Invitation to Tender for the Provision of
Managed Services for ICT, Back-Office
and Facilities Management for
Parking and Other Appeals Service and
Managed ICT Services for
London Councils
Version 8 03/07/14
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CONTENTS
SECTION B: BACKGROUND INFORMATION ____________________________________ 5 SECTION C: INSTRUCTIONS TO TENDERERS _________________________________ 14 SECTION D: SPECIFICATIONS ______________________________________________ 23 LOT 1 SPECIFICATION: THE PARKING AND TRAFFIC APPEALS SERVICE (PATAS) __ 24
Lot 1 Appendix A. PATAS indicative transaction volumes – estimated values for
information only based on historic data (where available) for Lot 1 ________________ 50 Lot 1 Appendix B - Extract from the current Statutory Register ___________________ 51 Lot 1 Appendix C PATAS Opening Hours ___________________________________ 52 Lot 1 Appendix D Service Levels __________________________________________ 53 Lot 1 Appendix F Reports________________________________________________ 54 Lot 1 Appendix G User Access Devices - PATAS/POPLA/RUCTA Users (Lots 1 and 5) 55 LOT 2 SPECIFICATION: Managed ICT Services for PATAS and the other appeal services (Lots 1 and 5) _____________________________________________________________ 56 Lot 2 - Appendix A Hardware and Software Asset Register ______________________ 65 Lot 2 - Appendix B – Service levels ________________________________________ 66 Lot 2 Appendix C – Current Hearing Centre opening hours ______________________ 67 Appendix D – User Access Devices ________________________________________ 68 LOT 3 SPECIFICATION: ICT Managed Service Requirements (London Councils Southwark Street) __________________________________________________________________ 69 Appendix A Current LC ICT System Assets _________________________________ 81 Appendix B Service Levels _______________________________________________ 82 Appendix C - Third Party Contracts ________________________________________ 83 Appendix D User Access Device Requirements ______________________________ 84 Lot 4: TRANSACTION SERVICES ____________________________________________ 85 Lot 4 Appendix A – TEC Code of Practice ___________________________________ 93 Lot 4 Appendix B - TEC Data User File V5 __________________________________ 94 Lot 4 Appendix C- TEC User Guide 4 ______________________________________ 95 Lot 4 Appendix D – Indicative Volumes – estimated values for information only based on historic data (where available) for Lot 4 _____________________________________ 96 LOT 5: Other Appeals Services _______________________________________________ 97
Lot 5 Appendix A – Indicative Appeals and Other Transaction volumes – estimated
values for information only based on historic data (where available) for Lot 5 _______ 101 SECTION E: CONTRACT __________________________________________________ 102 SECTION F. SERVICE LEVELS AND SERVICE CREDITS ________________________ 103 SECTION F APPENDIX 1: SERVICE LEVELS AND SERVICE POINTS ______________ 104 SECTION F APPENDIX 2: SERVICE CREDITS _________________________________ 109 SECTION F APPENDIX 2: SERVICE CREDITS - Annex 1 _____________________ 113 SECTION F APPENDIX 2: SERVICE CREDITS – Annex 2 ____________________ 116 SECTION G: REPORTS FROM SERVICE PROVIDER ___________________________ 119 SECTION H: TENDER RESPONSE __________________________________________ 120 SECTION H APPENDIX 1: Form of Tender _____________________________________ 120 SECTION H APPENDIX 2: Freedom of Information Questionnaire ___________________ 123 SECTION H APPENDIX 3: Tender Submission Checklist __________________________ 124 SECTION H APPENDIX 4: TUPE Information ___________________________________ 126 SECTION H APPENDIX 5: Qualitative (non-price) Schedule _______________________ 127 Lots 1 and 5 Qualitative (non-price) Tender Response Schedule ________________ 135 Lot 2 Qualitative (non-price) Tender Response Schedule ______________________ 140 Lot 3 Qualitative (non-price) Tender Response Schedule ______________________ 143 Lot 4 Qualitative (non-price) Tender Response Schedule ______________________ 146 SECTION H APPENDIX 6: Pricing Schedule ___________________________________ 149 SECTION H APPENDIX 7: MUTUAL NON-DISCLOSURE AGREEMENT _____________ 156
3 SECTION A: INTRODUCTION AND OVERVIEW
Background
1. London Councils represents all 32 London boroughs, the City of London, the Metropolitan Police Authority and the London Fire and Emergency Planning Authority. London Councils is committed to fighting for more resources for London and getting the best possible deal for London’s 33 councils. It also acts as a think-tank in new policy initiatives, spreads good practice amongst its members and provides a range of valuable services. London Councils is in an ideal position to advise on a wide range of issues relating to local government and other matters of concern to Londoners. It also works closely with the national Local Government Association and with many private, voluntary and public sector bodies.
2. London Councils Transport and Environment Committee (TEC) is responsible for transport policy, traffic and parking enforcement (including managing the London-wide night time and weekend lorry control scheme), the Parking and Traffic Appeals Service, concessionary fares and regulatory and environmental issues. The concessionary fares schemes include the Freedom Pass that provides more than 1.3million older and disabled people with free public transport, and Taxicard which offers subsidised travel in taxis and private hire vehicles (PHVs) to over 100,000 Londoners with mobility problems.
3. London Councils invites Tenders for the provision of a Contract or Contracts for an initial period of either five or seven years from 03 July 2015 with an option, subject to agreement by London Councils Transport and Environment Committee, to extend the initial period by further yearly periods not exceeding three years in aggregate.
4. The Specifications for each lot in Section D of this ITT outline the requirements for the respective lots which the Tenderer must meet (if the relevant lot is bid for) in order to deliver a quality service to London Councils.
5. The format of Tenderer’s response to this ITT is set out at SECTION H APPENDIX 5: Qualitative (non-price) Schedule, which details a set of key questions for each lot that the Tenderer must answer for each lot that the Tenderer is bidding for, using the response pro forma in Appendix 5.
6. The Pricing Schedule is included at SECTION H APPENDIX 6: Pricing Schedule, which the Tenderer must complete for each lot that the Tenderer is bidding for, using the response pro forma in Appendix 6.
General Information
7. London Councils is seeking tenders from companies who are able to provide the Managed Services on our behalf. The services required fall into the broad category of administrative and ICT support, they do not extend to participation in the formal adjudication process.
8. The successful Tenderer will be able to demonstrate how new technologies will be employed to drive effectiveness, efficiency, cost and productivity gains for the Authority. The services are divided into five lots; however bidders should note that lots 1 and 5 will be let together.
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9. Lot 1 is for the PATAS Appeals Services including the design, development, delivery, hosting and maintenance of the appeals Case Management System (CMS) and related User Access Devices (UAD) and peripherals.
