page 182 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:08
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 768 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Requirement Description:
Service - design
As a minimum, any conditions which apply to the
Authorised Person or payments made to them will also
apply to a Casual Agent encashment (x-ref 944).
Clarification:
The following clarification is provided in relation to
this requirement:
While procedures for Casual Agent encashment may be more
stringent than current procedures, they must not cause
undue hardship to DSS Customers
Requirements Page 183 of
Catalogue
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 769 Release spr 21
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must support the use of Nominated Post Offices, as
notified by CAPS. Appointees, Alternative Payees and
Permanent Agents will have their own Nominated Post
Office for their Card (if applicable) and payment
collection, distinct from that of the main Authorised
Person.
Requirements Page 184 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 770 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
Foreign Encashments must be limited to (x) in a rolling
(y) week period (where (x) and (y) are parameters to be
provided by the DSS, initially (x)=2 and (y)=26), PAS
must prompt the Post Office clerk to inform the
Authorised Person on the final allowable Foreign
Encashment, of the date of the next allowable Foreign
Encashment (equivalent information to be printed on the
receipt), and that to collect further payments a change
of Post Office is required, or return to the Nominated
Post Office. PAS must not identify the Nominated Post
Office. Social Fund payments must be excluded from the
rule, except where other benefits are encashed at the
same time. Encashment of Temporary Tokens are also
excluded from this rule as they’will have a Post Office
nominated by the DSS at the time of issue.
Clarification:
The following clarification is provided in relation to
this requirement:
When the CONTRACTOR is notified by the AUTHORITY that for
whatever reason the Nominated Post Office is closed the
Authorised Person will be allowed to encash their benefit
at a Post Office other than their Nominated Post Office
and the transaction will not be recorded as a Foreign
Encashment . If the Post Office is closed and the
Authorised Person is subject to a restriction in where
they encash their benefits, the Authorised Person should
be referred to the DSS Office for a contingency Post
Office to be nominated.
Requirements Page 185 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 771 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must restrict encashment to one specific Post
Office's when notified by CAPS to do so. Restriction
will be in respect of an Authorised Person, or any person
collecting benefit on their behalf.
Requirements Page 186 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 772 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must provide for an encashment to proceed in the
event of a Card Read Failure, subject to Card
Authentication and Customer Verification checks being
satisfied.
Requirements Page 187 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 773 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must ensure that encashment confirmation is provided
to CAPS for each Authorised Payment that is collected.
Requirements Page 188 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 774 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
Uncollected payments that have reached the end of their
validity period must be invalidated.
e Requirements Page 189 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT
SCHEDULE Bl
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 776
Release
No
Programme Benefit Payment Subject
Grouping Service
Heading
Requirement Description:
The CONTRACTOR must provide a Help Desk
staff.
spr 8
DSS Services
(PAS)
Service - design
function for Dss
Requirements
Catalogue
RCMERGE!.DOC
Page 190 of
ITT Version 2.0
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POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 778 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
The CONTRACTOR must ensure that any services are able to
interface and exchange information with CAPS.
Requirements Page 191 of ITT Version 2.0
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29 Feb 96 11:26 / 29 Feb 96 22:08
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 779 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Security
Requirement Description:
Integrity of payment details must be maintained to ensure
data is not alterable once transferred from CAPS, except
where specified in requirement 798.
Requirements Page 192 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 780 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service
management
Requirement Description:
Police and Criminal Evidence Act 1984 and PACE(NI) Order
1989 certification must be provided to demonstrate
services were operating within normal parameters at time
of an alleged offence.
Clarification:
The following clarification is provided in relation to
this requirement:
The CONTRACTOR shall ensure that all relevant information
produced at the request of the DSS shall be evidentially
admissible and capable of certification in accordance
with the Police and Criminal Evidence Act (PACE) 1984,
the Police and Criminal Evidence (Northern Ireland) Order
1989 and equivalent legislation covering Scotland.
Requirements Page 193 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 781 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
Any records denoted as sensitive must be treated in
accordance with the Social Security IT Security Standards
document .
Requirements Page 194 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 782 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must provide the facility to allow the Contracting
Authority to identify where and when a card or number of
cards are being used, within two (2) seconds of use.
Clarification:
The following clarification is provided in relation to
this requirement
Where DSS Investigations staff (i.e. BA OFT) require
immediate information on where a specific Card has been
used the CONTRACTOR will allow secure password controlled
access to the PAS helpdesk for the information.
Information to be provided immediately. The number of DSS
staff with the access will be limited and will be for
agreement between the DSS and CONTRACTOR. This facility
would be in addition to any access that may be provided
to DSS staff in general to support payment enquires
(should this be required by the CONTRACTORS solution).
Requirements Page 195 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 783 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Requirement Description:
Service - design
PAS must support payment of existing, new and additional
benefits and any change to existing benefits or frequency
of payments.
Requirements Page 196 of
Catalogue
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ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 785 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Management
information
Requirement Description:
Service Level reports must be received no less than five
(5) working days before regular Service Review meetings.
Reports required for ad hoc meetings will be provided in
agreement with the DSS.
Requirements Page 197 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 786 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service
management
Requirement Description:
Service Level reports must indicate performance against
all service levels detailed in the Service Levels and
Remedies Schedule.
Requirements Page 198 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 787 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
Where an Authorised Person has nominated an Alternative
Payee who may collect specified benefit(s), PAS must
ensure that the payment can also be collected by either
person, but paid only once.
Requirements Page 199 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 788 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Security
Requirement Description:
Where an Authorised Person is collecting payments for
more than one beneficiary PAS must allow the Authorised
Person to select the beneficiary for whom they want to
collect.
Clarification:
The following clarification is provided in relation to
this requirement:
An Appointee for more than one Beneficiary may select the
beneficiary’ they wish to collect for. This requirement
should be cross referenced with requirement 767 and vice
versa
Requirements Page 200 of ITT Version 2.0
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RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 789 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
If the Authorised Person is collecting payments for more
than one Authorised Person i.e. Permanent/Casual Agent
encashments (including potentially himself), PAS must
enforce a separate handover of payment supported by a
separate receipt for each.
Clarification:
The following clarification is provided in relation to
this requirement:
after Authorised Person, amend "i.e" to "e.g"
Requirements Page 201 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 790 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
Where a system failure requires manual keying of a Card
number the CONTRACTOR must provide a system for the
detection of incorrect keying of Card numbers to prevent
the wrong account being accessed.
Requirements Page 202 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 791 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must inform CAPS if an encashment is attempted which
would infringe a restriction to a single Post Office
imposed by the DSS.
Requirements Page 203 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 792 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Customer services
Requirement Description:
The CONTRACTOR shall ensure secure transfer from the Post
Office, and retention at a storage location, of the
signed receipt and any collateral material presented at
the counter to confirm entitlement to benefit and
authority to collect (e.g. Permanent Agent or Casual
Agent). The period of retention must be for a minimum
period of twelve (12) months from delivery at the storage
location. The facility must allow for rapid recovery of
the original receipt plus any collateral material to the
DSS within a timescale to be agreed between the DSS and
the CONTRACTOR.
Requirements Page 204 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 793 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
The CONTRACTOR must ensure that for every payment
encashed there must be a Declaration of Entitlement
signed by the Beneficiary (or, where appropriate the
Appointee or Alternative Payee).
A signature is also required from the Authorised Person
collecting the payment to confirm receipt.
Where appropriate (i.e. it is the same person) a single
signature will serve to confirm entitlement and receipt.
A further signature may be required from the Authorised
Person to authorise collection by a Permanent Agent or
Casual Agent.
Requirements Page 205 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 794 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Customer services
Requirement Description:
Access to PAS can only be achieved within the Post Office
by the use of a valid and genuine Card or a valid and
genuine Temporary Token.
Requirements Page 206 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 795 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must determine the total amount of benefit available
for encashment (based on Requirement 904). The individual
amounts (as supplied by CAPS) and the total must be
shown, to the Post Office clerk.
Requirements Page 207 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 796 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Customer services
Requirement Description:
If no payment is due PAS will prompt the Post Office
clerk to return the Card to the Authorised Person and in
cases of dispute or enquiry advise them to contact the
DSS. In these circumstances if the Authorised Person
requests it, PAS must have the facility to produce a
receipt showing nil entitlement due.
Requirements Page 208 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 797 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service
management
Requirement Description:
As part of the contingency arrangements for failure of
CAPS, PAS must be able to continue payments to Authorised
Persons based on the most recent payment successfully
passed from CAPS. This facility must be enabled only if
and when explicitly requested by the DSS. Such emergency
payment must be for the same payment value and be due on
the “next payment earliest encashment date” as specified
in the last correctly authorised payment from CAPS (but
only if that due date has not passed). For a given
Authorised Person, emergency payments must be limited to
no more than one for each benefit type, unless
specifically requested by DSS.
At the explicit request of the DSS, contingency payments
made on this basis may need to be repeated (using the
appropriate interval between the last correctly
Authorised Payment and the next payment due i.e. weekly,
four weekly etc.)
Clarification:
The following clarification is provided in relation to
this requirement:
line 8 delete wording in brackets beginning (but only if
that due date....)
line 10 change Authorised Person to Beneficiary
Requirements Page 209 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 798 Release spr 8
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service
Management
Requirement Description:
PAS must accept change of Nominated Post Office at the
counter, if required by the Authorised Person(s) (or an
Appointee or legal representative). This change must be
supported by completion of form P80MA or equivalent. This
change must take effect, so that any due payment can be
collected. This facility must not be available to those
restricted to a single Post Office. The Nominated Post
Office can only be changed to that in which the request
is made. PAS must pass the change to CAPS.
Requirements Page 210 of ITT Version 2.0
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RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 799 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
APS Token Issue
Service - design
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.
Requirements Page 211 of
Catalogue
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ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 800 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Serve Customers (A)
EPOSS must support the recording of all transactions
between the customer and the clerk.
EPOSS must allow the selection of a customer session to
allow for:
- normal customer service or,
- a customer refund or,
- a reversal to correct errors in data entry.
EPOSS must uniquely identify a customer session and each
transaction within the balance period.
EPOSS should allow customer session completion in an
ordered fashion. This is required to encourage a 'one
customer one session' rule.
EPOSS must allow a cash tendered facility to calculate
change due to the customer. Use of this feature must be
at the discretion of the user and not forced by EPOSS.
Requirements Page 212 of ITT Version 2.0
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POL00028118
POL00028118
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 801 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Product Styles.
EPOSS must support the current range of business
performed within Outlets that are generically grouped as:
- Value Stock,
- Method of Payment,
- a counter shortage known as a "Loss",
- a counter overage known as a "Gain",
- a Retail sales product
- an inpay supported by a Client voucher (receipt)
- an outpay supported by a Client voucher
(payment)
EPOSS must support the customer transaction by price
type:
- Fixed Price (price fixed to that looked up by
the system) or
- Variable Price (price set by the clerk,
overwriting a default looked up by the
system) .
Variable Price products are of one of two forms:
- Open Price where the clerk will enter the actual
price, If the valid range excludes
zero, the clerk will be forced to change to enter
a non zero price.
- Default Price where the default price is non zero.
The clerk can either accept
this price or can overtype to change it within the
legal range.
Where necessary 'Composite' products will be broken down
and declared at individual denomination level by the
clerk as part of the balancing activity.
Requirements Page 213 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 802 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Value Stock Management
EPOSS must maintain the current stock record for value
stock products and MoPs to reflect the transactions done,
so that if a postal order and the associated fee are sold
for cash the stock of the former is decreased and that of
the cash is increased.
EPOSS must allow compensating errors to be remedied
without the need to perform a reversal or a sale.
Requirements Page 214 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 803 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Data Resilience.
EPOSS must accurately maintain data and avoid recording a
one sided transaction session.
If the OPS is interrupted or fails during a customer
session the system must ensure that data capture is
resiliant and consistent with the need to retain a
balanced status.
Requirements Page 215 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 804 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Transaction Log /Inspection
A journal of all transaction data must be available to
allow the User to refer back to a previous transaction.
EPOSS must provide a transaction log for any balancing
period in the current accounting period by stock unit.
This function maybe used in conjunction with a
transaction reversal where the User need to identify the
unique transaction identification.
The Transaction Log must be readily available for the
resolution of enquiries.
Requirements Page 216 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 805 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Audit/Event Log and Inspection.
EPOSS must maintain a log of activities attempted and
actioned at stock unit level.
EPOSS must provide an Audit/Event Log for any balancing
period in the current accounting period by stock unit.
EPOSS must provide a facility to allow the User to
inspect activities on the stock unit within the
accounting period so that for example all attempts to
access a stock unit can be detected.
The Audit/Event Log must be readily available for the
resolution of enquiries.
Requirements Page 217 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl
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POLO0028118
RESTRICTED CONTRACTS
Requirement 806
Programme POCL
Grouping Applications
Requirement Description:
EPOSS - Set Date and Time
Release
No
Subject
Heading
spr 9
POCL Applications
(EPOSS)
Service - design
Maintain the date and time as accurate within EPOSS and
remain instep with the GMT and BST.
Requirements Page 218 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 807 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Transfers between Stock Units.
EPOSS must allow and record the movements of value stock
products and MoPs into and out of stock units within the
same office.
Allow a transfer event for one or more value stock
products and/or MoPs.
The data should be entered in a transaction set similar
to a customer session except that the session total comes
to the transfer total rather than to zero.
The system adjusts product stock levels when the data
entry session is complete so that the "Balance" of the
system is maintained.
Each transfer is entered to the current balance period
for the stock unit.
Requirements Page 219 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 808 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Office balance
EPOSS must provide a facility to reconcile non value
items with unique serial numbers.
Reconciliation will be by volume initially and by stock
unit as:
- number on hand at the start of the outlet
accounting period (plus)
- number received (equals)
- number on hand at close of outlet accounting
period (plus)
- number issued/spoilt/returned.
EPOSS must provide a suspense account facility where
items that cannot be cleared operationally during one
outlet accounting period can be identified and carried
forward to the next.
EPOSS must provide an on demand office balance report to
a POCL agreed format that will provide a snap shot of
Outlet position with the current outlet accounting
period.
Requirements Page 220 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 809
Programme POCL
Grouping Applications
Requirement Description:
EPOSS - Customer Session
Within a customer session
Release
No
Subject
Heading
maintain:
spr 9
POCL Applications
(EPOSS)
Service - design
- a running record of all transactions performed
- the current balance
- the accounting sense
- settlement details.
(pay out/take in)
Multiple transactions for the same customer must be
logically grouped into a single customer session.
Requirements Page 221 of
Catalogue
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ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 810 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Transaction Rules
EPOSS will allow the refund or reversal of a transaction
with access maintained at user level. Note that certain
transactions may not be refundable or reversible to
comply with Client and POCL accounting and business
rules.
EPOSS must be able to validate against reference data.
For example price look up and Client parameters.
Provide the ability to ‘rate shop’ against a value input
for a fixed price product.
Requirements Page 222 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl
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RESTRICTED CONTRACTS
Requirement 811 Release
No
Programme POCL Subject
Grouping Applications Heading
Requirement Description:
EPOSS - Data transmission
spr 9
POCL Applications
(EPOSS)
Service - design
EPOSS must allow the facility for all recorded
information to be passed to TMS or other authorised
remote location.
EPOSS must be flexible enough to support the introduction
of new Client services in an integrated manner and
thereby ensure that any new product is event driven and
that EPOSS is automatically updated.
Requirements Page 223 of
Catalogue
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 812 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Transaction Reversal
EPOSS must allow a reversal transactions for customer
service and transfers either within the Outlet or toa
remote location.
Reversal transactions may be entered for normal
transactions (but not for reversal transactions) as
follows:
Only for customer service transactions which are not part
of other services e.g. BES or APS or disallowed in
reference data.
All such reversals need not correspond to a particular
transaction on the transaction log, which allows for
correction of bulk figures where the requirement is to
get the totals right but the detail is not critical.
Requirements Page 224 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 813 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Revaluation of Value Stock.
EPOSS must allow revaluation of fixed price value stock
products and MoPs when the price changes.
While price changes would not normally apply to MOPs, the
possibility is allowed 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 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 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 must allow efficient revaluation of multiple value
stock products of the same generic type e.g. postal order
fees.
EPOSS must ensure that only allowable value stock
products can be accessed.
Requirements Page 225 of ITT Version 2.0
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AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 814 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Enter Cash on Hand
EPOSS must provide a function to enter to the system the
value of cash held in the stock unit by denomination for
two distinct purposes:
- as part of the cash flow
reporting process;
- as part of the stock unit
balancing process.
The declaration screen may be shared by both activities
to avoid unnecessary duplication when balancing.
As part of the cash flow/balancing reporting process:
= at any time but normally
daily as part of the end of day activity
- enter by cash value for each
denomination and total value
declared (validate each
field entry as an integer
The total entered is used in the stock unit balance
report and the difference between this total and the
system figure for the "Cash" MoP stock value will
generate a loss or gain.
The system stock value for the "Cash" MoP 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.
A zero cash holding is declared by using the function in
the normal way and confirming zero entries.
EPOSS must 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
Requirements Page 226 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
including offices that shut on Saturdays etc.
In offices that 'Team Work' allow cash declaration across
all the tills that contribute to the stock unit position.
Requirements Page 227 of
ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 815 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Process Dormant Stock Units
EPOSS must allow a function to bring unused stock units
(and their stock unit information) forward into the next
Outlet Accounting Period.
A dormant stock unit is one for which no activity has
taken place since its last final balance.
This function 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
OAP.
The co-ordination of this activity is under the control
of the office manager.
Requirements Page 228 of ITT Version 2.0
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POL00028118
POL00028118
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Requirement 816 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Audit
EPOSS must maintain/retrieve and review (but not amend) a
complete set of outlet records for a rolling period of 18
months.
All record retrieval must be packaged in weekly batches
as a complete outlet accounting period cycle.
Outlet enquiries will centre upon activities performed in
the recent past (16 weeks for POID) and therefore records
must be made available - say at 24 hours notice. Outlets
will have need of more recent record retrieval on demand,
for the previous 2 complete outlet accounting periods.
EPOSS must record all events and data entries including
fallback and recovery actions. Require entry of user
identity and password to access the system.
Action each facility with a user authority level (clerk,
supervisor, manager). Provide reasonable safeguards
against accidental or deliberate access by other than the
normal means to software or data.
Within an Outlet there should be a facility to maintain
and allocate a user access and privilege level log.
Requirements Page 229 of ITT Version 2.0
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Requirement 817 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Discounting
«
EPOSS must allow discounting for all discountable
products. A list of discountable products will be
maintained in reference data.
EPOSS must allow discount by an entered percentage for
the last transaction or for all discountable product
transactions in the customer session.
EPOSS must allow discount by an entered value for the
last transaction or for all discountable product
transactions in the customer session.
Requirements Page 230 of ITT Version 2.0
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Requirement 818 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Reference Data
EPOSS*must provide a facility to update reference data
files with reference data supplied from TIP. It must be
possible for a date and time stamp to be applied to
reference data to facilitate timely price changing.
The reference data content must be available as a locally
produced report. Changes made in reference data should be
presented clearly. The changes must be brought to the
attention of the local Outlet by electronic means.
EPOSS must maintain other reference data. This will
depend upon the design but will include parameters for
products, product groups and subgroups, external transfer
sources and destinations. Various formatted outputs
including the cash account and the cash flow report.
Changes to the product range and the internal reporting
structure within current principles should possible by
reference data rather than software.
EPOSS should check consistency, reporting errors, warning
of non critical and preventing critical errors. Refuse
deletions if there is dependent business data. Pass
reference data to the counter terminals. Check reference
data consistency and report exceptions.
Requirements Page 231 of ITT Version 2.0
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Requirement 819 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - The Outlet Trial/Final Cash Account
EPOSS*must sustain a dynamic set of cash account tables
that will allow Outlets to introduce additional
reporting lines as new products are introduced within the
Business. It should be noted that more than one cash
account format must be supported and currently there are
three in use - London, Provincial and CRU and there are
validation rules that could be applied to individual line
entries as some are unique to certain types of outlets.
A printed format that allowed reference data product
mapping through to the appropriate line(s) would be
advantageous.