10. Lot 2 is for ICT support, comprising: software, hardware and support (for the London Councils’ staff based in the London Councils’ offices at 2 Angel Square London EC1V 1NY)1
11. Lot 3 is for the ICT support, comprising: software, hardware and support (for London Councils’ staff based in the London Councils’ offices at 59½ Southwark Street, London SE1 0AL)
12. Lot 4 is for transactional services (Tow-away, Recovering and Clamping Enquiry (TRACE) and Traffic Enforcement Centre (TEC)
13. Lot 5 is for other appeals services (RUCAT & POPLA) (see also Lot 1, as Lot 1 and 5 will be let together)
14. At the PQQ stage, tenderers were able to bid for one or more lots however, because lots one (1) and five (5) are both for appeals services and the
requirements are broadly the same, bids were only considered for Lots 1 and 5 combined. Lots 1 or 5 will not be awarded separately nor will we let Lot 1 or 5 to different Service Providers. With the exception of lots 1 and 5, Tenderers were able to bid for a single lot or any combination of multiple lots including bidding for all 5 lots.
15. Tenderers bidding for multiple or all Lots should clearly indicate in their bid if they would be willing to enter into a contract for a fewer number of lots in the event that London Councils decides to award individual or a combination of lots to different Service Providers or does not award contracts for all of the lots. Tenderers should only now submit bids for the lots for which they submitted a PQQ response and where these responses have been evaluated and the Tenderer has been approved and informed in writing that they are a qualified bidder for the relevant lot(s).
16. Unless otherwise stated the successful Service Provider(s) must be capable of having all services described in SECTION D: SPECIFICATIONSD fully operational on the service commencement date of 3 July 2015.
1 Bidders are asked to note that London Councils’ current lease of Angel Square expires on 24th
March 2015, after which date London Councils currently has no right to occupy the premises. Terms had been agreed for a new 10 year lease of the premises, subject to contract, and it was London Councils’ intention to agree and complete the new lease before 25th March 2015. However, London Councils has now been informed that no new lease will be granted for Angel Square. London Councils is seeking an extension of the current lease until the end of the existing PATAS contract in July, but cannot confirm that this will be granted. Consequently, bidders should note that the PATAS, RUCAT and POPLA services will have to move to another central London location (to be confirmed), which London Councils intends to have ready for the commencement of the new service.
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SECTION B: BACKGROUND INFORMATION
1. The Appeals Services (Lots 1 and 5)
The Parking and Traffic Appeals Service (PATAS)
2. The Parking and Traffic Appeals Service administers the independent tribunals established to hear appeals against Penalty Charge Notices issued by the London Local Authorities and Transport for London.
3. The Parking and Traffic Adjudicators Tribunal is a statutory tribunal independent of the enforcement authorities.
4. The Parking and Traffic Adjudicators decide appeals relating to Penalty Charge Notices issued by Transport for London and the London local authorities known as the 'enforcement authority' (EA) for parking, bus lane, moving traffic, lorry ban, littering and waste receptacle contraventions.
5. The Service Provider services in Lot 1 in support of the PATAS include:
a) Administrative support for PATAS
b) Provision of the Appeals Service call-centre (the Enquiry Service)
c) The design, development, delivery, hosting and maintenance of the appeals case management system (CMS or ‘the System’), including the related UADs and peripherals.
d) Hosting, backup and disaster recovery of servers for the CMS e) IT Helpdesk
The Road User Charging Adjudicators Tribunal (RUCAT)
6. The Road User Charging Adjudicators Tribunal is an independent tribunal which decides appeals against Congestion Charging penalties and Low Emission Zone penalties in London. The tribunal is independent from Transport for London.
7. Cases in both the PATAS and RUCAT are decided by independent adjudicators, each of whom are qualified either as a barrister or solicitor and directly appointed by the Lord Chancellor. They decide each case impartially, applying the law to the facts of the case.
8. The Appellant must first have made their case (‘representations’) to the EA who issued the Penalty Charge Notices and have had their representations rejected.
9. Details of all registered appeals and decisions are recorded in the statutory register. The register can be viewed in person by members of the public at the Hearing Centre at 2 Angel Square London EC1V 1NY during normal opening hours.
10. The Service Provider services in Lot 5 in support of the RUCAT include:
a) Administrative support for RUCAT b) Access to the Appeals CMS
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11. POPLA is dedicated to providing easy and efficient dispute resolution for parking charge notices issued in respect of parking on private land.
12. The Protection of Freedoms Act 2012 was passed by Parliament in order to return to the British public, ‘freedoms’ they feel other legislation has eroded or removed over time.
13. The Act deals with a wide range of issues and one of those is the ban on immobilising (‘clamping’) or removing (‘towing-away’), without lawful authority, vehicles that are parked on private land.
14. The Act also introduced the concept of 'keeper liability' for vehicles parked on private land. However, for this, there had to be an independent appeals service, provided by funding from the parking industry through the British Parking
Association (BPA).
15. That independent service is known as Parking on Private Land Appeals or POPLA. Assessors at POPLA determine appeals from those who have been issued with parking charge notices, in respect of vehicles parked on private land. The motorist must first have made their case (‘representations’) to the operator who issued the parking charge notice and have had their representations rejected.
16. POPLA is independent of all parties to appeals, including the operator and the British Parking Association. This service is run by London Councils under contract with the BPA.
17. The Service Provider services in Lot 5 in support of the POPLA include:
a) Administrative support for POPLA b) Access to the Appeals CMS
ICT Support (Lots 2 and 3) Lot 2
18. The Service Provider services for Lot 2 comprises ICT support for the PATAS and other Appeals Services located in the LC offices at 2 Angel Square London EC1V 1NY, including:
a) provision of hardware, software, network and telephony components used by the London Councils’ staff and Service Provider staff located at those premises b) network wiring located in those premises and communications equipment that
enables communications with the Appeals Case Management System and other London Councils’ offices/locations and the Internet
c) all UAD hardware used by London Councils’ staff at those premises, together with related systems/operating software,
d) provision of ICT communications services, including: telephony and recording equipment to the adjudicators/assessors, the hearing centre and London Councils appeals tribunal administration team
e) asset refresh, hosting of servers(other than those provided under lots 1, 3 and 5)
f) helpdesk
g) on-site ICT support to the Parking and Traffic and other Appeals Services at Angel Square, London EC1V 1NY.
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Lot 3
19. The Service Provider services for Lot 3 comprise ICT support for London Councils at their offices at 59½ Southwark Street, London SE1 0AL, including:
a) the installation and maintenance of hardware, software, network and telephony components used by the London Councils’ staff located in the London Councils’ offices at 59½ Southwark Street, London SE1 0AL
b) the network wiring and communications equipment located in those premises that enables communications with other London Councils’ offices/ London Councils’ staff locations and the Internet
c) hosting of servers (other than those provided under lots 1,2 and 5) d) IT helpdesk support.
e) Provision of UAD (i.e. desktops/laptops) used by LC staff at those premises
Transactional Services (Lot 4)
20. Transactional Services encompass 2 services: the Traffic Enforcement Centre (“TEC”) data transfer service and the Tow-away, Removal and Clamping Enquiry (“TRACE”) service
TEC
21. Traffic enforcement centre is the bulk processing section of Northampton County Court where penalty charges are registered as debts. London Councils’ Transport and Environment Committee collates information from and distributes information to their local authorities. The local authorities may use London Councils TEC link to transmit data files to TEC via a data communication link.
TRACE
22. London Councils provides a helpline service for anyone whose vehicle may have been towed away. TRACE can help if a vehicle is removed for illegal parking by any council in London. The helpline is open 24 hours a day, 365 days a year. TRACE will advise which pound the vehicle has been moved to and provide information on the procedure for release.
23. The Service Provider services in lot 4 in support of Transactional Services include:
a) monitoring, storing and managing statistics and data relating to the use of Transactional services by all parties
b) establishing and maintaining the link between London Councils and the external parties insofar as they are used for the transmission, validation and reconciliation of the Transactional services information.
Current service provision
24. The current services included in this ITT for lots 1, 2, 4 and the RUCAT (lot 5) are provided under a contract with Capita (For the Provision of Managed Services, IT Telecommunications, General Business Support and Facility Processing Services).
25. The current services for lot 3 are provided by the City of London and its ICT Service Provider (Agilisys). This contract ends on 3 July 2015.
26. London Councils administers POPLA (lot 5) under a contract with the British Parking Association (BPA). All current POPLA contracts and agreements are due to end on 30 September 2015.
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27. POPLA does not currently receive services under the contract with Capita however in the event that the BPA extends its contract with London Councils for
administering POPLA, POPLA may require services under lot 5 of the new contract which is the subject of this ITT. This is likely to be known in the spring of 2015.
28. Similar to POPLA, London Councils is contracted by the Greater London Authority (GLA) to provide the RUCAT therefore provision of managed services for RUCAT under this ITT will be subject to the continuation of the contract with the GLA. The GLA has recently agreed to extend this contract to December 2016.
Definitions and interpretation
Appellants People who appeal against a Penalty Charge Notice or, as the case may be, a Parking Charge Notice
Adjudicator(s) Those appointed to consider appeals registered with PATAS or RUCAT
Authorised Users Staff with various levels of authority and approval to access the CMS
Assessors Those appointed to consider appeals registered with POPLA
Case File
A single file containing all of the information, documentation and evidence relating to a specific appeal
Case Management System (CMS)
The on-line web-enabled Case Management System (CMS) to be designed, developed, maintained and supported by the Service Provider for Lots 1 and 5, and related UADs/peripherals
Chief Adjudicator Adjudicator responsible for co-ordinating the Adjudicators
Desktop
The Windows environment that takes you to your files, applications etc.
EA/Enforcement Authority
The 32 London Boroughs, the Corporation of London, Transport for London and London Councils
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Enquiry Service The Service for receiving and handling all enquiries including telephone, postal, email and on-line
Facilities’ Technical Specifications
Specifications for the facilities related equipment managed by the Service Provider at the Authorities premises including CCTV, access card production and panic alarm hardware and software
Hearing Centre
The facility at the PATAS Premises where appellants’ cases are heard in public by the Adjudicators and Assessors
ICT Information, Communications and Technology
ITIL
The Information Technology Infrastructure Library (ITIL) is a set of practices for IT service management (ITSM) that focuses on aligning IT services with the needs of the business
KPI Key Performance Indicator
Lead Adjudicator Adjudicator responsible for co-ordinating the Assessors
London Councils’ Premises
The London Councils’ headquarters offices located at 59½ Southwark Street, London SE1 0AL
Office Automation The range of business computing facilities for use by London Councils staff
Operators Private companies using the POPLA Service
Order for Recovery
County Court order for recovery of an unpaid penalty charge which has been registered as a debt at the Traffic Enforcement Centre
Notice of Appeal
The form which begins the appeal process and which explains to the independent Adjudicator or, as the case, may be Assessor, and to the enforcement authority or, as the case may be the operator why the motorist challenges the rejection of their initial
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PATAS The Parking and Traffic Appeals Service based at 2 Angel Square London EC1V 1NY
PATAS Core Hours
The standard opening hours of the Appeals Hearing Centre, which are Monday to Thursday 7.30am to 6.30pm, Friday 7.30am to 6.00pm and Saturday, 8.00am to 2.00pm)
PATAS Premises The London Councils’ offices at 2 Angel Square London EC1V 1NY
PC A physical computer that has a screen, keyboard and mouse that would normally sit on a desk
PCN
In the case of PATAS or RUCAT, means 'Penalty Charge Notice', being a legal notice issued by one of the enforcement authorities following a parking or traffic contravention. Or In the case of POPLA, means a 'Parking Charge Notice' issued by an operator.
Personal Hearings
A face to face meeting between the Appellant and the Adjudicator who will decide their appeal rather than receiving the decision by post
POPLA Parking on Private Land Appeals
RUCAT The Road User Charging Appeals Tribunal
Service Credit
A unit of value equal to 1% of the monthly payment due to the Service Provider. Service Credits shall be set as a percentage of the relevant Charge and credited to the AUTHORITY. The amount of Service Credits in any Year for each Lot shall be limited to a maximum of 10% of the total annual Charge for all elements within the Lo as set out in Schedule SECTION H APPENDIX 6: Pricing Schedule for all elements within each Service.
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A payment to the Authority of Service Credits. At the discretion of the Authority, the Service Credit Payment shall either be paid directly to the Authority or deducted from payments due by the Authority.
Service Credit Threshold
The threshold number of Service Points in any given month that triggers Service Credit Payments to the Authority. If the number of Service Points accrued by the Service Provider in a month is equal to or greater than the number specified then the particular threshold for the specified Service Type, the threshold has been reached and each service credit will be converted and result in a 1% reduction in fee for that month.
Service Point
A unit of measurement related to the achievement of pre-specified Service Levels. Service Points (SPs) shall accrue to The Authority when, through no fault of the Authority, the Service Provider fails to meet the Service Levels.
Service Type
Groupings of services measured against Service Levels for each of the Lots, categorised as follows: 1. System Availability (all Lots);
2.System Performance (all Lots);
3. Performance of the Services (including – Case preparation (Lots 1 and 5)
– Mail and correspondence (Lots 1 and 5) – TRACE service performance (Lot 4) – Call centre (Lots 1, 4 and 5)
– Service Improvements (all Lots)
4. IT Service Help desk (all Lots) 5. Restoration of Fail-over and Disaster Recovery (all Lots)
Statutory Declarations A Statutory Declaration is a formal legal declaration sworn under oath
Statutory Register or Register
The Statutory Register is a public record of all of the Adjudicators' decisions in each case, as required by the relevant legislation.