EPOSS must provide a facility to assign cash account
details including week end date and week number. The
association of period to number is controlled and
sanctioned yearly. However under certain authorised
circumstances an authorised Outlet may produce one cash
account to span a 2/3 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 will be one of either:
- the week in which the transaction took
place or;
- the final week in when the cash account
is produced.
EPOSS must (initially) support the production of the cash
account in two formats - printed and electronic.
There is a requirement for the printed copy cash accounts
to include a 2D bar code.
There should be a facility to allow users to produce
trial office cash accounts.
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EPOSS needs a facility to move forward into the next
outlet accounting period once a final cash account has
been produced.
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Requirement 820 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Fallback and Recovery
EPOSS*shall provide a means of controlling user access to
its data, processes, and functions.
EPOSS shall provide fallback facilities for situations
where the user cannot use the OPS for any reason.
These facilities shall maintain the integrity, security
and levels of customer service’ consistent with the need
to maintain trading.
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.
EPOSS must allow the backing up of stock unit and Outlet
data in order to maintain confidence in the ability to
return to a recent known position for fallback and
recovery. There are also strategic times within the cash
account cycle (pre/post cash account roll over) when
local control is desirable.
EPOSS must allow recovery of data to a known recent
position. This may include both the Outlet and
individual stock unit data where this is necessary to
maintain system integrity. 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 must ensure that the committal process for a
transaction is robust and consistent across all
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transaction types so that an interruption will/should
not result in an unrecoverable systems error.
EPOSS must ensure that in the event of a system failure,
recovery can be performed from a known position and with
the minimum of disruption to the user. Data re-entry
must be minimal where previously committed transactions
have to be re-entered.
&
EPOSS must warn the user where there is the possibility
of working with a corrupt data set.
Requirements Page 235 of ITT Version 2.0
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Requirement 821 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
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);
or
(c) modifying specific transactions,
where allowed, for specific Outlets.
(d) 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 OPS.
Requirements Page 236 of ITT Version 2.0
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Requirement 822 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Inventory Management
a
EPOSS must support IM and allow the ordering, receiving
and despatching of goods by consignment. EPOSS must
allow for the replenishment and/or return of money, value
stock and security stock products as managed by the POCL
Inventory Management System.
The main thrust of IM is that by means of a daily
declaration of monies in hand, electronic sales gathering
and a weekly declaration of value stock (along with other
stock items) IM will be made aware of the replenishment
needs of each Outlet.
EPOSS will be required to maintain accountability within
a stock unit by recording details of these external
transfers.
Within EPOSS the Outlet will order goods at product level
supported by a locally generated order note and ‘a
required by' delivery date. The Outlet will in turn then
receive through the IM system confirmation of the order
from the Warehouse along with the consignment order
number and the proposed despatch date.
When the goods are received into the Outlet, the
supporting documentation relating to the goods will be
reconciled with the system held order details and
accepted into the Outlet as a remittance. The remittance
activity will be recorded within a stock unit and the
value stock/monies fields incremented accordingly.
EPOSS will receive stock adjustments messages from IM at
office level for checking, confirming and noting within
EPOSS. Such messages will be advisory (as by their nature
they are retrospective) as the Outlet will have
previously performed any necessary stock adjustments as
part of the weekly balancing activity.
Requirements Page 237 of ITT Version 2.0
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Requirements Page 238 of ITT Version 2.0
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Requirement 823 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS - Data Management
Es
Ensure that all EPOSS transaction and process data
captured through EPOSS are available to
any Service delivered through the medium of the OPS and
agreed with POCL as requiring
access to data.
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.
Requirements Page 239 of ITT Version 2.0
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Requirement 824 Release spr 9
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Requirement Description:
EPOSS_- Weighing Scales
*
Service - design
EPOSS must 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 counter terminal will request the scales only when
needed and can only proceed with the scales associated
service if the scales accepts its request. The counter
terminal will release the scales as soon as it has
finished with it.
Requirements Page 240 of
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Requirement 825 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
Serve Customer (B)
«
Provide an EPOSS function to record all sales.
EPOSS must be event driven so that both data capture and
the recording of services such as BES and APS are
dynamic.
All counter transactions are to be maintained within a
session.
Data should be automatically recorded in EPOSS if
captured during another service e.g. BES, APS or OBCS.
Multiple transactions for the same customer must be
logically grouped into a single customer session.
Within a customer session maintain:
- a running record of all transactions
performed;
- the current balance;
- the accounting sense (pay out/take
ini) z
o settlement details.
EPOSS must accept single or multiple methods of payment
as settlement.
EPOSS must allow the implementation of new methods of
payment including EFTPOSS and Debit Cards.
EPOSS must allow a customer session to be suspended and
then recalled for completion at a later date. In between
the clerk must be able to continue to enter and complete
further sessions as required.
Provide a "Void" facility. Note that Client and POCL
acounting and business rules may prohibit use of "Void"
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for certain transactions
EPOSS will allow the refund or reversal of a transaction
with access maintained at user level. Note that certain
transactions may not be refundable or reversible to
comply with Client and POCL accounting and business
rules.
Some POCL products are linked and must remain so within
customer service, including for refund/reversal or
voiding purposes. In most cases the link is a coupling
although not exclusively so, for example a Postal Order
of £1.00 is associated with a fee product of £0.25 pence.
As part of this linkage it should be noted that items
with no current price may be re-classified as value stock
items e.g. tax discs.
EPOSS must have the facility to read data from a variety
of media such as, tokens, keyboard, electronic scales,
bar codes and to add functionality to capture data from
other approved peripheral devices.
EPOSS must allow the input of weight values where scales
are not linked.
EPOSS must be flexible enough to support the introduction
of new Client services in an integrated manner and
thereby ensure that any new product is event driven and
that EPOSS is automatically updated.
Requirements Page 242 of ITT Version 2.0
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Requirement 826 Release spr 9
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Flexibility -
systems
Requirement Description:
Requirement
Future flexibility - sharing of specialist peripherals.
It is likely that, in due course, specialist
peripherals will need to be connected to OPS in such a
way that they can be accessed by two or more terminals. A
possible example would be parcel scales. Generically OPS
must be able to support this type of connection.
In such a case it must be possible to restrict access
to a subset of the terminals in the outlet.
Requirements Page 243 of ITT Version 2.0
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Requirement 827 Release spr 9
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Flexibility -
systems
Requirement Description:
Requirement
Ability to maintain authorisation data.
It is likely that, in due course, re-engineered POCL
products will require specific authorisation, either
through access to a computer system external to the
services provided or within the services provided.
1. The supplier must confirm that the solution can be
developed to support the maintenance and use of
- stop lists
- go lists
- other authorisation types.
2. The supplier must confirm that the solution will
support authorisations through access to external
computer systems.
Requirements Page 244 of ITT Version 2.0
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Requirement 828 Release spr 10
No
Programme General Subject General
Grouping Heading
Security
Requirement Description:
Data Security
a
The confidentiality, integrity, validity and completeness
of data must be maintained throughout all storage,
processes and transmissions, including during periods of
service failure and recovery from service failure.
Clarification; The CONTRACTOR must ensure that all data
passed from PAS and CMS to CAPS will adhere to the
current DSS Business Data Standards Document and any
future amendments.
Requirements Page 245 of ITT Version 2.0
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Requirement 829 Release spr 10
No
Programme General Subject General
Grouping Heading
Security
Requirement Description:
Prosecution support
a
The CONTRACTOR shall ensure that all relevant information
produced at the request of the AUTHORITIES shall be
evidentially admissible and capable of certification in
accordance with the Police and Criminal Evidence Act
(PACE) 1984 and the Police and Criminal Evidence
(Northern Ireland) Order 1989.
At the direction of the AUTHORITIES, audit trail and
other information necessary to support live
investigations and prosecutions must be retained for the
duration of the investigation and prosecution
irrespective of the normal retention period of that
information.
Clarification:
The following clarification is provided in relation to
the first paragraph of this requirement:
‘relevant information' should also be evidentially
admissible and capable of certification in accordance
with relevant Scottish legislation
Requirements Page 246 of ITT Version 2.0
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Requirement 830 Release spr 10
No
Programme General Subject General
Grouping Heading
Security
Requirement Description:
Contingency
*
The CONTRACTOR must describe the contingency arrangements
that will be used to ensure continuity of service to the
AUTHORITIES. The arrangements must consider the impact of
failures affecting the AUTHORITIES' other systems that
connect to the contractor's services.
Clarification:
The following clarification is provided in relation to
this requirement:
Contingency Plans:
1. The CONTRACTOR will ensure that all services are
supported by Contingency Plans including Fallback
Transactions that will minimise or negate the impact of
failure in any part of the services.
2. The CONTRACTOR will ensure that the Contingency Plans
for each service are compatible with an overall Service
Continuity framework.
3. The Contingency Plans will be based on Impact and
Risk Assessments agreed between the CONTRACTOR and the
AUTHORITIES
4. Ownership of all contingency actions will be
identified.
5. The Contingency Plans will include activation
Procedures and time periods within which the contingency
measures will be activated.
6. The Contingency Plans will include a testing strategy
with two distinct parts:
Requirements Page 247 of ITT Version 2.0
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6.1 Initial testing on implementation and deployment
6.2 Regular testing
7. The Contingency Plans will include without limitation
the following:
Prevention measures
Preparedness measures
Contingency measures
Recovery of normal service
Change control procedures
Contact lists
Service levels - the CONTRACTOR will be liable as
per Service level agreements
NNNNVNNNN
NOQOUAWNHH
8. The Contingency Plans will be subject to joint review
by the CONTRACTOR and AUTHORITIES
Requirements Page 248 of ITT Version 2.0
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Requirement 831 Release spr 10
No
Programme End to End Subject Interfaces
Grouping Service Heading
Integration of
services
Requirement Description:
POCL INTERFACES
The CONTRACTOR will support the interfaces between POCL
systems and Service components as defined in the POCL
Interfaces document which is maintained under change
control by POCL. These will include:
1. Inventory Management (IM) system interfaces to/from
Outlets via TMS
2. Transaction Information Processing (TIP) system
interfaces to/from TMS and Outlets
3. Interfaces between Outlets, TMS and POCL clients
4. 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
agreed and specified on an individual client basis
by POCL.
The POCL interfaces document is intended to 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
A draft version of this document is made available to
show current POCL thinking.
The POCL interfaces document does not cover further
potential interfaces in respect of:
- EFTPOS
- benefit receipt / declaration storage facilities
Requirements Page 249 of ITT Version 2.0
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- reconciliation and exception reporting
- operational management information
- performance monitoring
- inspection of transaction
and security purposes
- transitional arrangements
automated payments / ALPS
- transitional arrangements
account processing'
and event logs for audit
in relation to the
host
in relation to 'cash
The detailed format of all interfaces must be agreed with
POCL.
The specification details will
be subject to refinement
while the TIP and IM systems in particular are being
defined.
Requirements Page 250 of ITT Version 2.0
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Requirement 832 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Process -
development
Requirement Description:
EPOSS*Business Processes
The overall business processes following the automation
of transaction processing at the counter are to ensure
that:
- the capture of data at the Outlet is complete,
accurate and robust e.g. a unique
reference per transaction;
- any transfer of data is secure, complete, accurate
and robust;
- whether on line or off line the service must be
capable of validating transactions
by format and value;
- in the event of fraud it can be proved that the
service was operating without defect;
- for specific transactions receipts are automatically
generated for customers
and a copy retained in the Outlet to allow recovery
or problem resolution;
- 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;
- the access control system allows segregation of
responsibilities and a log of users
and the functions to which they have access must be
available to Outlet managers;
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- a back up of all transactions is taken each day;
- operator and device are uniquely identified within
each Outlet;
= data should undergo a balancing procedure to enable
a final review and authorisation;
- all transactions are collected using a secure method
at the earliest opportunity;
- transactions not collected from previous days are
clearly identifiable;
- 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;
~ maintain an up to date record of cash and stock on
hand for audit purposes
and be capable of reporting current balances;
= all transfers to and from other Outlets and between
staff are clearly recorded;
- all specified summaries are produced automatically
when required and
all transactions are included since the last summary
was completed;
- items posted to suspense accounts can be identified
for future investigation;
- information to show compliance with the relevant
legislation, e.g. Health
and Safety, Data Protection Act, Companies Act;
- an Outlet must be able to continue operating and to
maintain an audit trail in
the event of system failure.
Requirements Page 252 of ITT Version 2.0
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Requirement 833 Release spr 10
No :
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Training
Requirement Description:
EPOSS - Training Mode
#
EPOSS should provide a: training mode to allow
familiarisation with the package and must operate in such
a way as to preclude any corruption of live data.
Requirements Page 253 of ITT Version 2.0
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Requirement 834 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
Transitional / Contingency Arrangements
a
The service provider must ensure that adequate
contingency arrangements are available for all Outlets
both during and after roll-out.
Due consideration needs to be given to the implementation
plan for parent and satellite offices.
To provide adequate contingency cover during and after
roll-out, each automated Outlet must be capable of
producing plain summaries to a format agreed with POCL.
The outlet platform at every office must be capable of
printing a 2 dimensional bar-code on any plain paper
summary.
Requirements Page 254 of ITT Version 2.0
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Requirement 835 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Systems - design
Requirement Description:
EPOSS Related
&
Benefits encashment and other automated transactions must
be integrated with the transaction recording elements of
EPOSS such that:
- there is no necessity to seperately notify
the EPOSS system of the transaction;
- there is a single transaction record created
and stored locally to provide the
basis for office summarisation and balancing
and transaction level data transfer;
= transaction records created and stored
locally must be entirely consistant with
any data transferred at the time of the
transaction to PAS or other systems;
- transaction times are kept to a minimum.
EPOSS must be capable of providing summaries of any type
of transaction for comparison with physical records
contained within the office. For example the system must
be able to:
- summarise the quantity of tax discs on hand;
- summarise the quantity of milk tokens on
hand;
- list and total cheques accepted by value;
= list and total benefits transactions made
via BES for comparison against physical
records (office copy of receipts) .
As transactions become automated the relevant summaries
should be enhanced to include details of items issued/on
hand, by individual serial number.
Requirements Page 255 of ITT Version 2.0
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Requirement 836 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service -
development
Requirement Description:
Service Development
PostShops are equipped with EPOSS terminal - CRISP
(Counters Retail Information Systems in PostShops) which
is a stand alone system, but POCL would be interested in
integration options.
Where an Agent of the Post Office may in future use the
counter infrastructure (e.g. EPOS) for his own business,
it will be necessary to identify the transactions
seperately from Post Office work, in particular for
financial accounting.
Automation of transaction processing at the counter - the
following information must be captured:
= value of each transaction
= volumes of transactions
- a unique code for each product so that detailed
information can be made available
across all Clients (e.g. breakdown by denomination
of Royal Mail stamps sold)
- source (e.g. outlet , clerk and till idntification)
- 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)
- method of payment
- date and time of the transaction.
The counter application will require the ability to add
further applications to the service. Service Providers
should be willing to integrate and operate these via the
service agreeement, provided that there are no valid
technical reasons that preclude their inclusion in the
service.
Requirements Page 256 of ITT Version 2.0
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Requirements Page 257 of ITT Version 2.0
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POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 837 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service - design
Requirement Description:
EPOSS Reporting
&
EPOSS must support the production of a variety of reports
in pre-defined formats as:
- transaction level reports by stock unit for Clients
using pre-printed cut sheets
(client stationery) ;
- transaction level reports by stock unit for Clients
printed on plain paper;
- reports on the current level of value stock
products at stock item level;
- reports on transaction volumes and values;
- cash account reports;
- reconciliation reports for non-value stock items
e.g. Milk Tokens, Tax Discs;
- reports on transfers of cash and value stock;
- ad-hoc reports for management information purposes.
Reports can be produced at the users discretion, subject
to POCL and Client rules on frequency of despatch and
designed accounting periods. Client reports are produed
on a daily or weekly basis. Where operationally
appropriate, several weekly reports may be produced
during an accounting period.
Requirements Page 258 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 838 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Management
information
Requirement Description:
EPOSS*- General
EPOSS must 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 does not impact on the Outlet
balance e.g. non value items, value recorded for
information only.
EPOSS must also support the input of data for local
schemes where the value is not recorded for accounting
purposes but the volume is.
Requirements Page 259 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 839 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Requirement Description:
EPOSS Retail Functionality
a
Service - design
EPOSS must provide the point of sale retail functionality
in use in PostShops.
This includes, but is not restricted to:
- till functionality;
- discounting;
- coupon management;
- multibuys;
- promotions;
- marketing;
- reporting.
Requirements Page 260 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 840 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
The Benefits Encashment Service must support the facility
to check the validity of a card and to verify the
identity of the customer presenting the card.
Requirements Page 261 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 841 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
A signature is required to confirm receipt of benefit and
entitlement, verification of an Authorised Person will
only be required once per visit.
Requirements Page 262 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26/ 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 842 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will operate the Cardholder Verification Methods as
required to enable the identity of an authorised person
to be verified. [e.g. if the POCL clerk is suspicious.]
Requirements Page 263 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 843 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will prompt the counter clerk to impound the Card
when necessary, eg on instructions from PAS in line with
the contractors proposals to be agreed with the
contacting authorities.
Requirements Page 264 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 844 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
BES will present relevant payment information to enable
the customer to encash their entitlements as instructed
by PAS.
Requirements Page 265 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 845 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will allow the POCL clerk to terminate the
transaction before the encashment procedure is complete,
if the authorised person so requests, and subject to
appropriate security standards.
Requirements Page 266 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 846 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
BES will forward confirmation of every encashment of
authorised benefits to PAS and TIP via TMS.
Requirements Page 267 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 847 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
At the end of the transaction BES will prompt the POCL
clerk,to confirm the transaction has been completed
successfully including the retention of the signed top
copy of the receipt and issuing a copy to the authorised
person.
Requirements Page 268 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 848 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will enable customer to encash their benefit
entitlement when due.
Requirements Page 269 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 849 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will enable customers to receive payments away from
their’Nominated Post Office in accordance with guidelines
laid down by the contracting authorities [currently
proposed as (2 in a 26) week period] and must be
adaptable to meet any changes to those.
Foreign encashments must be limited to (x) in a rolling
(y) week period (where (x) and (y) are parameters to be
provided by the Contracting Authority, initially (x) = 2
and (y) = 26).
Requirements Page 270 of ITT Version 2.0
Catalogue
29 Feb 96 11:26/29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 850 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
BES will facilitate the batching, filing and dispatch of
signed receipts, plus any associated froms, within POCL
locations.
Requirements Page 271 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 851 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
The encashment information provided to PAS from the
outlet must be identical to the information recorded on
the outlet transaction file.
Requirements Page 272 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 852 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
Back up systems will be in place to ensure continued
payments of benefits on failure, for any reason, of all
or any elements of BES.
Requirements Page 273 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 853 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
Auditable recovery of benefit data will be provided in
the event of a failure of a service used by BES [e.g.
OPS].
Requirements Page 274 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 854 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
Arithmetic checks should be made by BES to ensure that
the sum of the individual encashment amounts equal the
total encashment figure.
Requirements Page 275 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 855 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Security
Requirement Description:
The PO clerk must not be able to manipulate data to and
from PAS. E.g. the authorised amount due for each
individual benefit.
Requirements Page 276 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 856 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
Systems and procedures will be in place to allow
encashment to proceed if a Card Read Failure occurs.
Requirements Page 277 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 857 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Interface with
PAS
Requirement Description:
Requests for confirmation of a benefit transaction from
the outlet to PAS must include data specified by the
AUTHORITIES.
Requirements Page 278 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 858 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Interface with
PAS
Requirement Description:
BES will have the facility to advise the POCL clerk with
a message in the event of an attempted foreign encashment
in accordance with information from PAS. It will not
identify the Nominated Post Office to them.
Requirements Page 279 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 859 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Interface with
PAS
Requirement Description:
Encashment details from the outlet to PAS must include
data specified by the Contracting Authorities.
Requirements Page 280 of
ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 860 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Supporting
services
Requirement Description:
Help desk facilities will be available.
Requirements Page 281 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 861 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
BES will enable an Alternative Payee arrangement to
operate where specified by the DSS.