Service Level
The Service Levels are a set of required levels of performance of the Services defined for each lot and set out in the Specification of the relevant lot
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Traffic Enforcement Centre, which is a registration point for local authorities that have de-criminalised on-street parking charges, and for local and other enforcing authorities registering charges including vehicle emission penalties, road user (congestion) charging penalties and bus lane contravention penalties
Termination Threshold
The threshold for a particular service or services that when breached, the Service Provider shall be in material Default of the Agreement. Termination Thresholds will be measured across months, quarters and annually. Should the Termination Threshold be breached, the Authority reserves the right to invoke Termination clause in the Generic Conditions of Contract.
The Service Provider The successful bidder(s) that have been awarded the contract(s) for lots 1 – 5
The System
Lot 1 and 5 - The CMS to be developed by the Service Provider together with any other ICT software/facilities required meet the requirements set out in the Lot 1 Specification, including facilities to retrieve, validate, collate and make available to the Adjudicators and the London Councils staff all the information and functionality required to enable them to carry out their functions and duties.
The PATAS ICT Infrastructure
Lot 2 - The hardware, software, network and telephony components used by the LC staff located in the LC offices at 2 Angel Square London EC1V 1NY, including network wiring located in those premises and communications equipment that enables communications with the System and other LC offices/locations and the Internet
The LC ICT System
Lot 3 - The hardware, software, network and telephony components used by the LC staff located in the LC offices at 59½ Southwark Street, London SE1 0AL, including network wiring located in the London Councils’ Premises and communications equipment that enables communications with other LC offices/locations and the Internet
TRACE A service provided by London Councils to allow members of the public and other organisations to
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locate a vehicle that has been towed away
Users or End Users
The personnel using The System, ie the Chief Adjudicators, Lead Adjudicator, Adjudicators and Assessors, together with the LC staff using the PATAS ICT Infrastructure and the LC ICT System
User Access Devices
User Access Devices (UAD) are computer peripherals, such as a PC, laptop, PDA, Tablet, printer or mobile phone, that an End User uses to access the System or the LC ICT System
Valid Appeal An appeal registered with PATAS, RUCAT or POPLA, as the case may be
Verification Code A case specific code supplied by an operator or EA with the rejection of an appellant’s representations
Witness Statement A statement in response to an Order for Recovery made on one of the specified grounds
Working day
Monday to Saturday inclusive during the hours when the Hearing Centre is operating excluding Bank Holidays
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SECTION C: INSTRUCTIONS TO TENDERERS
Methodology1. Tenderers are asked to complete the schedules in SECTION H: TENDER RESPONSE stating how they will deliver the services required as specified for each Lot in Section D. Tenderers should submit a separate Form of Tender for each Lot they are bidding for.
2. The tender response should indicate how they will meet the requirements of the relevant specification and how overall functionality will be integrated, delivering an efficient, cost effective service. However, Tenderers need to consider all sections of the Tender documentation carefully to fully complete the Tender.
3. Tenderers must give due regard to the following:
a) How the CMS will be designed and developed, including interactions during this process with the main users of the system and the provision of design
documentation to the Authority during the development process b) How the fully specified service will be delivered.
c) Communication and data transfer and system interrogation methodology. d) System support, hosting, maintenance and availability for the duration of the
contract.
e) For planning purposes, the submission from Tenderers should be based upon the volumes indicated in the specification. However, Tenderers should note that future volumes may vary and are not guaranteed.
f) Provision of project plans including key milestones and dates for delivery, testing, training and system go live.
g) Provision of diagrams and flow charts of the system architecture and data flows.
h) Tenderer’s response documents should be in Word and Excel (ideally 2010) formats
Management
4. The client-side project manager during the implementation will be the Chief
Contracts Officer. There will be monthly project management meetings during the implementation stages and thereafter monthly board meetings of the Core Group throughout the life of the contract between the Service Provider and London Councils, which will be recorded. These meetings will monitor the progress of the implementation, contract and performance of the Service Provider. London Councils also reserve the right to call for urgent meetings should issues arise relating to changes to the contract or poor performance.
Performance Review, Service Levels and Service Credits
5. Service Levels and Service Credits are set out in Section F.
6. The contract will be subject to on-going performance monitoring. Given the considerable impact poor performance will have on PATAS service users and the reputation of London Councils, Service Provider performance will be measured against Service Levels, as this is critical and the provisions of Appendix 7c of the conditions of contract will therefore be invoked in the event of Service Provider non–performance.
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7. The Service Provider will have a three month grace period from 3 July – 2
September 2015 (inclusive) in which the performance will be measured, though will not be assessed. The provisions of Appendix 7 of the conditions of contract will therefore not apply to this grace period.
Timetable
8. London Councils intends to follow the timetable below to ensure that it is possible to commence the contract on 3 July 2015. However, London Councils reserves the right to amend the timetable.
Action Target Date:
Issue ITT to shortlisted Tenderers 12/05/2014 Bidders open day including
presentation/explanation of ITT documents and Q&A with adjudicators.
22/05/2014
Bidder meetings (these will provide bidders the opportunity to meet with and ask key Authority staff technical questions related to the ITT)2.
w/b 26/05/2014 and w/b 02/06/2014
Deadline for Tenderers’ questions relating to the Conditions of Contract and Invitation to Tender
20/06/2014
Issue of final Tender Circular, issued to all recipients of an ITT, responding to questions received
25/06/2014
Tender submission date 07/07/2014
Bidder presentations and site visits w/b 18/08/2014 and w/b 25/08/2014
Evaluation of tenders completed 12/09/2014 Report to the Transport and Environment
Committee 16/10/2014
Contract Award (subject to mandatory
standstill period) TBC 10/2014-11/2014
Issue of contract and commencement of
transition period TBC 11/2014
System in place 03/06/2015
Contract commencement 03/07/2015
9. No Tenderer will be given further information at any stage of the tender process that is not generally provided to all Tenderers.
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Bidders should note that the questions and answers generated by these meetings will be shared with all bidders in the form of FAQs. These will be worded so as not to identify commercially sensitive information or the identity of the bidders.
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Requirements of Service Providers
10. If you are aware that the submission of your tender may give rise to a potential conflict of interest please inform Stephen Boon, Chief Contracts Officer at
[email protected] A conflict of interest may arise where you are related to a member or staff officer of London Councils or you have privileged information about the organisation that places you at an unfair advantage over other competitors in the bidding process, or where your organisation is intimately involved as an agent for a party to an appeal.
11. You should be aware that the information you submit may be subject to a request for information. The provision of any information to external parties by London Councils is determined by statutory conditions provided for in the Freedom of Information Act 2000. All information provided by London Councils shall be treated by the Tenderer as confidential except where prior written consent has been given by London Councils that such information may be disclosed for the purpose of obtaining sureties and quotations in preparation for the Tender. The dissemination of information within your organisation should be on a need-to-know basis. By the deadline for the receipt of tenders, the Tenderer must submit their bid to deliver the Managed Services. All tenders must be signed in ink by directors or other
managers authorised for that purpose.
12. Tenderers must obtain for themselves all information necessary for the preparation of their tender including, but not limited to, all research, investigations and
enquiries to have satisfied itself as to the nature, extent, standards, volumes and character of the services to be provided. Information supplied to Tenderers by London Councils is supplied only for the general guidance in the preparation of the tender. Tenderers must satisfy themselves as to the accuracy of any such
information and no responsibility is accepted by London Councils for any loss or damage of whatever kind and howsoever arising from the use by Tenderers of such information. No claims will be entertained whatsoever before or after the award of the contract if inaccuracies in the measurement of descriptions are discovered.
The Tender
13. Tenders should be completed in full for the relevant Lot or Lots that the Tenderer is bidding for and must be strictly in accordance with these instructions and without qualification. For the avoidance of doubt, Tenders will not be accepted and will be disallowed by London Councils if they are:
a) Qualified
b) Not submitted as instructed
c) Not received by the date and time specified on the Form of Tender
14. All documents must be submitted in English. All prices and rates should be quoted in pounds sterling.
15. London Councils does not bind itself to necessarily accept the lowest priced Tender or any Tender at all. London Councils will not be liable for or pay any expenses, losses or costs incurred by the Tenderer in submitting its Tender. The Tenderer shall have no claim whatsoever against London Councils in respect of such costs and in particular (but without limitation) London Councils shall not make any payments to the successful Tenderer or any other Tenderer save as expressly provided for in the Contract and (save to the extent set out in the Tender
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Documents) no compensation or remuneration shall otherwise be payable by London Councils to the successful Tenderer in respect of the Services by reason of the scope of the Services being different from that envisaged by the successful Tenderer or otherwise.
Accompanying Documents
16. By the deadline for receipt of Tenders specified in timetable above, the Tenderer must also submit all associated documentation indicated on the SECTION H APPENDIX 3: Tender Submission Checklist as well as the checklist itself.
17. All Tenderers should note all documentation in support of their Tenders must be submitted in accordance with Schedule H: Tender Response including the Form of Tender and returned to the address set out in the section below on Format of Tender Responses.
18. The Authority has issued a Mutual Non-Disclosure Agreement (MNDA) to all Tenderers who have successfully registered their interest in tendering for the relevant Lot or Lots for the Project . The MNDA is contained within
19. SECTION H APPENDIX 7: MUTUAL NON-DISCLOSURE AGREEMENT of the Invitation to Tender (ITT).
20. The MNDA must be signed and returned to the Authority in order that SECTION H APPENDIX 4: TUPE Information which contain sensitive and confidential
information can be disclosed to the Tenderers.
21. The Authority will endeavour to provide the Appendices above within [2/5] working days following receipt of the signed MNDA. Signed MNDA’s will be accepted by the Authority up to and including 13 June 2014.
22. Failure to return the signed MNDA by the deadline of [13 June 2014.will mean that access to the above Appendices will not be provided to Tenderers. Tenderers may still submit a Tender Response. Tenderers will have to accept that risk when preparing their Tender Response without having had sight of this information.
23. The Authority will return one copy of the MNDA duly signed on behalf of the Authority to the Tenderer as soon as reasonably practicable.
24. Any Tenderer who has not received the MNDA, should contact the Authority as soon as possible.
Format of Tender Responses
25. If you wish to apply, four (4) copies, plus one (1) electronic copy of your tender response for each lot that the Tenderer is bidding for should be sent to London Councils to arrive no later than 12 noon Monday 23 June 2014. The envelope should be plain without any reference to the Tenderer and marked: “Tender Application”. Responses should be sealed, clearly marked for the attention of Frank Smith, Director of Corporate Resources, and sent to the following address:
London Councils, 59½ Southwark Street, London SE1 0AL
26. Electronic versions of the tender will be accepted; however, only in addition to the required hard copies. Please allow for receipt of electronic tender to occur over a
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full working day. Tenders may also be sent by e-mail to:
[email protected] however they MUST also be received by the above mentioned due date and time. A hard copy MUST also be provided by the specified due date and time. E-mailed tenders will not be accepted in isolation.
27. If necessary, you may seek clarification on the tender process, contract terms and conditions or any of the documentation by contacting Stephen Boon, Chief
Contracts Officer. All enquiries should be sent to
28. Enquiries will not be answered if received after Friday 13 June 2014. Tenderers should note that responses to each enquiry will be copied to all organisations tendering (though will not identify the originator of the enquiry). On no account before the tender opening date is the Tenderer to contact or communicate with any other person involved in work concerning this Invitation to Tender unless London Councils redirects the enquiry. The canvassing of London Councils’ employees or members will result in disqualification.
Non-Consideration of Tender
29. London Councils may in its absolute discretion refrain from considering any Tender if:
a) It is not in accordance with these Instructions to tenderers and all other instructions issued by London Councils during the tender period;
b) The tenderer makes or attempts to make any variation or alteration to the terms of the Tender Documents, except where a variation or alteration is provided or permitted in accordance with the terms thereof.
Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE) (see Appendix 4)
30. NOTE TO TENDERERS, THIS SECTION WILL BE UPDATED AND CIRCULATED TO ALL TENDERERS AS PART OF A TENDERERS’ CIRCULAR.
Form of Tender and Tendered Pricing Schedule
31. The Form of Tender (Appendix 1) for each Lot for which the Tenderer is bidding must be signed: Where the Tenderer is a company, by two directors or by a
director and the secretary of the company, such persons being duly authorised for the purpose;
32. The Tenderer must complete the Pricing Schedule (Appendix 6) and associated Excel Workbook for the relevant Lot or Lots for which it is bidding and include the completed schedule with its Tender.
33. All rates and prices requested in the Pricing Criteria (Section H) shall be inclusive of all disbursements and any other costs or expenses necessary.
34. The Form of Tender for the relevant Lot or Lots which Tenderers are bidding for must be duly completed and returned via the London Tenders Portal by no later than 12.00 noon GMT on 23 June 2014.
35. Any Tender or any accompanying documentation submitted after such date and time will not be considered. It is suggested that Tenderers make arrangements for Tenders to be submitted at least one day prior to the above time.
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36. The Tender Offer for the relevant Lot or Lots which Tenderers are bidding for must be made on the Form of Tender provided by London Councils. Any unauthorised substitution of this Form shall result in the rejection of that offer.
Rates and prices
37. Rates and prices quoted must be exclusive of value added tax.
38. Where errors are found in the priced tender documents the Tenderer will be given details of the errors and given an opportunity of confirming his offer or of amending it to correct genuine errors. Should he elect to amend his offer with the result that the revised Tender is no longer the lowest or best value Tender; the offer that becomes the lowest or best value will be examined.
39. If the Tenderer elects not to amend his offer, an endorsement will be required indicating that all rates or prices in those documents (excluding preliminary items, contingencies, prime cost sums) are to be considered as reduced or increased in the same proportion as the corrected total of priced items exceeds or falls short of his offer price (again excluding the items contingencies and sums mentioned above). The endorsement shall be signed by both parties.