Requirements Page 282 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 862 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
If no payment is due BES will prompt the POCL clerk to
return the Card to the Authorised Person and in cases of
dispute or enquiry advise them to contact their local
Benefit Office
Requirements Page 283 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
AUTHORITIES’ AGREEMENT SCHEDULE Bl
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 863
Programme POCL
Grouping Applications
Requirement Description:
Release
No
Subject
Heading
spr 10
POCL Applications
(BES)
Service - design
BES can only be accessed by a genuine and valid Benefit
Payment Card or genuine and valid Temporary Token.
Requirements Page 284 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 /29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 864 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Interface with
PAS
Requirement Description:
BES will only permit encashment in-line with authorised
payment details from PAS.
Requirements Page 285 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 865 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will enable benefits to be encashed on behalf of
authorised customers by:- casual agents; permanent
agent's; appointees.
Requirements Page 286 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 866 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Interface with
PAS
Requirement Description:
BES will identify customers requiring milk /other tokens,
from the information provided by PAS, specify the number
to be issued and enable the issue of tokens to be
recorded via EPOS.
Requirements Page 287 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 867 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will allow customers to make changes to their
nominated Post Office.
Requirements Page 288 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 868 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Customer
interface
Requirement Description:
Customer enquiries in post offices about the Benefit
Payment Service should be minimised i.e. BES should be
designed in a flexible way so as changes can be readily
made to reduce the number of enquiries.
Requirements Page 289 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 869 Release spr 10
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(SLA)
Service levels
Requirement Description:
Transaction Monitoring System (TMS) service levels.
1. BA/POCL are not concerned with the performance of
individual sub-systems per se. The primary concern is
with the overall performance of the service as it impacts
upon the their own systems, clients, staff, agents and
customers. Targets for the level of internal performance
between Service Provider’s sub-systems will therefore
not be set by BA/POCL. However internal sub-system
performance will be judged by BA/POCL as it affects
overall service performance.
2. Service Providers must specify the internal
performance requirements of any sub-system that
potentially may be re-tendered. Service providers will
therefore need to maintain and report actual measured
performance for TMS as it interfaces to other subsystems.
3. For the TMS Service Providers must specify the
performance requirements and tolerances for:
3.1 hours of operation of TMS
3.2 response time required between TMS and
3.2.1 PAS
3.2.2 CMS
3.2.3 OPS
3.2 the number of outages of TMS, identifying types of
outages monitored
3.3 the availability of TMS
4. Service Providers must report against all performance
requirements identified in section 3 above.
5.Service Providers must maintain detailed technical
documentation of the interfaces from TMS to PAS, CMS, OPS
and all attachable computer systems. In the event of
changes to any interface to TMS, this must be notified to
and agreed with BA/POCL in advance, with updates to the
technical documentation being provided within 10 working
days of the change being implemented.
Requirements Page 290 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 870 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Service levels
Requirement Description:
EPOSS - transaction times
res The EPOSS system must not slow down the activity of
the counter clerk in serving customers and as such each
transaction in EPOSS must be designed to minimise the
number of key depressions (or other clerk interaction
with peripheral devices). In all cases the system
response to any peripheral input must be instantaneous.
2. Summarisation and balancing activities, including
processing and printing, must be optimised and avoid re-
processing when data is changed during accounting.
3. The supplier must identify technical measures which
will relate to the transaction times identified in
sections land 2 above and monitor these measures and
report against them. The measures must be capable of
identifying trends in transaction times and in
identifying specific outlets where transaction times are
significantly better or worse than the average.
4. For each outlet where the overall transaction times
are more than 10% greater than the average the supplier
must agree a remedy with BA/POCL.
Requirements Page 291 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 871 Release spr 10
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (SLA)
Service levels
Requirement Description:
EPOSS - general service levels
1. EPOSS must 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. If one days worth of updates
have not been applied then the version is deemed 1 day
behind and so on.
On any business day:
95 % of outlets must be referencing a version which is
fully updated
99% of outlets must be referencing a version which is
no more than 1 day behind.
100% of outlets must be referencing a version which is
no more than 2 days behind.
2. Transaction data must normally be forwarded to POCL
central systems (e.g. TIP) soon after the completion of
the business day on which the transaction occurred as
part of a batch transmission. Transaction data not
available for the next batch transmission must be include
in a subsequent transmission.
Data which is included in the first batch transmission
to take place after the time of the transaction is deemed
to be in the first batch transmission and so on.
Transaction data from the outlets must reach the POCL
central computer system(s) as follows: -
the data from 90% of outlets must reach within the
first batch transmission
the data from 98% of outlets must reach within the
first or second batch transmissions
the data from 100% of outlets must reach within the
first, second or third batch transmissions
Requirements Page 292 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
3. Batch transmission times will be agreed for each POCL
central system, but will not be scheduled to complete
before 04.30. For each system primary and secondary
transmission windows will be agreed.
For each client
99% of all transmissions must complete within the
primary transmission window
100% of all transmissions must complete within the
primary or secondary transmission window.
Requirements Page 293 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 872 Release spr 11
No
Programme General Subject General
Grouping Heading
Security
Requirement Description:
Nationally Sensitive Cases
#
Cases marked as Nationally Sensitive must be handled in
accordance with the current version of the DSS IT
Security Standards.
Requirements Page 294 of
Catalogue
RCMERGE!.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 873 Release apr 12
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Flexibility -
services
Requirement Description:
BES must be flexible and, without impinging the agreed
serviGe and security levels, the designed solution must
be capable of introducing and supporting outpayment
services for other Post Office Counters clients.
Requirements Page 295 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 874 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
When a terminated card is presented, BES will prompt the
counter clerk to take appropriate action.
&
Requirements Page 296 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
AUTHORITIES’ AGREEMENT SCHEDULE B1
POL00028118
POL00028118
RESTRICTED CONTRACTS
Requirement 875 Release
No
Programme POCL Subject
Grouping Applications Heading
Requirement Description:
spr 11
POCL Applications
(BES)
Service - design
BES will prompt the counter clerk to impound the
temporary token when necessary, e.g. on instruction from
PAS in line with the contractors proposals to be agreed
with the contracting authorities.
Requirements Page 297 of
Catalogue
RCMERGEI.DOC
ITT Version 2.0
29 Feb 96 11:26 / 29 Feb 96 22:20
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 876 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Flexibility -
services
Requirement Description:
BES should be flexible and provide the facility to
support the encashment of new benefits or changes to
existing benefits with the minimum disruption and cost.
Requirements Page 298 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 877 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES must provide, or be linked to, a token management
system which is capable of being used for Benefit or
other POCL clients and which will allow card receipt and
card issue to be managed effectively.
Requirements Page 299 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 877 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES must provide, or be linked to, a token management
system which is capable of being used for Benefit or
other POCL clients and which will allow card receipt and
card issue to be managed effectively.
Requirements Page 300 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 / 29 Feb 96 22:20
RCMERGE!.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE Bl RESTRICTED CONTRACTS
Requirement 878 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Integration of
services
Requirement Description:
Benefits encashment transactions must be integrated with
the transaction recording elements of EPOSS. (See
Requirement No 835).
Requirements Page 301 of ITT Version 2.0
Catalogue
29 Feb 96 11:26 /29 Feb 96 22:08
RCMERGEI.DOC
POL00028118
POL00028118
AUTHORITIES’ AGREEMENT SCHEDULE B1 RESTRICTED CONTRACTS
Requirement 879 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
All foreign encashments must be identified as such in the
single transaction file.
Requirements Page 302 of ITT Version 2.0
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Requirement 880 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
Transaction data from the outlet to TIP (via TMS) must be
as specified by the Contracting Authority. (See
Requirement No 831)
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Requirement 881 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES must be capable of producing a nil receipt on request
(no benefit due).
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Requirement 882 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
In addition to producing a single declaration for
signature by the customer and retention in the Post
Office, BES must be capable of producing a legible
receipt for each encashment, to satisfy customer
requests, notwithstanding any equipment failure.
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Requirement 885 Release spr 11
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (SLA)
Service levels
Requirement Description:
Payment Authorisation Service (PAS) internal service
levels.
1. BA/POCL are not concerned with the performance of
individual sub-systems per se. The primary concern is
with the overall performance of the service as it impacts
upon the their own systems, clients, staff, agents and
customers. Targets for the level of internal performance
between Service Provider’s sub-systems will therefore
not be set by BA/POCL. However internal sub-system
performance will be judged by BA/POCL as it affects
overall service performance.
2. Service Providers must specify the internal
performance requirements of any sub-system that
potentially may be re-tendered. Service providers will
therefore need to maintain and report actual measured
performance for PAS as it interfaces to other subsystems.
3. For the PAS Service Providers must specify the
performance requirements and tolerances for:
3.1 hours of operation and function provided by PAS in
support of other internal subsystems.
3.2 response time required between PAS and
3.2.1 TMS
3.2.2 CMS
3.2 the number of outages of PAS, identifying types of
outages monitored
3.3 the availability of PAS
4. Service Providers must report against all performance
requirements identified in section 3 above.
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Requirement 887 Release spr 11
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (SLA)
Service levels
Requirement Description:
Card Management Service (CMS) internal service levels.
1. BA/POCL are not concerned with the performance of
individual sub-systems per se. The primary concern is
with the overall performance of the service as it impacts
upon the their own systems, clients, staff, agents and
customers. Targets for the level of internal performance
between Service Provider’s sub-systems will therefore
not be set by BA/POCL. However internal sub-system
performance will be judged by BA/POCL as it affects
overall service performance.
2. Service Providers must specify the internal
performance requirements of any sub-system that
potentially may be re-tendered. Service providers will
therefore need to maintain and report actual measured
performance for CMS as it interfaces to other subsystems.
3. For the CMS Service Providers must specify the
performance requirements and tolerances for:
3.1 hours of operation and function provided by CMS in
support of other internal subsystems.
3.2 response time required between CMS and
3.2.1 TMS
3.2.2 PAS
3.2 the number of outages of CMS identifying types of
outages monitored
3.3 the availability of CMS
4. Service Providers must report against all performance
requirements identified in section 3 above.
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Requirement 888 Release spr 15
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (SLA)
Service levels
Requirement Description:
PAS Helpdesk - service levels.
*
1. INTRODUCTION
This paper documents the key help desk service
requirements for the Payment Authorisation System.
2. HELP DESK SERVICE
2.1 General
The CONTRACTOR will provide a help desk service which
will act as the first point of contact for customers of
the service. The Customers are DSS staff. The
CONTRACTOR’s help desk service will provide 1st and 2nd
level services. The help desk must respond to calls
within 10 seconds.
2.2 1st Level Service
The CONTRACTOR’s 1st level service will provide an
immediate problem and query solving service for all
simple and straightforward cases, which can be resolved
within 5 minutes. The 1st level member who takes the
call owns the problem/query from initial logging through
to resolution to the customers satisfaction. The
CONTRACTOR must cater for 1st level members being off
duty.
Help desk contact will be over the telephone.
2.3 2nd Level Service
The CONTRACTOR’s 2nd level service will provide answers
to more complex queries which cannot be answered within 5
minutes by the 1st level service, but which can be
resolved within 30 minutes.
Calls will be referred electronically from the 1st level
service to the 2nd level service. 2nd level staff will
have access to a prioritised list of outstanding queries,
and all the details on the query entered by 1st level
staff. Query answering at 2nd level will be over the
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telephone.
2.4 Hours of Service
The CONTRACTOR will provide a continuous help desk
service as specified below:
1st Level - 08:00-18:00
2nd Level - 08:00-18:00
The CONTRACTOR, given 2 working days notice, will extend
the 2nd level service to whatever is needed. In emergency
circumstances, the CONTRACTOR will, given 5 hours notice,
provide a 2nd level service outside normal hours.
2.5 Problem and Query Management
The CONTRACTOR will provide a problem/query management
system to record the problem/query details such as:
unique problem/query serial reference, generated
automatically by the problem/query management system
customer reference, contact, address, location and
telephone number
help desk contact
description of the problem/query, including frequency
of occurrence
serial references of similar faults and previous
occurrences
problem/query category
estimated elapsed time to solve problem/query
any change of referral point
date and time of referral
The CONTRACTOR will update the problem/query management
system with the following information, as appropriate:
date and time of update
help desk contact updating record
textual description of the work done, or the fact that
the problem/query had to be referred, elsewhere and who
has taken it on
date and time problem/query was cleared
date and time the solution was accepted by the customer
actual elapsed time to solve problem/query.
The CONTRACTOR will manage the resolution of any problem
using documented procedures agreed with the AUTHORITIES.
These procedures must be comprehensive in that they cover
all aspects of problem resolution from initial logging
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through to closure. Escalation procedures must be
included. A problem/query can only be cleared when a
customer has confirmed satisfaction with the resolution.
2.6 Resilience
The CONTRACTOR is responsible for ensuring that a
contingency plan is in place to cater with any help desk
incident, e.g. loss of staff, loss of telephone system,
loss of problem/configuration management systems. The
contingency plan is to be agreed with the AUTHORITIES and
must state how quickly the service will be restored in
the event of an incident.
2.7 Training
The CONTRACTOR will provide any necessary training to
ensure AUTHORITIES staff work effectively with the help
desk. The CONTRACTOR will develop training plans for its
own staff.
2.8 Personnel
The CONTRACTOR will ensure that all staff have suitable
and appropriate skills and training and that sufficient
skilled resources are available to cater for holidays,
sickness and natural wastage within the CONTRACTOR’s
organisation.
The CONTRACTOR will resolve at least 95% of calls
assigned to level 2 within 30 minutes. The CONTRACTOR
will resolve 100% of calls assigned to level 2 within 45
minutes.
The percentage of ‘calls not answered’ will be less than
1%. This includes calls where the line is busy as well
as calls answered but put on the ‘waiting queue’.
3. Service Monitoring
The CONTRACTOR will produce service information, in
electronic form, and will deliver this information to the
AUTHORITIES within 5 working days of the end of the
period to which they relate. The following is an example
of the information required:
number of calls outgoing/received/number of calls not
answered
% of calls answered within target times
number of problems/queries logged
number and % of problems/queries solved within target
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times
number of problems/queries assigned to level 1 that
were not cleared within 10 minutes
number of problems/queries with secondary complications
(e.g. repeat calls)
number of problems/queries escalated
% of time full help desk was available
The AUTHORITIES may wish to analyse the information by:
category of problem/query
level and solving group at which the problem/query was
solved
customer group and location
mean time to clear.
The CONTRACTOR will maintain help desk records for a
minimum of 18 months.
Each quarter a survey will be conducted by the
AUTHORITIES to determine user satisfaction with the help
desk. The AUTHORITIES and CONTRACTOR will agree the
approach to be taken and the format/content of the
questionnaire.
The CONTRACTOR will, on request, provide on-line access
to the problem Management System. The AUTHORITIES will
inform the CONTRACTOR of who is authorised to access the
system. The CONTRACTOR will provide ad-hoc reports, as
requested by the authorised representatives of the
AUTHORITIES, within three working days.
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Requirement 889 Release spr 15
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (SLA)
Service levels
Requirement Description:
CMS Helpdesk - service levels.
s
1. INTRODUCTION
This paper documents the key help desk service
requirements for the Card Management Service.
2. HELP DESK SERVICE
2.1 General
The CONTRACTOR will provide a Card Management help desk
service which will act as the first point of contact for
customers of the service. Customers include both
Benefits Agency staff and members of the public. The
CONTRACTOR’s help desk service will provide 1st and 2nd
level services. The help desk must respond to calls
within 10 seconds.
2.2 1st Level Service
The CONTRACTOR’s 1st level service will provide an
immediate problem and query solving service for all
simple and straightforward cases, which can be resolved
within 5 minutes. The 1st level member who takes the
call owns the problem/query from initial logging through
to resolution to the customers satisfaction. The
CONTRACTOR must cater for 1st level members being off
duty.
Help desk contact will be over the telephone.
2.3 2nd Level Service
The CONTRACTOR’s 2nd level service will provide answers
to more complex queries which cannot be answered within 5
minutes by the 1st level service, but which can be
resolved within 30 minutes.
Calls will be referred electronically from the 1st level
service to the 2nd level service. 2nd level staff will
have access to a prioritised list of outstanding queries,
and all the details on the query entered by 1st level
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staff. Query answering at 2nd level will be over the
telephone.
2.4 Hours of Service
The CONTRACTOR will provide a continuous help desk
service as specified below:
1st Level - 24 hours a day, 7 days a week; all year round
(Xmas day excepted)
2nd Level - 08:00-18:00
The CONTRACTOR, given 2 working days notice, will extend
the 2nd level service to whatever is needed. In
emergency circumstances, the CONTRACTOR will, given 5
hours notice, provide a 2nd level service outside normal
hours.
2.5 Problem and Query Management
The CONTRACTOR will provide a problem/query management
system to record the problem/query details such as:
unique problem/query serial reference, generated
automatically by the problem/query management system
customer reference, contact, address, location and
telephone number
help desk contact
description of the problem/query, including frequency
of occurrence
serial references of similar faults and previous
occurrences
problem/query category
estimated elapsed time to solve problem/query
any change of referral point
date and time of referral
The CONTRACTOR will update the problem/query management
system with the following information, as appropriate:
date and time of update
help desk contact updating record
textual description of the work done, or the fact that
the problem/query had to be referred, elsewhere and who
has taken it on
date and time problem/query was cleared
date and time the solution was accepted by the customer
actual elapsed time to solve problem/query.
The CONTRACTOR will manage the resolution of any problem
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using documented procedures agreed with the AUTHORITIES.
These procedures must be comprehensive in that they cover
all aspects of problem resolution from initial logging
through to closure. Escalation procedures must be
included. A problem/query can only be cleared when a
customer has confirmed satisfaction with the resolution.
2.6 Resilience
The CONTRACTOR is responsible for ensuring that a
contingency plan is in place to cater with any help desk
incident, e.g. loss of staff, loss of telephone system,
loss of problem/configuration management systems. . The
contingency plan is to be agreed with the AUTHORITIES and
must state how quickly the service will be restored in
the event of an incident.
2.7 Training
The CONTRACTOR will provide any necessary training to
ensure AUTHORITIES staff work effectively with the help
desk. The CONTRACTOR will develop training plans for its
own staff.
2.8 Personnel
The CONTRACTOR will ensure that all staff have suitable
and appropriate skills and training and that sufficient
skilled resources are available to cater for holidays,
sickness and natural wastage within the CONTRACTOR’s
organisation.
3. Service Monitoring
The CONTRACTOR will produce service information, in
electronic form, and will deliver this information to the
AUTHORITIES within 5 working days of the end of the
period to which they relate. The following is an example
of the information required:
number of calls outgoing/received/number of calls not
answered
% of calls answered within target times
number of problems/queries logged
number and % of problems/queries solved within target
times
number of problems/queries assigned to level 1 that
were not cleared within 10 minutes
number of problems/queries with secondary complications
(e.g. repeat calls)
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number of problems/queries escalated
% of time full help desk was available
The AUTHORITIES may wish to analyse the information by:
category of problem/query
level and solving group at which the problem/query was
solved
customer group and location
mean time to clear.
The CONTRACTOR will maintain help desk records for a
minimum of 18 months.
Each quarter a survey will be conducted by the
AUTHORITIES to determine user satisfaction with the help
desk. The AUTHORITIES and CONTRACTOR will agree the
approach to be takén and the format/content of the
questionnaire.
The CONTRACTOR will, on request, provide on-line access
to the problem Management System. The AUTHORITIES will
inform the CONTRACTOR of who is authorised to access the
system. The CONTRACTOR will provide ad-hoc reports, as
requested by the authorised representatives of the
AUTHORITIES, within three working days.
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Requirement 890 Release spr 11
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (APS)
Requirement Description:
APS Reconciliation.
Service levels
The CONTRACTOR shall ensure and demonstrate that all
committed transactions have successfully passed from the
Outlets through POCL and Clients.
The CONTRACTOR shall enable 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.
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Requirement 891 Release spr 15
No
Programme End to End Subject Shared Services
Grouping Service Heading
Accounting &
reconciliation
Requirement Description:
RECONCILIATION REQUIREMENTS
a) General Requirements
Ensure that all captured data is complete and accurately
reflected in the appropriate outward interfaces:
- 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 money levels;
- and reference data changes, both local and as received
from the AUTHORITY:
* DSS in respect of reference data for PAS and CMS;
* otherwise from POCL's TIP system except for any
specific transient arrangements;
e.g. OBCS Stop Lists;
- apply equally at all levels and across service
components:
* e.g. ensure that data captured in EPOSS is
accurately reflected in TMS interfaces.
Synchronise data flows and storage:
- monitor data transfers and account for data brought
forward, received, passed on and carried forward;
- monitor data transfers and account for data, across
interfaces and Service components;
- for example, EPOSS transaction data collected by TMS
and passed to TIP:
- 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.
* for example, POCL needs (at least) daily volume and
value totals of APS transactions sent to its
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Clients by Client/batch-transfer, optionally sub-
totalled by Client/Service, in order to reconcile
with each Client.
Ensure that data is consistent between the levels where
transaction or stock and money level data is held,
maintained or transferred at more than one level:
* for example, transaction data and summaries of it.
Perform daily operational cut-over reconciliations for
any on-line interfaces with external systems:
* for example, between TMS and any EFTPOS merchant
acquirer.
Report reconciliation results to the relevant
AUTHORITIES, including any discrepancies
and any doubtful items, and reporting progress on
resolution of outstanding items:
- for interfaces between service components and
AUTHORITIES:
- for external interfaces (to enable them to maintain
their commercial relationships) ;
- between service components (to inform / assure the
AUTHORITIES on status).
Apply appropriate integrity controls at all interfaces
and provide information demonstrating integrity;
- agree protocols and controls with the relevant
AUTHORITY for each interface.
Control the implementation of configuration changes,
including changes to reference data:
- check and report the implementation of changes against
instruction;
- maintain the integrity of other reconciliation
processes across configuration changes;
* demonstrate the capability to do this, e.g. in
testing.
Meet all reconciliation requirements in contingency
situations as well as normal working.
Targets for all reconciliation requirements are:
- full reconciliation with 100% of items demonstrably
accounted for;
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- provision of the ability to reconcile by agreed
processes at detailed level, for example at
transaction level for transaction data;
- any differences, doubtful items or errors to be
resolved by the CONTRACTOR;
- reconciliation reports and identification of doubtful
items and errors to be delivered to the
relevant AUTHORITIES by 9 a.m. of the following
day;
- the CONTRACTOR is expected to make all reasonable
endeavours to resolve any doubtful items and errors
promptly.
b) Post Office Outlet Reconciliation Requirements
Stock and money levels must be reconciled with
Transaction data:
- by Customer session, at Outlet level and, where
offices are so organised, by Stock Unit;
* session, stock unit and office balancing are
defined in EPOSS requirements:
* note that stock and money movements between offices
will be reconciled by the POCL Inventory
Management System using data provided to it from
EPOSS via TMS.
Office accounting information must reconcile, taking
account of stock and money brought forward, carried
forward, transaction data and local suspense items -
details defined in EPOSS requirements:
- this must be sustained in fall-back and during
recovery after any failures.
The above requirements must be satisfied effectively
instantly:
* e.g. stock levels must be adjusted as sales from
stock are recorded.
c) BPS Reconciliation Requirements
Apply BPS reconciliation to any tokens by type of token
as well as to monetary amounts:
* for example, milk tokens.
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Identify and resolve any differences between entitlements
passed by CAPS to PAS and encashments as received by PAS,
on an individual item basis (by "Authorised Payment Id"
supplied by CAPS):
- take account of both:
* amounts encashed as notified via TMS in normal
circumstances;
* sany adjustments raised directly by the CONTRACTOR
to resolve errors or due to maintenance activities
(e.g. removal of time-expired items) ;
- inform CAPS of actual payment amounts encashed where
there are any unresolved errors, (by "Authorised
Payment Id"):
* note that CAPS needs to know what payments have
been made (rightly or wrongly) so that DSS staff
can deal properly with Beneficiaries.
Reconcile payment amounts authorised to Offices by PAS
via TMS against amounts encashed as advised by Offices
via TMS to PAS:
- notify both DSS and POCL of any adjustments to PAS
made resolving errors:
- means of processing CONTRACTOR's corrections must be
eoeee with the AUTHORITIES:
it may be necessary or desirable to pass some
through service components and / or to agree timing
or provide cross references, and so forth;
* it will be necessary to agree the notification
channels for different cases, e.g. what should be
notified to POCL via TIP.
Provide a common basis for settlement between the
AUTHORITIES
- ensure that the “amounts encashed as received by PAS
via TMS" are reflected
unchanged in the EPOSS transaction records as
delivered to TIP via TMS;
* any data recovered from other records, e.g.
receipts, must be verified against PAS (or
recovered from PAS on entry of the authorisation
reference from the record) ;
- this may include identification and resolution of any
differences by individual item
(i.e. by "Authorised Payment Id" as supplied by CAPS).
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- synchronise the CAPS, PAS and TIP streams to agreed
settlement process dead-lines;
- report and agree the 'unencashed balance' by Agency
code within CAPS and PAS by value and number of
transactions, accounting for:
* Authorised Payments due
* payments encashed
* items in transit
* -items under investigation for the defined
“settlement period (at least daily) ;
- produce a daily statement of the agreed (ie between
CAPS and PAS) encashments, by encashment date, for
both AUTHORITIES.
Ensure any archived transaction-related documentary
evidence (e.g. receipts) is held so as to facilitate its
retrieval:
- ensure the accuracy and completeness of the records,
as defined by the automated data streams;
- demonstrate a capability to retrieve 99.99% of signed
receipts on request within 5 days.
**Note that it may be necessary, for practical purposes,
to use NINO and Authorised Payment Id (as defined by
CAPS) for references rather than just Authorised
Payment ID because of the data organisation in CAPS,
despite the logical independence of Authorised Payment
Id.
d) TMS Reconciliation Requirements
Provide operational control reports on operations,
including polling and any loss of communications with
Offices or with other Service Components:
* to alert operational management to situations and /
or events requiring its attention.
Apply controls on file and data transfers:
- at all technical levels and, using relevant counts and
financial totals, at business levels;
* note 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.
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Ensure that information provided to POCL via TIP makes
explicit what transaction data has been sent to its
clients.
e) Card Management Reconciliation Requirements
Reconcile DSS card and management actions against
instructions received from BA;
* details to be agreed depending on the proposed
solution;
* applies both to normal cards and to any emergency
payment tokens that may be used.
Any POCL role as a subcontractor in card management
processes will be agreed separately between and POCL and
the Service Provider, and any reconciliations required
must be specified as part of that process.
£) Commercial Reconciliation Requirements
Provide information to enable reconciliation of services
provided with charges made;
* for example, the Service Provider may need to
account to BA for the number of cards both issued
and active in order to agree charges.
Act, and be seen to be acting, as an agent for the
relevant AUTHORITIES in reconciliations with other
parties, and provide the necessary information for them
to exert appropriate management control over operations
performed on their behalf:
- undertake the operational aspects and take
responsibilities as defined in the Contract;
- ensure that the commercial relationships between the
AUTHORITIES and third parties are not compromised.
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Requirement 893 Release spr 11
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Systems - design
Requirement Description:
INTERFACE DATA CO-ORDINATION
cy
Ensure all transaction references (encashment identifiers
and payment authorisation references) are consistent
across all interfaces to enable efficient communication
about particular items in reconciliation and settlement
processes:
- the EPOSS transaction reference will be used as the
Encashment Id passed to PAS from EPOSS and thence to
CAPS:
* if the encashment is more than one EPOSS
transactions, indicate the range concerned (e.g.
mnn...n03 to nnn...n24 could be nnn...n0324);
- include in the EPOSS transaction log and the
transaction data sent to TIP:
* the Authorised Payment Id passed by CAPS to PAS;
* the NINO of the Beneficiary, as opposed to any
agent;
(helps DSS to look-up corresponding item in
their systems)
* the Agency code provided by CAPS;
- ensure that BES receipts contain the EPOSS transaction
reference(s) or Encashment Id to enable traces to both
DSS and POCL records (not necessarily easily
recognisable to the public).
Requirements Page 323 of ITT Version 2.0
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Requirement 894 Release spr 11
No
Programme General Subject General
Grouping Heading
Management
information
Requirement Description:
Management Information Requirement
POCL needs management information over and above that
specified under accounting, reconciliation and
settlement to enable it to manage the contract and manage
the service provided as well as supporting general
business requirements.
1. Service Provider to provide details of the type of
information they believe POCL will require to manage
the contract and service,
2. POCL to have the right to request and receive during
the contract, and after, any information it believes
it requires to manage its business, the contract, any
service, and also to facilitate re-letting and hand-
over of contract,
3. Service Provider to provide data to enable resource,
network, productivity and cash management,
4. Service Provider to provide data to enable marketing
planning.
This data to include:
* operational and "event" data will include things such
as:
- office, user and stock unit registration/deletion
and mutual association,
- log-on/off,
- completion of summaries and returns/reports, roll-
over to new balances and/or Outlet accounting
periods,
= polling events,
- receipt/implementation of new issues of software/
reference data, local reference data updates,
- equipment failure/repair/replacement, down-time,
recovery time, file corruption etc.
* information to enable POCL to monitor/manage SLAs,
* exception reports.
Requirements Page 324 of ITT Version 2.0
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MIS captured will need to be by Outlet, Outlet type,
region and any other organisational structure.
Requirements Page 325 of ITT Version 2.0
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Requirement 895 Release spr 11
No
Programme General Subject General
Grouping Heading
Security
Requirement Description:
Irregular Encashment Patterns
a“
The requirement is for the service to be capable of
monitoring irregular encashments and reporting on
irregular encashments. Information is to be shared
immediately with POCL audit/Security/Operations when it
relates to a post office. Examples are defined as:-
1 Non encashment of a means tested benefit for a period
of (4 weeks) ;
2 Non encashment of a non means tested benefit for a
period of (6 weeks);
3 Change of nominated P.O. and encashments for a period
of (6 weeks), where there is no notification of change
of address being received by CMS from CAPS.
4 High Risk transactions indicating a potential exposure
to fraud e.g.:
-Foreign encashments;
-Casual agent encashment;
-Regular casual agent encashment (4 consecutive
weeks) ;
-Multiple encashments (will depend on period of
validity - to be defined);
-Any combination of the above;
5 Any encashment made or attempted where a stop is in
operation;
6 Any encashment of a payment where a subsequent loss
report is received;
7 Presentation of a non genuine card;
8 Apparent presentation of a duplicate card (both to be
cancelled immediately) ;
9 Any attempted keyed transactions out of specified
service hours;
10 Multiple keyed or telephone authorised transactions by
clerk and outlet, where there is no report of service or
equipment failure (contingency transactions at a level
anything above the agreed service efficiency levels) ;
11 Any transactions at a non-live post office i.e. one
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reported as temporarily out of commission;
12 Usage of duplicate clerk identification devices or
numbers (note that both must be cancelled immediately) .
Clarification:
The following clarification is provided in relation to
the first paragraph of this requirement:
#
‘reporting of irregular encashments' is required to the
Dss.
Requirements Page 327 of ITT Version 2.0
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Requirement 896 Release spr 12
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Documentation
Requirement Description:
POCL is keen to explore the benefits and advantages of
using electronic communications in the user documentation
area.
Requirements Page 328 of
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Requirement 897 Release
No
Programme General Subject
Grouping Heading
Requirement Description:
BPS Security Standards
spr 12
General
Security
&
The CONTRACTOR’s security objectives must be in
conformance with the security objectives stated in the
BPS Security Statement.
There must be an appropriate countermeasure to each
threat identified in the security Statement.
Clarification:
The following clarification is provided in relation to
the last paragraph of this requirement:
The ‘security Statement' refers to the BPS Security
Statement.
Requirements Page 329 of
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Requirement 898 Release spr 21
No
Programme Order Book Subject Order Book
Grouping Control Service Heading Control Service
Service - design
Requirement Description:
Order Book Control Service (OBCS) - general requirements.
a
The Order Book Control Service must be quoted for as a
separate service, which the AUTHORITIES may take up in
nominated outlets, at the AUTHORITIES discretion, to be
available when the platform rolls out.
1. OBCS must be implemented using TMS and OPS.
2. The implementation of OBCS must comply with the Style
Guide.
3. Help Desk support must be available to all Users of
OBCS.
4. OBCS must be available at every counter position in
any automated outlet requiring the service during the
normal opening hours of that outlet.
Requirements Page 330 of ITT Version 2.0
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Requirement 899 Release spr 21
No
Programme Order Book Subject Order Book
Grouping Control Service Heading Control Service
Service - design
Requirement Description:
Stop list maintenance.
&
The Order Book Control Service must be quoted for as a
separate service, which the AUTHORITIES may take up in
nominated outlets, at the AUTHORITIES discretion, to be
available when the platform rolls out.
1. The CONTRACTOR must maintain a stop list recording
details of order books which have been stopped, and
against which no further payments are to made, and order
books which have been recalled. In the case of recalled
books orders may be paid for a number of days following
receipt of the recall; the last allowable order date must
be calculated within the OBCS service.
2. A communications link must be initiated between the
DSS computer and the TMS 7 nights each week and a
datafile containing stop list updates transferred. The
stop list updates will include entries that are to be
added and reference to those that are to be deleted.
Notices not deleted by the DSS should be removed after an
appropriate period and archived.
3. Stop list update files must be applied in the order in
which they are delivered.
4. The maximum size of the stop list will be 1.5 million
entries.
5. The maximum size of a stop list update will normally
be 100,000 entries. In the event that an update of
greater size is needed special arrangements will be made.
6. The minimum size of a stop list update will be 0
(zero) entries; in this case a file with an appropriate
header and footer will be sent.
7. Details of the stop list update interface with the DSS
Requirements Page 331 of ITT Version 2.0
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computer system are given in <document reference number>
&
Requirements Page 332 of ITT Version 2.0
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Requirement 900 Release spr 21
No
Programme Order Book Subject Order Book
Grouping Control Service Heading Control Service
Service - design
Requirement Description:
Order book processing - barcoded books.
*
The Order Book Control Service must be quoted for as a
separate service, which the AUTHORITIES may take up in
nominated outlets, at the AUTHORITIES discretion, to be
available when the platform rolls out.
There must be a facility for dealing with barcoded order
books presented for encashment of benefits at automated
outlets requiring the service.
1. The barcode must be scanned, validated and checked
against the stop list:-
- when the order book is received at the outlet
- when the order book is issued to a Beneficiary
- when the order book is presented for payment.
2. Whenever the barcode on an order book is scanned the
system must provide both a visual and an audible
indication of the result of the scan. There must be a
clear difference between the audible indication given for
‘success or normal’ and ‘failure or exception’. There
must be a clear distinction between the instructions to
‘impound’ and ‘ cash and impound’.
3. When an order book is received the barcode must be
scanned, and checked against the stop list. The
electronic record of the transaction must be transmitted
to the DSS computer system within a datafile.
3.1 If the order book is on the stop list then the system
must instruct the clerk to impound, hole punch the book
and return it to the Dss.
3.2 The system must be capable of recording the re-
direction of the order book to another outlet or its
return to the DSS.
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3.3 If there are three consecutive failures to read the
barcode the system must prompt the clerk to enter the
barcode information via the keyboard. Subsequently the
system must instruct the clerk to hole punch the book and
return it to the DSS. The system must record the book as
unreadable.
3.4 The maximum number of order books received in an
outlet on a business day is expected to be approximately
600.
4. When an order book is issued to the Beneficiary the
barcode must be scanned, and checked against the stop
list. The electronic record of the transaction must be
transmitted to the DSS computer system within a datafile.
The rules for making payments and order book retention
are as for encashments below.
4.2 The maximum number of order books issued at any one
outlet in a business 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 and Thursdays.
5. When an encashment is made against the order book the
barcode must be scanned and checked against the stop
list. Details of the transaction must be transmitted to
the DSS computer system within a datafile.
5.1 If the barcode is not valid, or the book is
identified as counterfeit, then the system must instruct
the clerk to impound the book without payment. The
transaction must be recorded by the system.
5.2 If the order book is not on the stop list then the
system must instruct the clerk to pay normally and prompt
for the number of vouchers encashed. A default number of
one should be presented with the clerk having the ability
to override this.
5.3 If the order book has been recalled then the system
must instruct the 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 clerk having
the ability to override this with a valid number,
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including zero. The system must instruct the clerk to
retain the book, hole punch it, and return it to the DSS.
5.3 If the order book has been stopped the system must
instruct the clerk to make no payment and impound the
book , hole punch it and return it to the Dss.
5.4 If there are three consecutive failures to read the
barcode the system must prompt the clerk to enter the
barcode information via the keyboard. If the book is on
the stop list for impounding then this takes precedence,
otherwise the system must instruct the clerk to pay one
voucher and then hole punch the book and return it to the
DSS. The system must record the book as unreadable.
6. Details of the interface with the DSS computer system
for receiving transaction records noted above are given
in <document reference number>.
Requirements Page 335 of ITT Version 2.0
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Requirement 901 Release spr 21
No
Programme Order Book Subject Order Book
Grouping Control Service Heading Control Service
Service - design
Requirement Description:
Order book processing - non-barcoded books.
«
The Order Book Control Service must be quoted for as a
separate service, which the AUTHORITIES may take up in
nominated outlets, at the AUTHORITIES discretion, to be
available when the platform rolls out.
1 If the book is identified as counterfeit, then the
system must instruct the clerk to impound the book
without payment. The transaction must be recorded by the
system.
2. When an order book with no barcode is presented for
encashment the system must prompt the clerk to enter the
number of vouchers to be encashed. A default number of
one should be presented with the clerk having the ability
to override this.
3. For each outlet for each business day a single
electronic record giving the total number of vouchers
encashed must be transmitted to the DSS computer system
within a datafile.
3. Details of the interface with the DSS computer system
for receiving voucher totals records noted above are
given in <document reference number>.
Requirements Page 336 of ITT Version 2.0
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Requirement 902 Release spr 21
No
Programme Order Book Subject Order Book
Grouping Control Service Heading Control Service
Service - design
Requirement Description:
Order Book Control Service (OBCS) - transaction times
Fs
The Order Book Control Service must be quoted for as a
separate service, which the AUTHORITIES may take up in
nominated outlets, at the AUTHORITIES discretion, to be
available when the platform rolls out.
The following transaction times must be achievable using
the OBCS:-
1. 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
assuming an the books do not appear on the stop list,
must take no more than <> seconds.
2. In issuing an order book to a beneficiary, assuming
that the order book is not on the stop list, the checking
against the stop list using OBCS must not add more than
<> seconds to the time that would have been taken with no
stop list check.
3. In making an encashment, assuming the order book is
not on the stop list, the checking against the stop list
using OBCS must not add more than <> seconds to the time
that would have been taken with no stop list check.
Requirements Page 337 of ITT Version 2.0
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Requirement 903 Release spr 21
No
Programme Order Book Subject Order Book
Grouping Control Service Heading Control Service
Service - design
Requirement Description:
Order Book Control Service (OBCS) - general service
levels
The Order Book Control Service must be quoted for as a
separate service, which the AUTHORITIES may take up in
nominated outlets, at the AUTHORITIES discretion, to be
available when the platform rolls out.
1. The stop list functionality must be implemented such
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 days worth of updates have not been applied then the
version is deemed 1 day behind and so on.
On any business day:
96 % of outlets must be referencing a version which is
fully updated
98% of outlets must be referencing a stop list which
is no more than 1 day behind.
100% of outlets must be referencing a stop list which
is no more than 2 days behind.
2. Transaction data must normally be forwarded to the DSS
computer system soon after the completion of the business
day on which the transaction occurred as part of a batch
transmission. Transaction data not available for the next
batch transmission must be include in a subsequent
transmission.
Data which is included in the first batch transmission
to take place after the time of the transaction is deemed
to be in the first batch transmission and so on.