40. If the Tenderer does amend his tender figure, and possibly certain of the rates in his documents, he will either be allowed access to his original Tender to insert and initial the correct details or be required to confirm all the alterations in a letter. If in the latter case his revised tender is then recommended for acceptance, a copy of the letter will be attached to the Tender acceptance letter or form before that acceptance is sent or communicated in any way to the Tenderer; the acceptance letter or form itself will record clearly that the amended Tender figure and rates in the Tenderer’s letter are substituted for those in the original Tender.
Freedom of Information Questionnaire
41. Tenderers should note that in accordance with the obligations placed upon public authorities by the Freedom of Information Act 2000 (“Act”), all information
submitted to London Councils may be disclosed by London Councils in response to a request made pursuant to the Act. Tenderers are requested to consider the content of the Freedom of Information Questionnaire appended to these at
SECTION H APPENDIX 2: Freedom of Information Questionnaire and to complete this questionnaire and submit it with their Tender submission.
Evaluation of Tenders
42. London Councils intends to award the Contract for the relevant Lot or Lots on the basis of the Tender which represents the most economically advantageous tender to London Councils in terms of price and quality. See Section H for details.
43. In evaluating the Tender for the relevant Lot or Lots London Councils will have regard to the factors set out in the specification and the separate evaluation section of this Invitation To Tender In accordance with Part 5 of the Public Contracts
Regulations 2006 (“The EU Regulations”), London Councils has set out in the Tender Response (Section H) of this Invitation To Tender a scoring matrix that specifies the award criteria and weightings of the criteria that shall be applied by London Councils in evaluating the Tenders for the relevant Lot or Lots and determining the most economically advantageous tender.
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44. The successful Tenderer will be required to execute a formal contract/s for the relevant Lot or Lots which embodies the terms of all the tender documents. The contracts for the relevant Lot or Lots will be prepared by the City of London’s Comptroller and City Solicitor as legal adviser to London Councils.
45. The successful Tenderer will be required to execute the formal Contract/s for the relevant Lot or Lots promptly at London Councils’ request.
Conditions of Contract
46. London Councils proposes to conclude the Contract/s for the relevant Lot or Lots on the terms set out in SECTION E: CONTRACT of this ITT.
47. Tenderers must raise any concerns and/or questions that they may have with London Councils Conditions of Contract before Friday 13 June 2014.
48. This Contract is tendered under the EU Restricted Procedure and is therefore subject to the full regime of the Public Contracts Regulations 2006 (“the EU Regulations”). Therefore London Councils cannot and will not enter into any negotiation of the Generic Conditions of Contract for all Lots or amendments to the Generic Conditions of Contract or accept any amendment to the Contract
documentation after the Tender submission date.
49. Tenderers shall keep their respective Tender valid and open for acceptance by London Councils for 180 days from the Tender return date.
Rejection of Tenders
50. London Councils reserves the right to reject any Tender submitted by a Tenderer in respect of which the Tenderer:
a) Discloses to any third party prices shown in its Tender except where such disclosure is made in confidence in order to obtain quotations necessary for the purposes of financing or insurance; and/or
b) Enters into any agreement with any other person that such other person shall refrain from submitting a Tender or shall limit or restrict the prices to be shown by any other Tenderer in its Tender; and/or
c) Fixes prices in its Tender in accordance with any arrangement with any person or by reference to any other Tender; and/or
d) In connection with the award of the Contract commits an offence under the Bribery Act 2010 or gives any fee or reward the receipt of which is an offence under Section 117(2) of the Local Government Act 1972; and/or
e) Has directly or indirectly canvassed any member or official of London Councils concerning award of the Contract or who has directly or indirectly obtained or attempted to obtain information from any such member or official concerning any other Tenderer or Tender submitted by any other Tenderer; and/or f) Has done anything improper to influence London Councils during the tender
period; and/or
g) Has failed to use the English language; and/or
h) Is known to practice or permit discrimination in employment on the grounds of sex, colour, religion, race or ethnic or national origins; and/or
i) Has failed to return the Form of Tender and Tender Response Documents fully completed and signed or any of the Accompanying Documents
j) From a Tenderer where London Councils believes that there has been any form of co-operation or collusion with another Tenderer.
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Non-Consideration of Tender
51. London Councils may in its absolute discretion refrain from considering any Tender if:
c) It is not in accordance with these Instructions to tenderers and all other instructions issued by London Councils during the tender period;
d) The tenderer makes or attempts to make any variation or alteration to the terms of the Tender Documents, except where a variation or alteration is provided or permitted in accordance with the terms thereof.
Acceptance of Tender
52. Following evaluation of the Tenders London Councils will make a decision on which, if any, Tender for the relevant Lot or Lots shall be accepted. Committee approval may need to be obtained for London Council’s award of this Contract or Contracts.
53. As the procurement of this Contract is subject to the full application of the EU Regulations, London Councils must observe a minimum 10 calendar days standstill period before it awards the contract to the successful Tenderer(s). All Tenderers will be notified of London Councils’ award decision as soon as possible after the decision is made and the standstill period will commence the day the Tenderers are issued with such notification. As soon as possible after the end of the standstill period London Councils will award the contract to the successful Tenderer.
54. Any acceptance by London Councils of a Tender for the relevant Lot or Lots shall be notified to the successful Tenderer in writing by the City of London’s Comptroller and City Solicitor as legal adviser for London Councils.
55. The successful Tenderer will be required to commence the Contract on 3 July 2015 (or such other date to be advised) being the Commencement Date.
Confidentiality and Ownership of Documents
56. The Tender Documents and all other documentation issued by London Councils relating to the Contract/s shall be treated by the Tenderer as private and
confidential for use only in connection with the Tender and any resulting contract and shall not be disclosed in whole or in part to any third party without the prior written consent of London Councils, save where such information has been disclosed for the purposes of obtaining quotations from proposed insurers and/or sub-Service Provider and other information required to be submitted with the Tender or as required to be disclosed in accordance with the law.
57. The copyright in all the Tender Documents and any additional information supplied by London Councils, unless stated otherwise in this document, shall vest in London Councils and all such documents and all copies thereof are and shall remain the property of London Councils and must be returned to London Councils upon demand.