Transaction data from the outlets must reach the DSS
computer system as follows:-
Requirements Page 338 of ITT Version 2.0
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the data from 96% of outlets must reach DSS within the
first batch transmission
the data from 98% of outlets must reach DSS within the
second batch transmissions
the data from 100% of outlets must reach DSS within the
third batch transmissions
Requirements Page 339 of ITT Version 2.0
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Requirement 904 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must allow collection of all payments that the
Authorised Person is entitled to collect, ensuring that:-
* each payment only to be cashed once and for the amount
authorised by CAPS;
* partial encashment of any single payment is not
permitted.
The following rule must apply for each encashment;
Each Authorised Person must collect all monies due to
each Authorised Person for whom collection is being made.
A person who is authorised to collect payments in respect
of more than one Authorised Person will be able to select
the Authorised Person for whom they want to collect. An
Alternative Payee, for example, will choose whether or
not to collect their partner’s Child Benefit.
All other payees must encash all monies due if the total
is less than the limit (initially £1,000.00 but it must
be possible to vary this).If the total exceeds this
limit then the Customer has a choice, as follows
I. take all;
II. take nothing;
III. take all payments, in multiples of total weekly
entitlement, up to but not exceeding the limit.
The priority order for collecting benefits will be to
take any ongoing benefit entitlements, oldest payment
first - before any one off benefit entitlement e.g.
Social Fund or bonus payments: Social Fund or bonus
payments must always be collected in full.
Clarification:
The following clarification is provided in relation to
this requirement:
Requirements Page 340 of ITT Version 2.0
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Authorised Persons collecting payments under £1,000.00
have 2 options:-
* take all
* take nothing
Second paragraph last sentence - However, an Alternative
Payee.will be able to choose whether or not to collect
their partner’s Child Benefit.
Requirements Page 341 of ITT Version 2.0
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Requirement 905 Release
No
Programme Implementation Subject
Grouping Heading
Requirement Description:
spr. 12
Implementation
(POCL)
Systems - design
The system must be designed in order to give the user
support in maintaining transaction accuracy and to assist
the transfer of accurate product information to customers
Requirements Page 342 of
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Requirement 906 Release spr 12
No
Programme Implementation Subject Implementation
Grouping Heading (POCL.
Roll-out
Requirement Description:
The service provider will plan so as to harmonise roll-
out and BES card availability. Offices should be
provided with new terminals on the day of installation.
Installation covers physical placement, connection to the
system and testing
Requirements Page 343 of
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Requirement 908 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will produce a receipt containing the information as
specified in Requirement 764. Additionally, it may be
necessary to generate and record a unique transaction
identifier to enable recovery following equipment
failure.
Requirements Page 344 of ITT Version 2.0
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Requirement 909 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
BES will enable an Authorised Person, or the Authorised
Person's casual agent, to encash benefits on behalf of
people living in Nursing/Residential/Retirement homes
with a single signature on a summarised receipt. The
receipt, in these circumstances, should identify those
individuals on whose behalf a transaction has taken
place. It is not uncommon for 30 or more benefits to be
collected in one visit; there should be no maximum in
terms of numbers or cash value imposed by the system. The
CONTRACTOR may wish to consider whether separate security
verification check(s) should be introduced for signing
agents.
Requirements Page 345 of ITT Version 2.0
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Requirement 910 Release spr 12
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Requirement Description:
Service - design
BES must support the ability to vary the limit below
which the payee must encash all monies due (requirement
904), preferably by use of one or more system parameters.
It should be borne in mind that some payees (i.e.
recipients of social fund payments and Alternative
Payees) are not limited in the same way. It is desirable
that this rule is also implemented by system
parameter (s) .
Requirements Page 346 of
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Requirement 911 Release spr 13
No
Programme End to End Subject General
Grouping Service Heading
Service - design
Requirement Description:
INTEGRITY ACROSS CHANGES
#
Maintain accounting and reporting integrity across
changes, including structural changes to software and
reference data, changes to controls and/or control
mechanisms, and so forth.
This should include 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).
Requirements Page 347 of ITT Version 2.0
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Requirement 912 Release spr 13
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(sms)
Systems - steady
state
Requirement Description:
Portable Appliance Testing
The service provider shall carry out any regular testing
of equipment installed as part of the services in post
offices and on any other Authority premises as required
by legislation
Requirements Page 348 of ITT Version 2.0
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Requirement 913 Release spr 13
No
Programme Implementation Subject Service Level
Grouping Heading Agreements
Documentation
Requirement Description:
POCL user documentation service level agreement
1. Introduction
Comprehensive user documentation is required for all
users of the automated platform, and by other users, as
notified by POCL.
2. Availability
2.1 Users of the automated platform
User documentation must be available to all users of the
automated platform 100% of the time that the automated
platform is in use.
2.2 Other users
User documentation must 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 automated platform is in use.
2.3 Contingency/disaster recovery arrangements
User documentation which contains information to users on
contingency/disaster recovery arrangements, such as what
to do during a system failure, must be available to all
users during all hours of business.
3. Content of user documentation
User documentation must contain all information which a
user of the documentation requires to complete all
business transactions at post office sites. This includes
topics such as:
- performing counter transactions
- accounting
- balancing, including value stock taking
- stock ordering
- stock acceptance, disposal, destruction, remitting etc.
- contingency arrangements e.g. system failure
- giving information to customers e.g. how to obtain a
duplicate Motor Vehicle Licence disc
Requirements Page 349 of ITT Version 2.0
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- product information for specific products e.g. posting
restrictions
- performing business transactions at Remittance Units
e.g. Girobank deposits.
4. Accuracy of information
All information in user documentation must be accurate.
5. Design of documentation
5.1 Visual identity
All user documentation must conform to POCL’s ‘Design
Applications Guidelines’, which is part of POCL’s ‘Visual
Identity’ policy.
5.2 Communications policy
All user documentation must conform to POCL’s
communications policy, which is covered in the draft
document ‘A Guide to Head Office Communications Team’
(first draft to be released in February 1996).
5.3 Environmental policy
All user documentation must conform to POCL’s
Environmental policy.
6. Documentation for a new product/service
6.1 Notification of requirement by POCL
POCL must advise the CONTRACTOR of the requirement for
documentation for a new product/service [] days before
the implementation of that new product/service.
6.2 Drafting of documentation
The final copy of user documentation for a new
product/service must be completed [] days before the
implementation of that particular product/service.
6.3 Final approval by POCL
All user documentation for a new product/service must be
given final approval by POCL [] days before the
implementation of that particular product/service.
6.4 Availability
User documentation which contains the details of a new
product/service must be available to all users of the
documentation immediately prior to implementation of the
new product/service.
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7. Updating user documentation
7.1 Planned changes
7.1.1 Notification of changes by POCL
POCL must advise the CONTRACTOR of the requirement to
update user documentation [] days before the
implementation of the change.
7.1.2.Drafting of documentation
The final copy of updated user documentation must be
completed [] days before the implementation of that
particular change.
7.1.3 Final approval by POCL
All updated user documentation must be given final
approval by POCL [] days before the implementation of
that particular change.
7.1.4 Availability
Updated user documentation must be available to all users
of the documentation immediately prior to implementation
of that particular change.
7.2 Emergency updates
Emergency updates to user documentation must be made
available to all users of the documentation within [24]
hours of the changes being notified to the CONTRACTOR by
POCL.
8. Requests for new/replacement copies
Any request for a new or replacement copy of user
documentation must be fulfilled within [3] days of
notifying the Helpdesk. (This is only required if paper
based documentation is produced) .
9. User satisfaction
9.1 Frequency of monitoring
User satisfaction with user documentation must be
measured annually.
9.2 Target for user satisfaction
User satisfaction with user documentation must be no less
than 90%.
9.3 Topics to be covered
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Topics to be covered by the user satisfaction survey will
include areas such as:
overall use/effectiveness of documentation
comprehensiveness of index/indices
accuracy of index/indices
relevance of any cross references
accuracy of any cross references
layout, style and language etc.
readability/size/usefulness of graphics
quality and clarity of text.
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Requirement 914 Release spr 13
No
Programme Implementation Subject Service Level
Grouping Heading Agreements
Supporting
services
Requirement Description:
SERVICE LEVEL AGREEMENT
OPERATIONAL SYSTEMS HELP DESK
1. INTRODUCTION
This paper documents the key help desk service
requirements for the operational systems.
2. HELP DESK SERVICE
2.1 General
The CONTRACTOR will provide a help desk service which
will act as the first point of contact for customers of
the service. Customers include both AUTHORITIES staff
and staff of POCL clients having a direct interface with
the services provided. AUTHORITIES staff includes BA
and POCL staff as well as the ITSA service delivery
function.
The CONTRACTOR will:
act as a central point for information on the working
state of the services provided
keep customers notified of any scheduled interruptions
assist in any negotiations between the AUTHORITIES and
its customers where interruptions to the services
provided are scheduled
will keep customers informed of when the service will
be restored
The CONTRACTOR’s help desk service will provide 1st, 2nd
and 3rd level services. The help desk must respond to
calls within ten seconds.
2.2 1st Level Service
The CONTRACTOR’s 1st level service will provide an
immediate problem solving service for all simple and
straightforward problems, which can be resolved within 5
minutes, and all general enquiries.
The 1st level member who takes the call owns the problem
from initial logging through to resolution to the
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customers satisfaction. The CONTRACTOR must cater for
1st level members being off duty.
Help desk contact will be over the telephone.
2.3 2nd Level Service
The CONTRACTOR’s 2nd level service will provide a
diagnostics and fixing service for all problems which
cannot be fixed within 5 minutes by the ist level
service, but which can be resolved within 30 minutes.
Calls will be referred electronically from the 1st level
service to the 2nd level service. 2nd level staff will
have access to a prioritised list of outstanding
problems, and all the details on the problem entered by
1st level staff.
2.4 3rd Level Support
If the help desk is unable to resolve a problem at the
1st or 2nd level the CONTRACTOR will categorise and
prioritise the problem so that it can be actioned and
completed within a standard timescale.
2.5 Hours of Service
The CONTRACTOR will provide a continuous help desk
service as specified below:
1st Level 05:00-00:00, Mon-Sun(*), all year round
(Xmas day excepted)
2nd Level 05:00-00:00, Mon-Sun(*), all year round (Xmas
day excepted)
* - NB: Approximately 200 outlets would currently using
the system on Sundays although this may increase.
The CONTRACTOR shall ensure that calls made to the help
desk outside specified hours are accepted by CONTRACTOR.
The CONTRACTOR will provide the facility to transfer
calls which are received and are outside its area of
responsibility. The CONTRACTOR will also provide the
facility to receive transferred calls from POCL help
desks and helplines.
The CONTRACTOR, given 2 working days notice, will extend
the level of service to whatever is required. In
emergency circumstances, the CONTRACTOR will, given 5
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hours notice, provide a 1st and 2nd level service outside
normal and extended working hours.
2.6 Problem Management
The CONTRACTOR will 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
customer contact, address, location and telephone
number
date and time problem occurred
date and time problem was reported to help desk
help desk contact
description of the problem, including frequency of
occurrence
serial references of similar faults and previous
occurrences
hardware equipment involved; serial number etc.
software product and release version
assessed impact on customers business
priority for solution
problem category
estimated elapsed time to solve problem
any change of referral point
date and time of referral
The CONTRACTOR will update the problem management system
with the following information, as appropriate:
date and time of update
help desk contact updating record
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
date and time the solution was accepted by the customer
actual elapsed time to solve problem.
The CONTRACTOR will also keep a record of all problems
relating to the failure of uploading and downloading
data.
The CONTRACTOR’s 1st level service staff will assign a
priority to the problem. Possible priorities could be:
Priority Description
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Bs, Live working disrupted. Office cannot
continue normal working.
ay Live working disrupted but work around
possible.
3% Minor inconvenience. Help desk provide
short term resolution.
Throughout the life of the problem the CONTRACTOR staff
will monitor the progress of the problem and inform the
customer at regular intervals, to be agreed with the
AUTHORITIES. This would apply to 2nd and 3rd level
services.
The CONTRACTOR will manage the resolution of any problem
using documented procedures agreed with the AUTHORITIES.
These procedures must be comprehensive in that they cover
all aspects of problem resolution from initial logging
through to closure. For example, in the event of a major
service failure at a post office, procedures must exist
to cover the possible closure of the post office and the
re-allocation of its responsibilities to other post
offices. Escalation procedures must be included.
A problem can only be cleared when a customer has
confirmed satisfaction with the resolution.
The help desk service will be the contact point for
requesting consumables, training and documentation.
2.7 Systems and Services Supported
The CONTRACTOR will maintain user, asset, problem and
change management databases.
2.8 ‘Resilience
The GONTRACTOR is responsible for ensuring that a
contifigency plan is in place to cater with any help desk
incident, e.g. loss of staff, loss of telephone system,
loss asa gre management system. The
contingency plan is to be agreed with the AUTHORITIES and
must state how quickly the service will be restored in
the eveft of an incident.
2.9 .Typining
The CONTRACTOR will provide any necessary training to
ensure AUTHORITIES staff work effectively with the help
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desk. The CONTRACTOR will develop training plans for its
own staff.
2.10 Personnel
The CONTRACTOR will ensure that all staff, including
back-up staff, employed on the help desk service must
have suitable and appropriate skills and training. The
CONTRACTOR must ensure that sufficient skilled resources
are available to cater for holidays, sickness and natural
wastage within the CONTRACTOR’s organisation.
2.11 Service Targets
The CONTRACTOR will answer at least 98% of all calls to
the help desk within ten seconds during level 1 support
hours. 100% of calls must be answered within 20 seconds.
The percentage of ‘calls not answered’ will be less than
1%. This includes calls where the line is busy as well
as calls answered but put on the ‘waiting queue’.
The CONTRACTOR will resolve at least 95% of calls
assigned to level 1 within 5 minutes. The CONTRACTOR
will resolve 100% of calls assigned to level 1 within 10
minutes.
The CONTRACTOR will resolve at least 95% of calls
assigned to level 2 within 30 minutes. The CONTRACTOR
will resolve 100% of calls assigned to level 2 within 45
minutes.
3. Service Monitoring
The CONTRACTOR will produce service information, in
electronic form and/or paper, and will deliver this
information to the AUTHORITIES within 2 working days of
the end of the period to which they relate. The
following is an example of the information required:
number of calls outgoing/received/number of calls not
answered
% of calls answered within target times
number of problems/queries logged
number and % of problems/queries solved within target
times
number of problems/queries assigned to level 1 that
were not cleared within 10 minutes
number of problems/queries with secondary complications
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(e.g. repeat calls)
number of problems/queries escalated
% of time full help desk was available
supplier performance against agreed service levels for
response
service availability at each office.
The AUTHORITIES may wish to analyse the information by:
category of operational problem/query
level and solving group at which the problem/query was
solved
customer group and location
mean time to closure.
The CONTRACTOR will maintain help desk records for a
minimum of 18 months.
Each quarter a survey will be conducted by the
AUTHORITIES to determine user satisfaction with the help
desk. The AUTHORITIES and CONTRACTOR will agree the
approach to be taken and the format/content of the
questionnaire.
The CONTRACTOR will, on request, provide on-line access
to the problem Management System. The AUTHORITIES will
inform the CONTRACTOR of who is authorised to access the
system. The CONTRACTOR will provide ad-hoc reports, as
requested by the authorised representatives of the
AUTHORITIES, within three working days.
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Requirement 915 Release spr 13
No
Programme Implementation Subject Service Level
Grouping Heading Agreements
Training
Requirement Description:
Training Services SLA
&
1. Introduction
This paper documents the training requirements and key
measurables that will be used to assess the effectiveness
of the training service as a whole.
2. Training Services
2.1 General
The Training provided will enable both AUTHORITIES
staff or Agents to achieve acceptable standards in key
competencies in the use of the Suppliers Service.
The Training Services will incorporate the development
design and delivery of agreed training events and
support materials.
2.2 Specific Responsibilities
Supplier
- Design of Training events
- Development of Training materials (Day to day and
maintenance)
- Delivery of Training - To delegates ( as appropriate)
- To Trainers
- Communication of Training activity - To delegates
- To Authorities
- To Regions
- To District Offices
- With BA/POCL
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- Management of training processes - Training Plans
- Call up notices
- Site selection and preparation
- Provision of appropriate kit
- Management Information (Training)
* - Provide defined reports on training completed
for agreed periods.
- Attend regular training review meetings
- Identify Improvement to training services
Authority
- Agree and sign off supplier training proposals and
processes.
- Monitor and review performance
Attend regular training review meetings
Identify improvements to training services.
3. Key measurables
3.1 Timeliness
Training courses should be available within 10 working
days notice being provided
Training should not be delivered more than 5 working days
before live usage of the system.
3.2 Quality
Trainees satisfaction with the training venue will be
measured by a training satisfaction questionnaire and
should not be less than 85%.
The training must have received a positive rating of not
less than 95% as a result of a training measurement
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questionnaire.
3.31 Cycle Time
Training should take no longer than x days/Hours in
total to enable delegates achieve the required standard
of competence.
3.4 ~«Contingency/disaster recovery
Notification of course cancellations must be issued at
the earliest possible time . A minimum of 48 hours notice
must be provided for 98% of cases.
No more that 2% of courses should be cancelled by the
supplier.
When a designated training site becomes inoperative an
alternative must be made available and functioning within
xx days to enable continuation of the training plan.
3.5 Data Accuracy & integrity
There will be no degradation to any transaction data in
the live system environment as a result of accessing
localised training packages.
Training course content will have no factual errors at
the time of acceptance and release.
38 Competence levels
The training services provided must ensure that 95% of
trainees on completion of the course will 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.
Competence levels will be measured for delegates to x
level of the Kirkpatrick model utilised by POCL.
4. Communication
Delegate performance feedback will be provided for each
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person attending a training course.
Regional Offices will be provided with a status report
on delegates whose attainment level of the key
competencies for their user group is below the agreed
standard within 5 days of course completion.
Trainees should receive call up papers one month prior to
proposed date of training course.
é
Call up notices should provide options as to days and
times of attendance for courses.
5. Monitoring Training Services
The CONTRACTOR will supply information to the AUTHORITY
in the agreed format which identifies actual performance
against the key measurables stated.
6. Training review meetings
Review meetings will be held on an agreed regular basis
Operational Trial - Bi-weekly
1st 6 Months Live running - Monthly
7 months > 18 Months - Quarterly
18 Months + Adhoc or emergency review meetings
may be called by either party.
Note : Meetings timing will be subject to agreement these
are only indicators
7. Escalation Procedures
Failures in service levels will be managed and rectified
between the nominated SLA managers of the AUTHORITY and
the SUPPLIER whenever possible.
Issues which cannot be rectified will follow the agreed
escalation path as detailed within the Service Management
schedule
8. Change Management
Permanent variations to the agreed levels of service and
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or the training services provided will be progressed
through the standard change control process.
9. Training Service SLA Management
This SLA will be managed on a day to day basis by
- The XXXXXXXXXXXXXX Manager for BA/POCL
- ond XXXXXXXXXXXXXX Manager for CONTRACTOR
The SLA will be managed within the overall framework of
the agreed Service Management schedule.
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Requirement 916 Release spr 14
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Customer
education
Requirement Description:
Specify recommendations for marketing and education about
the Benefit Payment Service, for all external DSS and SSA
customers (i.e. Social Security benefit recipients and
War Pensioners), and POCL customers, using as a guideline
the AUTHORITIES’ Marketing and Education Plan 1996. This
should include measurable objectives, media to be used
and detailed costings for each stage of the
implementation of the Contract, from the Award of
Contract.
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Requirement 917 Release spr 14
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Customer
education
Requirement Description:
Specify recommendations for marketing and education about
the new infrastructure and POCL applications, for all
POCL external customers, using as a guideline the
AUTHORITIES’ Marketing and Education Plan 1996. This
should include measurable objectives, media to be used
and detailed costings for each stage of the
implementation of the Contract, from the Award of
Contract.
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Requirement 918 Release spr 14
No
Programme General Subject General
Grouping Heading
Customer
education
Requirement Description:
Process requirement for DSS, SSA and POCL:
Communications, marketing and education will be managed
by the AUTHORITIES and the CONTRACTOR. Within this
structure, make recommendations on the allocation of
roles and responsibilities, working processes, cost and
resourcing implications. The AUTHORITIES will retain the
right of veto on all communication, marketing and
education for all DSS, SSA and POCL customers, DSS and
SSA staff, POCL employees, subpostmasters and other
agents and their staff.
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Requirement 919 Release spr 14
No
Programme General Subject General
Grouping Heading
Customer
education
Requirement Description:
Specify and provide costs for the production of education
material in Welsh in accordance with the Welsh Language
Act 1993, about the Benefit Payment Service, for all
Welsh speaking DSS customers and provide this service if
required.
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Requirement 920 Release spr 14
No
Programme General Subject General
Grouping Heading
Supporting
services
Requirement Description:
Provide advice and information in support of internal
communications activity to DSS and SSA staff, POCL
employees, subpostmasters and other agents and their
staff.
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Requirement 921 Release spr 14
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Security
Requirement Description:
The OPS will provide a secure timeout facility for each
countér terminal and back office terminal.
The facility must allow the clerk to resume work with the
minimum delay consistent with achieving security.
It must 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
authorised user.
Under circumstances where the facility has been activated
and the clerk is no longer able to cancel it, for
whatever reason, with appropriate authority: -
the completion of clerk and office balances must be
possible;
it must be possible to make the terminal available to
another authorised clerk;
the circumstance must be logged to the audit trail.
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Requirement 922 Release spr 15
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Systems - design
Requirement Description:
The acoustic noise emission of any item of OPS equipment
must not exceed 60dB(A) measured at a distance of 1m.
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Requirement 924 Release
No
Programme POCL Subject
Grouping Applications Heading
Requirement Description:
spr 15
POCL Applications
(BES)
Service - design
Through BES it must be possible to reconcile the cards
actually held at an outlet against those recorded on the
system(s)
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Requirement 925 Release spr 19
No
Programme Implementation Subject Implementation
Grouping Heading (Joint)
Operational Trial
Requirement Description:
Operational Trial Requirements
&
There are 2 elements to this requirement:
1. The Operational Trial element (in which the 3 phases
"must finish in sequence", and the live trial is of 3
months duration, initially in 10 outlets, expanding to 60
outlets).
2. Steady State Testing (which continues for the life of
the contract, relates to new or amended services, and for
whose live trials parameters will be agreed between the
CONTRACTOR and the AUTHORITIES) .
The second stage may start before the first has finished.
A. The CONTRACTOR must comply with the AUTHORITY'S
approach to, and measurement of, the operational trial
and acceptance testing, contained in the control document
ref. 011 (Operational Trial-Technical & Model Office test
requirements of the service suppliers). Each operational
trial (be it the initial Operational Trial Stage or
subsequent Operational Trials of new or amended services,
individually or in groups) will consist of three distinct
phases, which may overlap but must finish in sequence.
Phase 3 must in each case must not start until the
relevant Phase 2 has been successfully completed .
The phases are listed below:
1 A technical test that confirms that the underlying
systems function correctly.
2 A model office test that simulates the service
provision from end to end.
3 A live trial that tests the service with live
data and true users and customers.
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B The CONTRACTOR will undertake the technical test. The
AUTHORITIES will oversee the technical test. The
AUTHORITIES will agree the test plans and monitor to
ensure that the test is completed effectively. Control
document Ref. 011 contains full details of testing
activities.
cs
C Testing will continue for the life of the contract. As
new services are added or existing services amended these
will be subject to detailed technical, model office and
live trial testing.
D The CONTRACTOR will produce all of the deliverable
documents defined in control document Ref. 011.
E The CONTRACTOR will produce test scripts to reflect
all test conditions supplied by the BA/POCL test team.
The BA/POCL test team reserve the right to define and
produce other test scripts for more testing as required.
F The CONTRACTOR will support the testing taking place
in the POCL Model Office. The Model Office testing is
intended to simulate as far as possible the live
operation of the end to end system without using live
operational data.
G The CONTRACTOR will install hardware, communications
and software and will commission the test equipment in
the agreed configuration at the Model Office site. It is
estimated that 48 terminals will be required at the Model
Office site.
H The live trial phase of the Operational Trial will be
of 3 months duration. It will initially take place in
10 outlets and expand to 60 outlets. The AUTHORITIES and
the CONTRACTOR will agree the location and types of
outlets.
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All live trials will include, but not exclusively:
1 Training of users
2 Installation processes
2. Synchronisation of services
4 Live data handling from end to end
I All new or current products to be migrated on to the
platform must undergo a technical test, a model office
test and a live trial. The parameters of live trials
taking place after the initial (3 month 10 to 60 outlets)
trial will be agreed between the AUTHORITIES and the
CONTRACTOR.
K For maintenance and upgrade purposes the CONTRACTOR
will, in the Operational Trial Stage, proceed as agreed
in close liaison with the AUTHORITIES, and will,
subsequent to that stage, regard the Model Office in all
respects as an outlet.
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Requirement 926 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Roll-out
Requirement Description:
DSS Implementation - Generic Requirement
All roll out plans and changes to the plans to be agreed
with the AUTHORITIES. Any changes to functionality will
be implemented only with the agreement of the
AUTHORITIES. A change control procedure for all aspects
of the service will be agreed with the
AUTHORITIES.
The AUTHORITIES will reserve the right to suspend the
roll out programme if the CONTRACTOR fails to deliver the
agreed service levels.
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Requirement 927 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Documentation
Requirement Description:
DSS Implementation - Procedural Documentation
&
The CONTRACTOR shall provide information to the DSS to
enable them to complete procedure manuals, forms and
leaflets for internal DSS use. The information must
include sufficient detail to allow DSS staff to
understand what happens in the Post Office and the type
of problems Customers are likely to encounter. The
information is required within twenty one (21) days of
the award of contract. In addition, CMS guides will need
to be provided directly by the CONTRACTOR.
There will be an agreed process for updating information
in the procedure manuals, forms and leaflets. This
information must be available, where timescales allow,
four (4) months before the proposed change.
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Requirement 928 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Documentation
Requirement Description:
DSS Implementation - Technical Documentation
#
The DSS will have copies of the Service Architecture and
Design documentation describing CMS, PAS and BES. The
content and level of detail of the Service Architecture
and Design documentation to be agreed with the DSS within
x days of the award of Contract (x to be agreed by the
DSS and CONTRACTOR) .
The Service Architecture and Design documentation will be
updated to ensure information is always current.
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Requirement 929 Release spr 19
No
Programme Implementation Subject Implementation
Grouping Heading (DSss)
Roll-out
Requirement Description:
DSS Implementation - Foreign Encashment
ry
From the start of use of the Card it must be possible for
an Authorised Person to be paid using a Card at his/her
Nominated Post Office and, in accordance with the rules
for Foreign Encashments:
- at any other automated office
- in any main office.
There are approximately 1500 Post Offices classified as
'main' detailed in schedule X (to be issued).
The CONTRACTOR should bear in mind that procedures in
Post Offices will not be allowed to impact on quality of
service measures, and thus it is seen as desirable that
some automated system, enabling at least payments to be
authorised, is implemented in main Post Offices as soon
as possible after the start of roll out. It is
anticipated that some automation will be needed in all
main Post Offices to support Foreign Encashments within
twelve (12) months of the start of roll out.
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Requirement 930 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Installation
Requirement Description:
DSS Implementation - Installation
é
If the CONTRACTOR’s solution requires any activity within
DSS nominated sites the roll out schedule must be agreed
with the Dss.
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Requirement 931 Release spr 19
No
Programme Implementation Subject Implementation
Grouping Heading (Dss
Supporting
services
Requirement Description:
DSS Implementation - Support Services
The CONTRACTOR shall ensure that all agreed support
services will be available to DSS staff and Authorised
Persons at least four (4) weeks before Card payments are
made and all services to perform to agreed Service
Levels.
Appropriate levels of support services must be available:
* to provide support when Users have access to the
system;
* to cover the operation of interfaces with other
systems;
* to provide support for all other Help Desks linked to
the CONTRACTOR Help Desk facility;
* to provide replacement Cards to Authorised Persons who
have reported them lost/damaged/not received.
If appropriate a CONTRACTOR Help Desk will deal with
calls relating to Equipment and Software installed in DSS
nominated sites. This will include, but is not exclusive
to:
* Fault diagnosis
* Maintenance call out
* Caretaking advice
* Configuration management.
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Requirement 932 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Training
Requirement Description:
DSS Implementation - Training
S
The CONTRACTOR shall provide information to the DSS to
enable them to complete training material. This
information is required within twenty one (21) days of
the award of contract. It must be possible to update this
information to incorporate any changes. This information
must be available, where timescales allow, four (4)
months before the proposed change.
The CONTRACTOR will provide training for a limited number
of CAPS training development staff. This training will be
available during Implementation and Steady State.
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Requirement 933 Release spr 20
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Service - design
Requirement Description:
Roll out of Card Payments
*
The current state of roll out planning is for a 3 month
pilot - September to December 1996, followed by a 24
month roll out. There are two key drivers to the volumes
during this period; firstly benefit systems being made
Card ready - this timetable is covered in the CAPS
component release strategy; and secondly the automation
schedule for the Post Offices. There is currently
general agreement between BA and POCL on this schedule.
For planning purposes, the assumption is that both the
above drivers produce linear conversions over the 24
month roll out from January 1997 to December 1998. This
would produce a hyperbolic curve for the number of Card
payments throughout this period - for example, after 12
months, both roll outs would be 50% complete allowing
only 25% of payments to be made by Card. This curve will
be further refined as more detailed plans can be applied.
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Requirement 934 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Interface with
CAPS
Requirement Description:
SERVICE BOUNDARY DEFINITIONS
Fr:
» Service Boundary : CAPS to CMS.
1.1. Business supported across the boundary.
The following business transactions must be supported
across this boundary:
Transactions initiated by CAPS:
* Personal details notification - all DSS Customers
(Beneficiaries and payees) will be referred to throughout
the BPS by their NINO. The first such transaction
involving CMS that relates to a specific Customer will
always be a personal details notification. The CONTRACTOR
must treat this notification both as a statement that
this Person must be able use to any CMS supported
services and also that the personal details supplied must
be used in any CMS supported interaction involving that
Customer. Specifically, once accepted onto CMS the
CONTRACTOR must ensure that a Card (or equivalent token)
is always available to the Customer to enable collection
of benefit payments. This facility must continue until
‘end of interest' is received.
For changes to personal details notified later, the
CONTRACTOR must ensure the revised details are used in
all succeeding CMS supported interactions. Revisions to
personal details will only be supplied via this route and
the CONTRACTOR must ensure this is the only route
available for changing the personal details used by CMS
(the only exception is for Nominated Post Offices which
may be changed by requests from the Post Office counter
as defined in the CAPS to PAS Service Boundary) .
* End of interest notification - when the DSS no longer
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wishes a Customer to be able to use CMS supported
facilities, an end of interest transaction will be sent.
The CONTRACTOR must ensure that, until or if any
subsequent personal details notification is received, the
Person identified is unable to subsequently take any part
in use of any CMS supported facilities (i.e. any
transaction requiring them to hold a Card is rejected).
Thereare no transactions initiated by the CONTRACTOR.
1.2. System and Service responsibility
Business responsibilities are as outlined within the
definition of each business transaction as are any
transaction specific constraints that have been
identified (including specific timing and sequencing
constraints) .
Over and above DSS office staff , equipment and
infrastructure, the CONTRACTOR must provide any staff,
premises, networks (voice and / or data), hardware,
software, procedures and training required to deliver
these services to the nominated CAPS hardware platforms.
The CONTRACTOR is entirely responsible for rollout,
operation and management of all such equipment subject to
DSS approval. The CONTRACTOR must undertake to provide
such connection(s) at sites nominated by the DSS which
may change over the period of the contract.
At Version 1 the CAPS hardware platform will be ICL VME
based and will be located in the ACCs currently operated
for the DSS by EDS. It is for the DSS's operator of the
CAPS services (at Version 1 EDS) and the CONTRACTOR to
agree, subject to DSS approval, the technical nature of
the connection.
The CONTRACTOR’s service responsibilities extends to:
* transport of CAPS created transactions and associated
information (e.g. reference data) from the CAPS service
to their own services along with all subsequent
processing. This normally includes detecting the
availability of such transactions and data on the CAPS
services;
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* provision of all responses to such transactions (e.g.
acknowledgements) along with delivery to the CAPS service
and notification of their availability.
The CONTRACTOR is solely responsible for all activities
required to discharge the above responsibilities. In all
cases he must ensure integrity, security, auditability
and maintenance of full audit trail of all transactions
and data as it is transmitted and processed by him.
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Requirement 935 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Interface with
CAPS
Requirement Description:
1. Service Boundary : CAPS to PAS
1.1 Business supported across the boundary
The following business transactions must be supported
across this boundary:
Transactions initiated by CAPS:
* Payment Authorisation - Customers who, having been
adjudicated as entitled to benefit, will receive one or
more payments. For those Customers who so elect, these
payments may be collected at Post Offices and may require
the use of the Card based method of payment. For each
payment that is to be made available for collection in
this way, the DSS will supply details of the payment and
authorise the CONTRACTOR to enable its collection.
* Payment Stop Request - Having authorised the CONTRACTOR
to make a payment collectable, the DSS need the facility
to withdraw that authorisation (i.e. to stop the
payment). This stop must be successful if issued at any
time after a payment is authorised but before encashment.
* Payment Enquiry - Having authorised the CONTRACTOR to
make a payment collectable, the DSS need the facility to
enquire upon its current status (i.e. awaiting encashment
or encashed). The CONTRACTOR must return the current
status along with encashment details if status is
encashed.
* Personal details notification - all DSS Customers
(Beneficiaries and payees) will be referred to throughout
the BPS by their NINO. The first such transaction
involving PAS that relates to a specific Customer will
always be a personal details notification. The CONTRACTOR
must treat this notification both as a statement that
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this Person must be able to use any PAS supported
services and also that the personal details supplied must
be used in any PAS supported interaction involving that
Customer. For changes to personal details notified later,
the CONTRACTOR must ensure the revised details are used
in all succeeding PAS supported interactions. Revisions
to personal details will only be supplied via this route
and the CONTRACTOR must ensure this is the only route
available for changing the personal details used by PAS
(the only exception is for Nominated Post Offices which
may be changed by requests from the Post Office counter).
*End of interest notification - when DSS no longer wishes
a Customer to be able to use (or be referred to in ) PAS
supported facilities, an end of interest transaction will
be sent. The CONTRACTOR must ensure that, until or if any
subsequent personal details notification is received, the
Person identified is unable to subsequently take any part
in use of any PAS supported facilities (i.e. any
transaction containing their NINO is rejected).
Transaction initiated by the CONTRACTOR:
* Expiry confirmation - CAPS defines the validity period
of a payment and will treat the payment as expired if
uncollected within the specified time. The CONTRACTOR
must also supply confirmation that each such transaction
is uncollectable once it has passed its expiry date.
* Encashment Notification - the CONTRACTOR must notify
CAPS of all BPS encashments.
* Restricted Post Office Infringement - the CONTRACTOR
must notify CAPS of all failed encashment attempts that
would have contravened Post Office restrictions.
*Change Nominated Post Office Request - the CONTRACTOR
must notify CAPS of any requests for Change of Nominated
Post Office by a Card holding DSS Customer at the Post
Office. If such changes are unacceptable to the DSS then
revised Personal Details Broadcasts will be sent to PAS
and CMS notifying the CONTRACTOR of the DSS authorised
Post Office.
1.2. System and Service responsibility
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Business responsibilities are as outlined within the
definition of each business transaction as are any
transaction specific constraints that have been
identified (including specific timing and sequencing
constraints) .
Over and above the DSS office staff , equipment and
infrastructure, the CONTRACTOR must provide any staff,
premises, networks (voice and / or data), hardware,
software, procedures and training required to deliver
these services to the nominated CAPS hardware platforms.
He is entirely responsible for rollout, operation and
management of all such equipment subject to DSS approval.
The CONTRACTOR must undertake to provide such
connection(s) at sites nominated by the DSS which may
change over the period of the contract.
At Version 1 the CAPS hardware platform will be ICL VME
based and will be located in the ACCs currently operated
for the DSS by EDS. It is for the DSS's operator of the
CAPS services (at Version 1 EDS) and the CONTRACTOR to
agree, subject to DSS approval, the technical nature of
the connection.
The CONTRACTOR’s service responsibilities extends to:
* transport of CAPS created transactions and associated
information (e.g. reference data) from the CAPS service
to their own services along with all subsequent
processing. This normally includes detecting the
availability of such transactions and data on the CAPS
services;
* provision of all responses to such transactions (e.g.
acknowledgements) along with delivery to the CAPS service
and notification of their availability;
* transport of CONTRACTOR created transactions and
information from their own services to the CAPS service
and notification of their availability.
* detecting CAPS generated responses to such transactions
and transport of those responses to their own services
along with subsequent processing.
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The CONTRACTOR is solely responsible for all activities
required to discharge the above responsibilities. In all
cases he must ensure integrity, security, auditability
and maintenance of full audit trail of all transactions
and data as it is transmitted and processed by him.
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Requirement 936 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Customer
interface
Requirement Description:
1. Service Boundary : DSS Customer to CMS
In this context a DSS Customer is a Person who is
currently or potentially a Beneficiary or payee involved
in collecting benefit payments via the Benefit Payment
Service.
Throughout this requirement the word 'Card' is used to
mean either a personalised Card that will be valid for an
extended period of time or any Temporary Token that is
used for a limited duration (or limited number of
events). The use of such a Temporary Token is entirely
the CONTRACTOR's choice. It may be acceptable as a way of
guaranteeing access to CMS supported services if there
are circumstances where personalised plastic Cards cannot
be delivered in time. The CONTRACTOR must limit, and
fully define the restrictions applying to, the use of
such Temporary Tokens.
1.1. Business supported across the boundary
The following business transactions must be supported
across this boundary:
Transactions initiated by the CONTRACTOR:
* Customer Education - DSS Customers who will use the BPS
must have information provided to them that enables them
to understand both what facilities are available to them
and how they may use such facilities. Normally the
CONTRACTOR will provide all such information pro-actively
to the Customer (i.e. without an explicit request from
the Customer) although they must provide the facility for
Customers to request such material. The CONTRACTOR may
wish to deliver this element of the service via multiple
interactions with the Customer.
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* Card Issue - Having accepted a Customer as a valid User
of CMS services it is the CONTRACTOR's responsibility to
ensure a Card (or equivalent Token) is available to the
Customer whenever required for benefit payment. An
integral part of this process is therefore the ability to
place a Card in the Customer's hand. The CONTRACTOR must
ensure that they can get a Card to all Customers.
Additionally they must monitor all aspects of the process
to ensure problems lying with the CONTRACTOR or his sub-
contractors are detected and resolved before they affect
the Customer. The CONTRACTOR may wish to deliver this
element of the service via multiple interactions with the
Customer (for instance, the use of Pick-Up Notices (PUNs)
and collection reminders is acceptable although not
mandated. )
This function may be initiated for a variety of reasons
which must include automatic initiation for:
* initial issue of Card to Customers newly authorised to
use CMS facilities;
* replacement of a Card as a result of loss, theft,
damage or destruction;
* renewal of Cards sufficiently frequently to minimise
the number of Cards unusable as a result of normal wear
and tear;
* replacement of Card due to revision of personal details
as passed from CAPS to CMS wherever they affect what is
on the Card.
Transactions initiated by the Customer:
* Customer Enquiries - The CONTRACTOR must provide a
service whereby all of DSS's Customers are able to
enquire on all aspects of the Card Management Service and
receive prompt and accurate responses. Such enquiries
depend on the services proposed by the CONTRACTOR but
must, as a minimum, encompass enquiries about:
* the use of all CMS supported services available to the
Customer;
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* whether the Customer should expect to receive a Card or
not;
* the status, type and expected availability (time and
location) of any Card the Customer is expecting but has
not yet received;
* the status of any Card(s) he currently holds (at a
minimum which are valid for payment collection and which
are not);
* the status of any Card(s) he previously held. It is for
the CONTRACTOR to propose a retention period to be agreed
by the Dss.
* Customer Reports - The CONTRACTOR must provide
facilities by which the Customer can report various
events relating to his Card(s). Having accepted such
reports, the CONTRACTOR is responsible for all subsequent
processing / recovery actions needed to ensure the
Customer can collect whatever payments are due to him.