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Tenderers’ Warranties
58. In submitting a Tender for the relevant Lot or Lots, the Tenderer warrants, represents and undertakes to London Councils that:
a) All information, representations and other matters of fact communicated
(whether in writing or otherwise) to London Councils by the Tenderer or its staff in connection with or arising out of the Tender are true, complete and accurate in all respects.
b) It has carried out its own investigations and research, has satisfied itself in respect of all matters relating to the Tender Documents and that it has not submitted the Tender and has not entered into the Contract in reliance upon any information, representations or assumptions (whether made orally, in writing or otherwise) which may have been made by London Councils other than in the Tender Documents or in any Tender Circulars that may be issued in accordance with above.
c) It has full power and authority to enter into the Contract and provide the Services and will if requested produce evidence of such to London Councils. d) It is of sound financial standing and the Tenderer and its directors, officers and
employees are not aware of any circumstances (other than such circumstances that may be disclosed in the audited accounts or other financial statements of the Tenderer) submitted to London Councils which may adversely affect such financial standing in the future.
e) It has, and has made arrangements to ensure that it will continue to have, sufficient working capital, skilled staff, equipment, and other resources available to deliver the Services in accordance with the Contract and for the initial
Contract Period and any period of extension.
f) It has obtained, or it has made arrangements to ensure that it will have obtained by the Commencement Date, all and any necessary consents, licences and permissions to enable it to carry out the Services and it will throughout the Contract Period obtain and maintain all further and necessary consents, licences and permissions to enable it to continue so to do.
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SECTION D: SPECIFICATIONS
Definitions and interpretation1. Wherever the Specification states that the Service Provider must "supply" or "provide" a service or item, this means that the Service Provider must implement that service or item, where necessary, fully tested, installed and operational at its own cost, unless otherwise stated.
2. The Specifications for each Lot are set out below and should be read in
conjunction with the table of defined terms (above), which are common across the 5 lots.
Compliance with legislation
3. The Service Provider must comply with all relevant new legislation that may be introduced during the contract term. In meeting this obligation, the Service
Provider will supply any new equipment, software, hardware and stationery without passing on any of its costs or charges whatsoever to London Councils for payment.
The Lots
The lots to be awarded under this contract are as follows:
Lot 1 – PATAS Administrative Support Services & CMS Lot 2 – PATAS ICT Support Services
Lot 3 – London Councils ICT Support Services Lot 4 – Transactional Services
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LOT 1 SPECIFICATION: THE PARKING AND TRAFFIC APPEALS
SERVICE (PATAS)
1. London Councils' Overall Business Objectives
1.1 London Councils' overall minimum requirement under this Lot is to provide administrative support to the Appeals Services (as described in outline in the ITT and more fully elsewhere in this Lot 1 Specification) and the Hearing Centre located at the PATAS Premises (i.e. the London Councils’ offices at 2 Angel Square London EC1V 1NY – for this definition and those of the other defined terms used in this Lot 1 Specification, the Tenderer should refer to the table of defined terms in the ITT at section D), and the design, development, maintenance, hosting and support of an on-line web-enabled Case
Management System (CMS, or ‘the System’) for PATAS to ensure that: a) PATAS Staff and Adjudicators can perform their functions efficiently and
effectively;
b) the appellants and the Enforcing Authorities (EAs) find the Service both simple to use and accessible;
c) all case work is correctly handled on a timely and efficient basis.
1.2 The Service Provider shall ensure that all case and case-related information is reviewed and correctly recorded and documented to allow both the PATAS staff and Adjudicators to carry out their duties, to ensure that both postal and personal appeals are processed and hearings held with the minimum of waiting time for appellants and with minimum necessary bureaucracy, to register the outcome of different case related activity and inform all parties of the outcome.
1.3 The procedures for dealing with appeals to the Parking Adjudicators are contained in the Road Traffic (Parking Adjudicators) (London) Regulations 1993 (as amended or re-enacted from time to time) and the Civil Enforcement of Parking Contraventions (England) Representations and Appeals
Regulations 2007 (as amended or re-enacted from time to time). These regulations are available on the PATAS web-site (www.patas.gov.uk).
1.4 London Councils expects there to be continuous improvement in the Service and that the Service Provider shall be proactive in suggesting improvements or alternative ways of providing the services delivered under the Agreement. Timescales for the implementation of such improvements will be mutually agreed.
2. Scope of Services to be provided by the Service Provider
2.1 The Service Provider shall meet the requirements described in this
specification and shall support PATAS on behalf of London Councils for the duration of the Agreement.
2.2 The Service Provider shall provide for the provision of possible future requirements described in paragraph 17.
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2.3 The services required fall into the broad category of administrative support services (including IT support services for the CMS, clerical services and other services, such as reception & security) for the Appeals Services based at the PATAS Premises. They do not extend to participation in the formal
adjudication process, or to the functions of London Councils’ staff except as described below.
2.4 In the following paragraphs, “the System” refers to all the CMS and other facilities required to retrieve, validate, collate and make available to the Adjudicators and London Councils staff all the information and functionality required to enable them to carry out their function in the most efficient and effective manner.
2.5 The Service Provider shall provide all the clerical and other staff required to provide the services described in this Lot 1 Specification.
3. Key Business Requirements
3.1 London Councils' requirements fall into the following main categories:
a) data capture and case management for all appeals, ancillary applications, statutory declarations and witness statements;
b) dispatching, handling and receiving of communications, notices and correspondence (both appeal and non-appeal related);
c) provision and maintenance of a publicly available statutory register; d) hearing centre activities, including clerical, administrative, security
and IT support to the CMS;
e) administration of Adjudicator sittings; f) telephone enquiry service;
g) management information and ad hoc reporting;
h) support to the CMS for Adjudicators and Authority staff working remotely, especially outside core operational hours;
i) hard copy and CMS data storage and protection
3.2 The Service Provider should note that none of the above is static and should be prepared to make adjustments for changes in legislative requirements and new types of appeals as they arise.
3.3 The Service Provider should also note that all of the requirements under this Lot need to be integrated, or at least interact closely with each other, to achieve the overall objectives.
3.4 The Service Provider shall provide a new System3 to meet the requirements summarised above and ensure that the CMS technology is capable of
supporting adjudication (both postal and personal appeals) from any location, as well as at the Hearing Centre at the PATAS Premises, within the term of the Agreement. It should be noted by the Tenderer that London Councils has an existing CMS in which it holds the IPR, a copy of which may be made
3 New in this context is meant from London Councils’ perspective. London Councils intention is to
procure the most economically advantageous service, where the tenderer believes that London
Councils’ requirements can be met using or adapting commercial off the shelf systems, it should set out the advantages of such an approach and these will be given due consideration.
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available to Tenderer upon request, for evaluation by the Tenderer as to its suitability as a platform for the development of the System as defined in this Lot 1 Specification. The Tenderer should understand, however, that any resulting software developed by the Service Provider based on the use of the existing London Councils’ CMS software must appear to the User as a single fully-integrated system and London Councils must be satisfied that the
resulting system is fit for purpose and will provide the basis for the delivery of a new CMS for use by the Appeals Services for the forthcoming future. The IPR in any software developed by the Service Provider specifically for London Councils will reside with London Councils.
3.5 The Service Provider shall provide a System, such that all data, including all communications, notices and correspondence, can be transferred
electronically within PATAS and between PATAS and other stakeholders, including London Councils and the EAs.