The reports to be supported are dependant on the
CONTRACTOR solution but must as a minimum include:
* report of non-receipt of Card by Customer - the
CONTRACTOR must undertake ensuing recovering action to
either ensure receipt of that Card by the Customer or
invalidation of that Card along with its replacement;
* report of loss, theft, damage or destruction - the
CONTRACTOR must take whatever invalidation and
replacement actions are necessary.
There are common facilities that the CONTRACTOR must make
available to support any interaction initiated by the
Customer on this service boundary. These include:
* trace facilities to identify the Customer - although
the DSS promotes the use of NINO in communications with
Customers, the CONTRACTOR cannot rely on a Customer
supplying his NINO in any interaction. Nor can the
CONTRACTOR rely on the use of Card numbers (since the
Customer will, in many cases, not have the Card at hand).
Therefore the CONTRACTOR must have other facilities for
identifying Customers based on other information
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available to him. The CONTRACTOR must define what these
facilities are and any circumstances in which they may
require additional DSS support (and hence incur extra
costs to the DSS);
* ensuring the Customer is who he claims to be - the
CONTRACTOR must enforce checks that are sufficient to
prevent fraudulent or malicious use of the services;
* applying agreed access criteria - the CONTRACTOR must
define which Customers can access which services (for
example can a husband report the loss of his wife's Card)
and must gain agreement from the DSS for these
restrictions. Such restrictions must be implemented in
their solution
1.2. System and Service responsibility
All the Card Management functions described above are
entirely the CONTRACTOR's responsibility. The use of DSS
staff and facilities to deliver any part of this service
is possible although subject to the following
constraints:
* the CONTRACTOR must promote the use of his facilities
for delivering all of the services above;
* the CONTRACTOR must minimise the operational impact of
the BPS on DSS staff and services;
* the CONTRACTOR should use existing DSS office equipment
and infrastructure (for example, telephones, terminals,
cables, servers, exchanges, wide area network connections
(voice and data, public and private)). The CONTRACTOR
should not propose a solution that requires rollout of
any additional equipment or any changes to existing
equipment unless it is the most cost-effective taking
full account of any disruption to DSS offices. Any such
disruption costs will be evaluated as part of the cost-
effectiveness of CONTRACTOR proposals;
* the CONTRACTOR must enable the DSS to deliver the
Customer initiated elements of the above services to as
high a quality as that delivered by the CONTRACTOR
directly (although only for periods where DSS offices are
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open to callers). The CONTRACTOR must take all cost-
effective actions to minimise the use that Customers make
of such DSS supported facilities;
* the use of DSS staff and facilities for any other
part of these services is only acceptable if no other
cost-effective solution is viable (for example, if the
CONTRACTOR issues Temporary Tokens then physical
delivering to Customer by DSS staff may be the most cost-
effective solution) ;
* the cost (direct and indirect) of any use of DSS
staff or facilities by the CONTRACTOR will be evaluated
in assessing the overall cost effectiveness of their
solution;
* the CONTRACTOR retains sole responsibility for all
activity and must supply services that enable him to do
so.
The detailed processes are for the CONTRACTOR to define
but:
* must deal with all DSS Customers (including, for
example, those of no fixed abode, those where the DSS has
not been informed of an address, those who cannot attend
the Post Office for Card collection, etc.);
* must not degrade existing service levels (for
example, the Customer must not have to spend
significantly more time or effort in collecting a Card
and supporting material than he does in collecting
current IOPs and supporting material) ;
* must not place other additional burdens on the
Customer (for example, requiring long distance telephone
calls is unacceptable).
Over and above the DSS office staff , equipment and
infrastructure, the CONTRACTOR must provide any staff,
premises, networks (voice and / or data), hardware,
software, procedures and training required to deliver
these services to all of the DSS's Customers. He is
entirely responsible for rollout, operation and
management of all such equipment subject to DSS approval.
The CONTRACTOR must undertake to provide such facilities
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to all Customers and via all DSS locations to be
nominated by the DSS. The CONTRACTOR must provide
connections to all such DSS sites which may be anywhere
in the United Kingdom and which will change both in
number and location over the period of the contract.
At Version 1 connections to all DSS offices are expected.
DSS offices are within the DSS, DHSS(NI), and ES, and
number approximately 2,000 currently (although this
figure may change significantly before full
implementation as well as subsequently) .
For services involving DSS staff, the CONTRACTOR'S
service responsibilities extend to:
e collecting information from the DSS clerk and all
subsequent processing;
e presenting information back to the DSS clerk.
The CONTRACTOR is solely responsible for all activities
required to discharge the above responsibilities. In all
cases he must ensure integrity, security, auditability
and maintenance of full audit trail of all transactions
and data as it is transmitted and processed by him.
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Requirement 937 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Interface with BA
staff
Requirement Description:
at Service Boundary : DSS Staff to CMS
In this context DSS staff are any individuals authorised
by the DSS to administer benefit payment operations.
Throughout this requirement the word 'Card' is used to
mean either a personalised Card that will be valid for an
extended period of time or any Temporary Token that is
used for a limited duration (or limited number of
events). The use of such a Temporary Token is entirely
the CONTRACTOR'S choice. It may be acceptable as a way of
guaranteeing access to CMS supported services if there
are circumstances where personalised plastic Cards cannot
be delivered in time. The CONTRACTOR must limit, and
fully define the restrictions applying to, the use of
such Temporary Tokens.
1.1. Business supported across the boundary
The following business transactions must be supported
across this boundary:
Transactions initiated by DSS Staff:
DSS Staff Enquiries - The CONTRACTOR must provide
facilities whereby all authorised DSS staff are able to
enquire on all aspects of the Card Management Service and
receive prompt and accurate responses. Such enquiries
depend on the facilities proposed by the CONTRACTOR but
must, as a minimum, include all enquiries that a DSS
Customer is able to make and also encompass enquiries
about :
&. for a particular Customer, the current status and
type of all Cards related to him (i.e. all Cards the
CONTRACTOR intends or ever has produced for this Customer
regardless of whether the Customer has received them or
not). For each such Card, a full history of all relevant
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status changes must be available (including date, time
and reason for each status change). Additionally,
information must be available regarding likely dates and
times of any future status changes (for example, when a
Card in production is likely to be available for
collection, when a currently valid Card is due to expire,
etc.);
* for a particular Card, who is the Cardholder. In
addition, all the information above should be available
for that Card.
DSS Staff Reports - The CONTRACTOR must provide
facilities by which DSS staff can report various events
relating to the Card Management Service. Having accepted
such reports the CONTRACTOR is responsible for all
subsequent processing / recovery actions required to
ensure the Customer has continuous, uninterrupted access
to CMS supported services. The reports possible are
dependant on the CONTRACTOR solution but must as a
minimum include:
* report of non-receipt of Card by Customer - the
CONTRACTOR must undertake ensuing recovering action to
either ensure receipt of that Card by the Customer or
invalidation of that Card along with its replacement;
* report of loss, theft, damage or destruction - the
CONTRACTOR must take whatever invalidation and
replacement actions are necessary.
There are common facilities that the CONTRACTOR must make
available to support any interaction initiated by Dss
staff on this service boundary. These include:
* facilities to identify the clerk and ensure he has
security clearance to use the service;
* applying agreed access restriction to particular
functions - the CONTRACTOR must define which categories
of DSS staff can access which services and must gain
agreement from the DSS for these restrictions.
Transactions initiated by the CONTRACTOR
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None are mandated.
Other transactions the CONTRACTOR may propose:
The CONTRACTOR may, subject to various restrictions,
propose solutions that require support for other
interactions across this boundary. Such proposals may
include (but are not limited to):
* €ransitional arrangements - for example to support
Urgent Payment collection (see the CAPS to PAS Service
Boundary requirement) ;
* support for other elements within the boundary of
the CONTRACTOR's responsibility - for example the
CONTRACTOR may propose DSS operational support for
elements of the Card issue process (for instance,
Temporary Tokens) or for tracing Customers the CONTRACTOR
cannot identify (see below for restrictions on such
proposals) .
1.2. System and Service responsibility
All the Card Management functions described above are
entirely the CONTRACTOR'S responsibility. The service
delivered to DSS staff is subject to the following
constraints:
* the CONTRACTOR must promote the use of his CMS
facilities by the DSS's Customers;
* the CONTRACTOR must minimise the operational impact
of delivering these services on DSS staff and services;
* the CONTRACTOR must use existing DSS office
equipment and infrastructure (for example, telephones,
terminals, cables, servers, exchanges, wide area network
connections (voice and data, public and private)). The
CONTRACTOR should not propose a solution that requires
rollout of any additional equipment or any changes to
existing equipment unless it is the most cost-effective
taking full account of any disruption to DSS offices. Any
such disruption costs will be evaluated as part of the
cost-effectiveness of CONTRACTOR proposals;
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* the use of DSS staff and facilities to deliver
elements of the CONTRACTOR'S service is only acceptable
if no other cost-effective solution is viable (for
example, if the CONTRACTOR issues Temporary Tokens then
physical delivering to Customer by DSS staff may be the
most cost-effective solution). The cost (direct and
indirect) of such of DSS staff or facilities by the
CONTRACTOR will be evaluated in assessing the overall
cost effectiveness of their solution.
«
Over and above the DSS office staff , equipment and
infrastructure, the CONTRACTOR must provide any staff,
premises, networks (voice and / or data), hardware,
software, procedures and training required to deliver
these services to all authorised DSS staff. The
CONTRACTOR is entirely responsible for rollout, operation
and management of all such equipment subject to DSS
approval. The CONTRACTOR must undertake to provide such
facilities to all locations to be nominated by the Dss.
The CONTRACTOR must provide connections to all such DSS
sites which may be anywhere in the United Kingdom and
which will change both in number and location over the
period of the contract.
At Version 1 connections to all DSS offices are expected.
DSS offices are within the DSS, DHSS(NI), and ES, and
number approximately two thousand (2,000) currently
(although this figure may change significantly before
full implementation as well as subsequently).
For services to DSS staff, the CONTRACTOR’S service
responsibilities extend to:
e collecting information from the DSS clerk and all
subsequent processing;
* presenting information back to the DSS clerk.
The CONTRACTOR is solely responsible for all activities
required to discharge the above responsibilities. In all
cases he must ensure integrity, security, auditability
and maintenance of full audit trail of all transactions
and data as it is transmitted and processed by him.
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Requirement 938 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Management
interfaces
Requirement Description:
SERVICE BOUNDARY: Data Protection Act 1984 to DSS
Business supported across Service Boundary.
DSS will require access to the information covered and
provided under the Data Protection Act 1984 functional
requirement. The nature and form of the access is not as
yet defined in detail but will be needed to support some
or all of the following:
Fraud detection and prevention;
Security violation investigation;
Probity assurance;
Criminal investigations;
Information to support DSS policy questions;
CONTRACTOR responsibility.
The CONTRACTOR is responsible for providing a detailed
functional specification for approval by the DSS prior to
implementing any services affected by the Data Protection
Act 1984.
The CONTRACTOR is responsible for providing all services
to support the functional requirements.
The CONTRACTOR is responsible for ensuring that any
information supplied under the Data Protection Act 1984
is accurate and that assurances can be given as to the
integrity of that information.
The CONTRACTOR is responsible for delivering any
information requested under the Data Protection Act 1984
to the requesting body, Person or DSS as appropriate.
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Outline Service requirements.
The Data Protection Act 1984 became law from 11/11/87,
all subsequent alterations and reviews to this law must
be integrated and adhered to.
The CONTRACTOR must record all written requests for a
data protection print from a Customer, representative or
DSS within forty (40) days of receipt of the request, and
deal with queries raised within a timescale to be agreed
with the AUTHORITIES.
All information provided under the Data Protection Act
1984 must be made available to facilitate inspection.
Details of responses of a request and response made under
the Data Protection Act 1984 must be retained consistent
with the Data Protection Act 1984 requirements.
Clarification
The following clarification applies to the last sentence
of this requirement:
delete "responses of"
Requirements Page 402 of ITT Version 2.0
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Requirement 939 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Management
interfaces
Requirement Description:
SERVICE BOUNDARY: BPS MIS Reports to DSS
Business supported across Service Boundary
DSS will require access to the Management Information
collected as part of the response to the BPS Management
Information Catalogue requirements. The nature and form
of presentation of this information is not as yet defined
but is expected to be presented in report formats to be
agreed with the DSS.
The Management Information will be required to support
the following: -
Fraud detection and prevention
Security detection and investigation
Failure investigation
Service disputes
Service quality
Audit
Accounting and validation
Information to support policy development, policy
monitoring, Parliamentary and Ministerial questions etc.
CONTRACTOR'S responsibility.
The CONTRACTOR is responsible for providing detailed
response specifications for approval by the DSS prior to
the commencement of collection and reporting of the MIS
required.
The CONTRACTOR is responsible for providing all the
services necessary to support the provision of the
information requested within the BPS MIS Catalogue.
The CONTRACTOR is responsible for ensuring that the
contents of the Management Information reports are
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accurate and that any assurances or appropriate requests
for confirmation of the integrity of the reports is
available.
The CONTRACTOR is responsible for the delivery of the
Management Information reports within an agreed period
following the required completion of the information
collection, and for filtering the limited reports to a
number of central DSS services for further processing.
Outline Service Requirements.
The CONTRACTOR must make available utilities to
facilitate inspection of the Management Information data
by Dss.
The Management Information must be retained for a period
consistent with the Companies Act requirements.
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Requirement 940 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Management
interfaces
Requirement Description:
SERVICE BOUNDARY: DSS to Transaction Receipts.
Business supported across Service Boundary.
DSS will require access to and retrieval of the Receipt
retained as part of the Benefit Payment Service
functional requirement. The nature and form of the access
and retention is not as yet defined in detail but is
likely to support all of the following:
Fraud detection and prevention
Security violation and investigation
Probity assurance
Failure investigation
Service and Contractual disputes
Criminal investigations
Information to support policy development, policy
monitoring, Parliamentary and Ministerial questions
etc.
CONTRACTOR’S responsibility.
The CONTRACTOR is responsible for providing detailed
functional specifications for approval by the DSS prior
to implementing any such services.
The CONTRACTOR is responsible for providing all the
services necessary to support the retrieval of the
receipts as requested by the DSS.
The CONTRACTOR is responsible for ensuring that the
retrieval of receipts and any information requested in
relation to a receipt is accurate and that suitable legal
assurances can be given as to the integrity of the
information or receipt provided.
The CONTRACTOR is responsible for the delivery of the
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receipt(s) to the appropriate destination within a period
of time to be agreed with the DSS, and for filtering any
related data to a number of central DSS services for
further processing.
Outline Service Requirements.
The CONTRACTOR must make available utilities to
facilitate inspection of receipts, associated forms and
appropriate services by the Dss.
Receipts and associated forms must be retained for a
period of twelve (12) months, consistent with that as
detailed in the BPS requirements.
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Requirement 941 Release spr 15
No
Programme Implementation Subject Implementation
Grouping Heading (DSss)
Roll-out
Requirement Description:
DSS implementation - Post Office roll out
&
The planned go live for Post Office automation will be
agreed by the CONTRACTOR and the AUTHORITIES, and the
CONTRACTOR will inform DSS of the acceptance by POCL of
each Post Office installation.
Northern Ireland will be a discrete area for roll out
purposes.
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Requirement 942 Release spr 15
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Audit
Requirement Description:
SERVICE BOUNDARY: DSS to Supplier Audit Trails
#*
Business supported across Service Boundary.
DSS will require access to the audit information captured
as part of the audit trail functional requirement. The
nature and form of the access is not as yet defined in
detail but is likely to be needed to support some or all
of the following:
Fraud detection and prevention
Security violation investigation
Probity assurance
Failure investigation
Service and Contractual disputes
Criminal investigations
Information to support policy development, policy
monitoring, Parliamentary and Ministerial questions
etc.
CONTRACTOR'S responsibility.
The CONTRACTOR is responsible for providing a detailed
functional specification for approval by the DSS prior to
implementing any such services.
The CONTRACTOR is responsible for providing all services
to support the functional requirements.
The CONTRACTOR is responsible for ensuring that the
contents of the audit trail are accurate and that
suitable legal assurances can be given as to the
integrity of the audit trail.
The CONTRACTOR is responsible for delivering the total or
a filtered subset of the audit trail to a limited number
of central DSS services for further processing. The
delivery should include any technical transformation
Requirements Page 408 of ITT Version 2.0
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and/or reformatting that may be required to ensure the
audit trail is understandable by the receiving services.
Outline Service requirements
The audit trail must be maintained during all periods of
operation including fallback and recovery.
The audit trail must record all transaction and data
passing across service boundaries and all major
processing actions
The information recorded must allow tracking of a
business transaction through the CONTRACTOR services and
across service boundaries to other supplier’s services.
The information recorded must identify origin of
transaction, time and outcome.
The audit trail must be made available to the DSS as
logically a single entity showing a chronological trail
of events.
The CONTRACTOR must make available utilities to
facilitate inspection of the audit trail by Dss.
The audit trail must be retained for a period consistent
with the Companies Act requirements.
Requirements Page 409 of ITT Version 2.0
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Requirement 943 Release spr 15
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
PAS must restrict encashment to Great Britain or Northern
Ireland for specific benefits when notified by CAPS.
Requirements Page 410 of ITT Version 2.0
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Requirement 944 Release spr 15
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
Casual Agent encashment must be restricted to the
Authorised Persons Nominated Post Office (x-ref. 768).
Clarification:
The following clarification is provided in relation to
this requirement:
Note that Alternative Payees cannot nominate a Permanent
Agent or Casual Agent to collect any payments for which
they are the Alternative Payee.
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Requirement 945 Release spr 15
No
Programme Implementation Subject Service Level
Grouping Heading Agreements
Installation
Requirement Description:
1. This paper documents the Installation Service Level
requirements for the operational systems.
2. Survey
2.1 The CONTRACTOR will provide [] working days written
notice of the survey date to the OUTLET MANAGER.
2.2 The CONTRACTOR will agree with OUTLET MANAGER the
number of positions to be automated, should this not be
agreed by the region.
2.3 The survey date and time will be agreed with the
OUTLET MANAGER.
2.4 The survey will be undertaken at the agreed date and
time.
2.5 The surveyor will conform to the agreed
identification process before starting the survey.
2.6 The survey will be completed in a maximum of []
visits.
2.7 The CONTRACTOR will give [] days notice to the
OUTLET MANAGER and the database liaison of a cancelled
appointment.
2.8 The CONTRACTOR will agree, within agreed parameters,
with the OUTLET MANAGER and obtain sign off the siting of
the OPS.
2.9 A quality survey will be conducted by the
AUTHORITIES to measure User satisfaction with the survey.
The AUTHORITIES and the CONTRACTOR will agree the
approach to be taken and the format/content of the
questionnaire.
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2.10 The CONTRACTOR will achieve []% satisfaction rating
from the survey.
2 Modifications
3.1 The CONTRACTOR will provide [] working days written
notice of the modifications date to the OUTLET MANAGER.
3.2 The modifications date and time will be agreed with
the OUTLET MANAGER.
3.3 The modifications will be undertaken at the agreed
date and time.
3.4 The CONTRACTOR will give [] days notice to the
OUTLET MANAGER and the database liaison of a cancelled
appointment.
3.5 The CONTRACTOR will agree, within agreed parameters,
with the OUTLET MANAGER and obtain sign off the siting of
the OPS.
3.6 Cosmetic damage will be scheduled for repair within
{ ] days of the requirement being raised.
3.7 98% of repairs will be carried out within their
scheduled timescales.
3.8 Modifications will not be carried out during
specified/ agreed period. These period will be agreed
between the CONTRACTOR and the AUTHORITIES every quarter.
3.9 Visits to carry out further modifications will be
scheduled with the OUTLET MANAGER.
3.10 A quality survey will be conducted by the
AUTHORITIES to measure User satisfaction with the survey.
The AUTHORITIES and the CONTRACTOR will agree the
approach to be taken and the format/content of the
questionnaire.
3.11 The CONTRACTOR will achieve [ ]% satisfaction
rating from the modifications exercise.
4 Installation
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4.1 The CONTRACTOR will provide [] working days written
notice of the installation date to the OUTLET MANAGER.
4.2 The installation date and time will be agreed with
the OUTLET MANAGER.
4.3 The installation will be undertaken at the agreed
date and time.
4.4 The CONTRACTOR will give [ ] days notice to the
OUTLET MANAGER and the database liaison of a cancelled
appointment.
4.5 A quality survey will be conducted by the
AUTHORITIES to measure User satisfaction with the survey.
The AUTHORITIES and the CONTRACTOR will agree the
approach to be taken and the format/content of the
questionnaire.
4.6 The CONTRACTOR will achieve [ ]% satisfaction rating
from the installation exercise.
4.7 The CONTRACTOR will inform the AUTHORITY at the end
of each working day, in a format to be agreed, of the
following, though not exclusively:
- The outlets that have been successfully installed
- Configuration details
e Serial numbers of the OPS
4.8 The AUTHORITIES will at the end of each calendar
month inform the AUTHORITIES of any configuration changes
or swapouts and the relevant serial numbers.
4.9 Cosmetic damage will be scheduled for repair within
{ ] days of the requirement being raised.
4.10 98% of repairs will be carried out within their
scheduled timescales.
Requirements Page 414 of ITT Version 2.0
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Requirement 949 Release spr 16
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Training
Requirement Description:
The Service Provider must be capable of delivering POCL's
total training requirement if required in due course.
Requirements Page 415 of ITT Version 2.0
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Requirement 950 Release spr 16
No
Programme General Subject General
Grouping Heading
Overview of
Solutions
Requirement Description:
Requirement - Service Provider Solutions Document
The Supplier will provide an overview document which will
describe and summarise the solutions they are proposing
in response to the requirements documents sent to them.
It is to be written in such a way that it logically links
back to the requirements.
It is expected that this document will also include
aspects of the overall end to end solution which are not
explicitly defined in the individual responses to
requirements.
The document should be text biased and not exceed 35
pages. It may be supported by annexes which could include
flow diagrams of the technical solution and the support
processes. It should be provided on floppy diskette in
Word 6 (12 point)format accompanied by 3 hard copies.
The format is to cover the following:
BA
This should describe the CMS and PAS services and should
include the following topics:-
Hardware proposed and sizing
Physical locations of central sites
Software proposed
Network (including topology, protocols)
External Interfaces (including CAPS and POCL systems)
Resilience and availability
Security
Fallback and Recovery
Scalability
POCL
An end to end description of how the Post Office
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Strategic Infrastructure will operate covering all
outlets. This should cover the solutions for OP, TMS, SM,
APS, BES, EPOS and OBCS services and should include the
following topics: -
Hardware proposed (with expected utilisation)
Physical locations of central sites
Software proposed (including operating system,
middleware and application software)
Wide Area Network (including topology, protocols,
message authentication)
Security (including any key management)
External Interfaces (including POCL and client systems)
Fallback and Recovery
Resilience and availability
Scalability
System Management
Technical Interfaces
A description of how all the components of the system
interact with each other and with other systems such as
CAPS and Post Office accounting systems
Benefit Payment Service
This should draw together the specific solutions to CMS,
PAS and BES into an integrated end to end picture of how
the system will work. This should draw together the
specific solutions to:-
card design
responsibilities
security
Fraud Investigation
Contingency
Provision of Services
An end to end description of how the solutions will be
implemented and should include: -
Roll out through to steady state
Migration of existing automation and services
Training and Documentation
Customer education and Marketing
Support services, specifically Help facilities.
Requirements Page 417 of ITT Version 2.0
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The report should be written at a level directed at
Programme Team members who will have a knowledge of the
solution proposed.
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Requirement 951 Release spr 17
No
Programme General Subject General
Grouping Heading
Systems - design
Requirement Description:
The Contractor must develop and maintain a document
describing the design of the service architecture.
&
As a minimum the document must specify:
- the major components, provided directly or sub-
contracted, used in providing the services
- the functionality within the major components
= the interfaces between the major components
- the service levels required across the interfaces to
meet the objectives of the overall services
- all the interfaces with the Authorities' systems and
with other parties
The audience for the document will be technical staff
within the Authorities. It must be self contained,
though it is expected that it will reference other
documents to provide further levels of detail as
appropriate. The level of detail within the document
must be such that it gives a thorough background to the
construction of the services and the rationale for the
approach. It is anticipated that the document will be
between 200 and 400 pages in length.
Requirements Page 419 of ITT Version 2.0
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Requirement 952 Release spr 17
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Requirement Description:
APS key management
Service - design
The OPS must support a reliable, secure and encrypted
means for the transfer of data that may subsequently be
used for cryptographic applications at the counter e.g.
the mechanism must be suitable for key management.
Requirements Page 420 of
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Requirement 953 Release spr 17
No
Programme POCL Subject POCL
Grouping Infrastructure Heading Infrastructure
(OPS)
Requirement Description:
Concurrency
é
Service - design
The OPS must support concurrent access to its services.
The OPS must ensure data integrity, e.g. reports printed
at the back office whilst serving at the front office
should be consistent, with a clearly stated policy of
what front office data is included in the report.
The office performance should not be significantly
degraded by other office activity, e.g. front office,
back office and communications activities should not
unduly impact each other.
Requirements Page 421 of
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Requirement 954 Release spr 20
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
If, before expiry of the existing Card
Service - design
and after CAPS
has sent a notification that an Authorised Person no
longer requires a Card, CAPS sends new personal details
for that Customer , the CONTRACTOR must use the existing
Card rather than issuing a new Card.
Requirements Page 422 of
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Requirement 955 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
The CONTRACTOR shall ensure that all Temporary Tokens,
which will have a validity of seven (7) days, are
terminated on payment of the single encashment authorised
by the DSS. If a Authorised Person is entitled to benefit
on successive days additional tokens may be issued for
each days entitlement. All Temporary Tokens will be
payable at the Post Office nominated by the DSS at the
time of issue and retained by the Post Office clerk
following encashment .
Requirements Page 423 of ITT Version 2.0
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Requirement 956 Release spr 18
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Interface with
OPS
Requirement Description:
1. Service Interface : ESNCS to OBCS
1.1. Business supported across the interface
The following business transactions must be supported
across this boundary:
Transactions initiated by ESNCS:
Order Book stops - ESNCS will provide to OBCS
amendments to the currently held list of Order Books that
should be stopped and impounded when they are presented
at a Post Office. That is, Order Books where no further
payment on foils within the specified Order Book should
be made;
Order Book recalls - ESNCS will provide to OBCS
amendments to the currently held list of recalled Order
Books with the recall date. A recalled Order Book will be
impounded upon presentation at a Post Office but payments
Purge Order Book Notification - ESNCS will provide a
list of Order Books which OBCS may purge from its list of
recalls or stops. OBCS will 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 can, on request from either
the DSS or the CONTRACTOR, provide a full list of all
stops and recalls that are currently in force. This is an
ad hoc transaction which requires negotiations between
both parties before it can be initiated.
Transactions initiated by the CONTRACTOR:
Notification of outcome of Order Book receipt at Post
Office - OBCS will notify ESNCS of the outcome of the
Order Book receipt process in the Post Office. The
outcome will be one of:
e the Order Book is acceptable;
e the Order Book is immediately impounded (due to a stop
or recall request previously accepted from ESNCS) ;
e 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;
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Notification of outcome of an Order Book redirection -
the Post Office will detect delivery of an Order Book to
the wrong Post Office and attempt to redirect it to the
correct one. OBCS will notify ESNCS of the outcome of
such events which will be one of:
e the Order Book is redirected successfully;
e the Order Book is immediately impounded (due to a stop
or recall request previously accepted from ESNCS) ;
¢ the Order Book bar-code is found to be unreadable and
is to be sent to a DSS Office for re-issue.
Notification of Outcome of Order Book handover to
customer - OBCS will notify ESNCS of the outcome of the
Order Book handover to customer. The outcome will be one
O£¢
e the Order Book is handed over successfully;
e the Order Book is immediately impounded (due to a stop
or recall request previously accepted from ESNCS) ;
e the Order Book bar-code is found to be unreadable and
is to be sent to a DSS Office for re-issue;
Notification of Outcome of Order Book foil encashment -
OBCS will notify ESNCS of the outcome of the Order Book
foil encashment. The outcome will be one of:
the encashment is successful and the number of foils
encashed is reported;
¢ no encashment is made and the Order Book is immediately
impounded (due to a previous stop request accepted from
ESNCS) ;
e one or more foils are encashed and the Order Book
impounded (due to a previous recall request accepted
from ESNCS) ;
e one foil is encashed and the Order Book is impounded
due to the Order-Book bar-code being unreadable;
Post Office Summary transaction - OBCS will notify
ESNCS daily for each Post Office of:
e the total number of non bar-coded Order Books presented
at that Post Office;
e the total number of Order Books impounded without any
encashments due to the bar-code being invalid.
1.2. System and Service responsibility
The CONTRACTOR must provide all networks, hardware,
software, procedures and training required to connect and
deliver services to the nominated ESNCS platforms. He is
entirely responsible for rollout, operation and
Management of all such resources subject to the approval
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of the DSS. The CONTRACTOR must undertake to provide such
connection(s) at sites nominated by the DSS and which may
change over time.
ESNCS is ICL VME and UNIX based and resides in the DSS
Area Computer Centres operated for the DSS by EDS. It is
for DSS's operator of the ESNCS gateway platform
(currently SEMA) and the CONTRACTOR to agree the
technical nature and implementation of the connection.
This should be in negotiation with EDS and subject to DSS
approval.
The CONTRACTOR cannot change the ESNCS interface as
currently implemented in any way without the agreement of
the DSS. The exception to this is the acknowledgement of
Order Book stops and recalls which is in addition to the
current implementation. A detailed specification is
available to the CONTRACTOR.
The CONTRACTOR'S service responsibilities extend to:
e transport of ESNCS created transactions and any
associated information (e.g. reference data) from the
ESNCS service to their own services along with any
subsequent processing. This normally includes detecting
the availability of such transactions and data on the
ESNCS services;
e provision of responses to transaction where requested
along with delivery to the ESNCS service;
* transport of CONTRACTOR created transactions and
information from their own services to the ESNCS
service and notification of their availability if
required.
The CONTRACTOR must agree a Service Level Agreement with
the DSS prior to service commencement.
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Requirement 957 Release spr 18
No
Programme Implementation Subject Implementation
Grouping Heading (DSS)
Roll-out
Requirement Description:
DSS Implementation - Live Operational Trial
The live Operational Trial will last for approximately
three (3) months. This will initially require X Post
Offices in a small geographical location to be agreed
with the AUTHORITIES within 7 (seven) days of the award
of contract. During this period payments will be made to
a limited number of Customers.
Requirements Page 427 of
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Requirement 958 Release spr 18
No
Programme Implementation Subject Implementation
Grouping Heading (Dss)
Trials & Testing
Requirement Description:
DSS Implementation - Testing
Software and Equipment to be available for the purpose of
end to end testing - to ensure the whole network of
services and system from DSS feeder systems through
PAS/CMS to the finance package are able to work as a
whole.
The CONTRACTOR is required to provide infrastructure and
support services for DSS testing environment.
The CONTRACTOR will produce a testing strategy and plan
to be agreed with DSS within x days of the award of
Contract (x to be agreed by the DSS and CONTRACTOR) .
The Service Acceptance Test of the Operational Trial will
not be closed until all aspects of the Acceptance
Criteria have been met.
Clarification:
The following clarification is provided in relation to
the last paragraph of this requirement:
‘Service Acceptance Test’ is a term used in previous
draft versions of Clause 403 (Operational Trial). This
clause no longer makes reference to this and is therefore
no longer applicable as a distinct term. In the original
drafting of Requirement 958 it was intended to be used as
a generic term to describe a period during which all of
the Acceptance Criteria would be satisfied and was not
retrospectively removed from this requirement. For the
Purposes of Requirement 958 therefore this term is no
longer appropriate and may be disregarded. The last line
of this Requirement may therefore be interpreted as:
‘The Operational Trial will not be closed until all
aspects of the Acceptance Criteria have been met’.
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Es
Requirements Page 429 of ITT Version 2.0
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Requirement 959 Release spr 18
No
Programme Implementation Subject Implementation
Grouping Heading (DSS)
Service - design
Requirement Description:
The Urgent Payment and immediate stop facility will be
required by July 1997.
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Requirement 960 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (EPOSS)
Accounting &
reconciliation
Requirement Description:
ZERO-VALUE TRANSACTIONS
a&
POCL records various zero-value EPOSS transactions to
measure work done, for example for various Royal Mail and
Parcelforce activities and for distribution of various
forms, for example Ellls. 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.
The automated transactions need to be considered
separately. Initially these will be:
* Automated Payments which fall into two categories:
- smart cards, where "voids" from a clerk viewpoint
are really recorded as reversals and any
transactions are recorded (even if zero value)
once the client has been identified since this
implies interaction with the smart card;
- swipe-cards or keyed transactions, where recording
of zero value transactions is controlled by
product parameters for minimum and maximum values
but where a transaction can be made void during
customer service and thus not recorded;
* Benefit Encashment transactions, which may be zero
value for various reasons, e.g.:
- customer terminates before signing the
declaration, perhaps as a quasi-enquiry;
- clerk terminates, perhaps if unsatisfied by
customer identity, etc.;
I no payment due;
- no payment available at this office (e.g.
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restricted office or foreign encashment) ;
- the transaction is normally zero value,
e.g. requested change of nominated office,
statement request;
* probably also associated benefit card transactions,
expected to be "automated" but with POCL sub-
contracted to the Service Provider as "client",
recording:
-“ receipt of batches of cards into offices and
returns of uncollected cards;
- issuing of cards to cardholders;
* perhaps recording of the dispatch of receipt/
declaration bundles to the CONTRACTOR'S storage and
retrieval facility, depending on how the CONTRACTOR
wants this done;
* and also, potentially, transitional arrangements for
OBCS with registration of order book receipt and
issue in offices.
Particular aspects are:
a) zero value BES transactions should be recorded on the
EPOSS transaction log and included in data passed to
POCL's TIP system, as indicated in requirement 881
(nil-value receipts) ;
b) Automated Payments should continue as now;
c) extra automated transactions, including zero-value
ones such as those indicated above for card/book/
receipt movements should be designed as products in
the normal way with normal transaction controls and
data flows, including interfaces with POCL systems.
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Requirement 961 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Security
Requirement Description:
The CONTRACTOR shall ensure that the reverse of the Card
mandates that Cards which are found ARE NOT returned to
the Post Office but to a secure freepost address
nominated by the CONTRACTOR.
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Requirement 962 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Customer
education
Requirement Description:
The CONTRACTOR shall ensure that the reverse of the Card
carries a message that reminds the Authorised Person of
their responsibility in reporting changes in
circumstances which may affect their entitlement to
benefit, to the DSS. The content of the message is to be
agreed between the DSS and the CONTRACTOR.
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Requirement 963 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
All payments made using contingency procedures must be
clearly distinguishable from routine payments when
notified to CAPS.
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Requirement 964 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Interface with
CAPS
Requirement Description:
PAS must be able to handle temporary increases in the
volume of data from CAPS during recovery of a CAPS
failure (to catch up with data lost during the failure).
The CONTRACTOR must specify what constraints their
solution will impose under such circumstances.
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Requirement 965 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Service - design
Requirement Description:
The POCL counter clerk must not be able to enter the
amount encashed. They must only be able to indicate
whether the amount authorised by CAPS has been collected.
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Requirement 966 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Requirement Description:
Service - design
In the event of a postal dispute, or other unforeseen
circumstances, CMS must be able to introduce new
Authorised Persons to the service in a secure and
auditable manner to allow collection of Authorised
Payments on the due date. Such events must be clearly
distinguishable from routine introductions to prevent
duplication and to support audit.
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Requirement 967 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Interface with
CAPS
Requirement Description:
CMS must be able to handle temporary increases in the
volume of data from CAPS during recovery of a CAPS
failure (to catch up with data lost during the failure).
The CONTRACTOR must specify what constraints their
solution will impose under such circumstances.
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Requirement 968 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (CMS)
Service - design
Requirement Description:
If the CONTRACTORS solution includes the issue of a Pick
Up Notice (PUN) the DSS may require the issue of
information notes prepared by the CONTRACTOR and any
other associated collateral material (to be agreed
between the CONTRACTOR and the DSS) to be issued with the
PUN. It is not envisaged that the collateral material
will increase postage costs. CONTRACTORS should
separately identify the cost of providing such a service.
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Requirement 969 Release spr 19
No
Programme POCL Subject POCL Applications
Grouping Applications Heading (BES)
Service - design
Requirement Description:
When the CONTRACTOR is notified by POCL that for whatever
reason the Nominated Post Office is closed unexpectedly
(e.g. audit closure, safe failure, fire etc., but not
including failure of the Operating Platform), BES will
allow Authorised Persons to encash their benefits at a
post office other than their Nominated Office. These
transactions will not be recorded as a Foreign Encashment
as outlined in requirement 770.
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Requirement 970 Release spr 19
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Requirement Description:
Service - design
The CONTRACTOR must have a process for identifying (in
conjunction with POCL) Post Offices that have been
permanently closed (for any reason) and which alternative
Post Office should be used.
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Requirement 971 Release spr 19
No
Programme Implementation Subject Implementation
Grouping Heading (POCL)
Interface with
POCL applications
Requirement Description:
Farnborough requirement
z
It is a POCL requirement that its automated payment
clients receive only one stream of unreconciled data
irrespective of the source of the polling at outlets (via
whether Farnborough or CONTRACTOR facilities). The
CONTRACTOR and the AUTHORITY will agree a strategy to
achieve this requirement from day 1.
The strategy will 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.
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Requirement 972 Release spr 19
No
Programme Implementation Subject Implementation
Grouping Heading (Joint)
Roll-out
Requirement Description:
The CONTRACTOR will conform to the AUTHORITIES rollout
strategy, which is as follows:
1. Installation will take place in major conurbations
first.
2. The M25 area and Northern Ireland will be subject to
separate rollout plans.
3. The M25 rollout will take place during the second
half of the overall timetable.
4. The rollout will start in September 1996 and end in
December 1998.
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Requirement 973 Release spr 20
No
Programme End to End Subject Interfaces
Grouping Service Heading
Flexibility -
services
Requirement Description:
Services supplied by the CONTRACTOR may, during the
lifetime of the contract or at termination, need to be
replaced or supplemented with services provided by other
suppliers. It must therefore be both technically and
commercially viable for the CONTRACTOR’S services to be
replaced by and/or interface to services from other
suppliers. To support this, the CONTRACTOR must declare
all internal interfaces between separate service
components within the overall service boundary (including
those between PAS and CMS, PAS and the POCL
Infrastructure, CMS and the POCL Infrastructure). For
each interface the supplier must provide an interface
specification covering the same properties and to the
same level of detail as Requirements 934-940 and 942. The
CONTRACTOR must also describe the costing and charging
basis for integration with other suppliers' services.
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Requirement 974 Release spr 20
No
Programme Implementation Subject Implementation
Grouping Heading (DSs)
Service -
development
Requirement Description:
Benefits Agency Migration
The migration of benefit payments into CAPS and the
CONTRACTOR's services will be in accordance with the
Benefit Migration Timetable provided.
This timetable is
provisional, and may be subject to change.
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Requirement 975 Release spr 21
No
Programme Benefit Payment Subject DSS Services
Grouping Service Heading (PAS)
Flexibility -
services
Requirement Description:
BPS must be flexible to allow other benefit payment
postal authorities e.g. Channel Island Post Offices,
British Forces Post Offices and Isle Of Man Post Offices,
to be connected to it without significant re-engineering
should the AUTHORITIES require to do so in the future.
Requirements Page 447 of 448 ITT Version 2.0
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Requirement 976 Release spr 20
No
Programme Benefit Payment Subject Interfaces
Grouping Service Heading
Documentation
Requirement Description:
The CONTRACTOR should comply with the service interface
requirements which are detailed in requirements 934 - 940
and 942, and in more detail in the BA/POCL Service
Interface Definition Document.
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