3.6 Each of these specific requirements is covered below.
4. Data Capture and Case Management
4.1 The Service Provider shall design, develop, provide, support and host an on-line web-enabled CMS which can handle a variety of circumstances which arise in the management of cases. These include but are not limited to the following requirements:
a) establishing case files;
b) registering and acknowledging receipt of appeals, including the capture onto the System of the Notice of Appeal (NoA) form from the Appellant (electronic or paper) and any other correspondence/enquiry from the Appellant (electronic or paper). The Service Provider will need to review correspondence/documentation upon receipt to determine whether any other correspondence constitutes an appeal or not.
c) Validation of NoAs. To be valid, the NoA must contain an office use box4 (paper appeals) or an electronic code with the following information:
i. Have a PCN (of a standard format);
ii. Have been issued with a Notice of Rejection (NoR);
iii. Have been lodged within the time limits for making an appeal; iv. Have been made by the appropriate person (registered keeper,
driver/operator {for Lorry Ban appeals} or their authorised
representative, or person who paid for the release of the vehicle (in clamp/remove cases););
d) If an NoA is valid then the case must be scheduled by the System
immediately according to the Appellants preferences on that NoA (Postal or Personal and availability if Personal);
e) notifying the EAs of all appeals, evidence and correspondence received from the appellant;
f) dealing with appeals that are out of time and in a non-standard form and If the NoA is not valid (ie, is defective) additional actions will need to be taken by the Service Provider. Defects include:
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ii. Inconsistent appeals (registered keeper and appellant different); iii. Incomplete appeals (no PCN or signature {need to discuss with
Adjudicators as to whether signatures are still required given the shift to electronic appeals);
iv. Out of Time;
g) registering, acknowledging and giving direction to Statutory Declaration (SD) and Witness Statement (WS) referrals, including data capture of SD)/WS from EA in prescribed form (electronic);
h) requesting and recording information from all parties to the appeal; An NoA or SD/WS that has been scheduled may be subject to any of the following:
i. Do Not Contest (DNC) from the EA; ii. Withdrawal Request from the appellant; iii. EA Evidence;
iv. Additional Appellant evidence;
v. Digital Evidence – either from appellant in the form of a CD/USB etc. or from EA in a prescribed form (preferably on line);
vi. Hard copy evidence (to be accessed at hearing centre); vii. Requests to reschedule (from either party);
viii. Additional requests (from either party) – e.g. signer, interpreter;
ix. Linking/Grouping with other cases (using a variety of criteria);
i) logging and tracking documents including attachments and evidence that is not capable of being held electronically (“unscannable” evidence) and maintaining a secure and auditable system for the storage and retrieval of such evidence;
j) managing the information required for all cases;
i. It must be possible to close the case on the basis of a DNC or Withdrawal Request;
ii. It must be possible to access all additional evidence from the case;
iii. It must be possible to create ad hoc letter on the case at any time, without the necessity for correspondence being received. k) scheduling, rescheduling and adjourning hearings and notifying EAs of
each stage of an appeal; An Adjudicator has a variety of actions available on a case opened for consideration:
i. Issue a decision (Allowed/Refused) for all cases or Refused with Recommendation for TMA cases);
ii. Formally adjourn the case to another date. Both parties are notified of the new hearing, which could be either a personal or postal hearing, and the Adjudicator can make additional
requests/directions to each party. It should also be possible to make a recommendation to either party during this adjournment that will be recorded on the case;
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iii. Formally suspend a case (or adjourn to no date). Both parties are notified that the case has been suspended/adjourned but no date has been set;
iv. Stand a case down. The Adjudicator is not ready to decide the case, but does not want to formally adjourn or suspend the case either. This should result in no correspondence being generated; v. On a linked/grouped case, the Adjudicator should be able to
adjourn cases en mass or issue a single decision across multiple cases.
l) conducting personal hearings and considering postal appeals;
m) notifying appellants and EAs of adjudication outcomes;
n) dealing with post-decision actions, there are a number of actions/events that could take place on a case after the decision has been made;
i. The Service Provider should identify the action required where possible and categorise accordingly;
ii. It should be possible to re-categorise any piece of correspondence as required.
o) dealing with applications for case reviews, these can be received from either party to the appeal and could be in relation to any decision or direction made by the Adjudicator. The applicant is entitled to request that the review take place at either a personal or postal hearing; The review process is effectively a 2 stage process – 1st
the application for review is considered and then, if successful, the appeal as a whole is considered;
i. If the application is for a postal review, the validity of the application will be considered immediately, and a number of action should be available:
ii. Schedule the application for an appeal hearing (either postal or personal), and issue any directions/requests within the
notification of that date to the parties; iii. Reject the application;
iv. Adjourn/Suspend consideration of the application and write to the party/parties.
v. If the application is for a personal review, it must be scheduled for a hearing. At the hearing, a number of actions should be available:
vi. Schedule the application for an appeal hearing at a later date (either postal or personal), and issue any directions/requests within the notification of that date to the parties;
vii. Reject the application;
viii. Adjourn/Suspend consideration of the application and write to the party/parties
ix. Issue an appeal decision (i.e. accept the review application and consider the appeal immediately)
p) dealing with cost applications, a Cost Application can be received from either party to the appeal and there can be multiple cost applications on a case. The applicant is entitled to request that the costs application be considered at either a personal or postal hearing;
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i. If the application is for a postal hearing, it will be considered immediately, and a number of action should be available: 1. Issue a costs decision (i.e. accept the application for costs and
consider it immediately)
2. Schedule the application for a full hearing (either postal or personal), and issue any directions/requests within the notification of that date to the parties;
3. Refuse the application;
4. Adjourn/Suspend consideration of the application and write to the party/parties.
ii. If the cost application is for a personal review, it must be scheduled for a hearing. At the hearing, a number of actions should be available:
1. Issue a review decision (i.e. accept the review application and consider the appeal immediately)
2. Schedule the application for an appeal hearing at a later date (either postal or personal), and issue any directions/requests within the notification of that date to the parties;
3. Reject the application;
4. Adjourn/Suspend consideration of the application and write to the party/parties
iii. A costs decision is a separate decision to the decision on the case and should be recorded as such
iv. A costs decision can be reviewed (using the same review process as outlined above)
q) dealing with clerical errors This process can be instigated by either party to the appeal or by the Adjudicator or admin staff so it is not necessary for correspondence to be received:
i. If an error has been made in any of the decisions, the legislation allows that error to be corrected under a slip rule;
ii. Application of the slip rule should result in that particular decision being reissued;
r) dealing with Judicial Reviews:
i. Any decision of the Adjudicator can be reviewed in the High Court through the Judicial Review (JR) procedure.
ii. It must be possible to identify a JR case within the CMS
s) archiving case files and establishing the record in the Statutory Register (see below);
t) providing a search facility to allow users to search for cases using defined criteria;
u) enabling separate grounds of appeal for different PCNs within one case;
v) enabling an on-screen audit trail for all cases, which identifies the Users who have made changes;
