Tfl Professional Services Framework

BRIEFING PACK

TfL Professional Services Framework Health & Safety and Environmental Services

Ref: PSF91312

Boroughs Use Only 2 Health & Safety and Environmental Framework

Briefing pack

1. Key Features...... 4

2. Framework Sub Categories...... 8

3. Framework Award by Supplier...... 12

4. Framework Award by Sub Category ...... 15

5. Company & Account Manager Details...... 18

6. Evaluation Criteria...... 21

Appendix A – Schedule 3 Capability Statements ...... 24

Appendix B – Grade Definitions...... 49

Appendix C – Call Off Schedules . Schedule 6A Mini-Competition Request – Long Form...... 59 . Schedule 6B Mini-Competition Request – Short Form: Services...... 67 . Schedule 6C Mini-Competition Request – Short Form: Consultant Secondment ...... 73 . Schedule 7A Call Off Contract Form of Agreement ...... 77 Proforma Call Off Contract Data...... 81 . Schedule 7B Form of Agreement – Short Form...... 95 . Schedule 13 Supplier Performance...... 101

3 4 1. Key Features

5 6 TfL Professional Services Frameworks – Key Features

1. Two daily charge out rates (maximum), one for Secondments and one for Services – “for the purpose of this framework agreement, a secondment is classed as an individual or team of individuals working in the main on TfL premises on a timecharge basis.”

2. Specialist Consultant – “is a consultant who is a specialist/expert in his field within his industry. Maximum Charge Out Rates shall not apply to the Specialist Consultants at the Employer’s sole discretion.”

The day rates for Specialist Consultants should be agreed only by Commercial teams and should be treated as exceptions rather than the rule.

3. Maximum daily Charge Out Rates are based on a minimum of 8 hours per day input.

4. Mini competition and call-off processes specific to secondments, low value services and high value services respectively.

5. Short form of contract for secondments and low risk services (PI set at £1M, liability capped at £1M, etc). Long form of contract for high risk and/or high value services.

 The long form of contract is the default for this Framework. Should you wish to use the short form of contract it must be referenced within the mini completion/sourcing process.

 The long form of contract includes unlimited liability which should be capped, as appropriate for each call off, upon consideration of associated risk(s). In addition, the Insurance levels as stated are minimum levels and should be set as appropriate for each requirement.

6. Inclusion of a suite of optional KPIs within the Framework(s) - to be incorporated, as appropriate, for each requirement.

7. Utilisation and volume discounts are not included in the new Frameworks.

7 8 2. Framework Sub Categories

9 10 Framework Agreement: Health & Safety and Environmental

(A1) H&S Audit Assurance and Site Inspections (B1) Assurance Management (C1) Construction Design & Management (CDM) Services (D1) Incident Reporting and Investigation (E1) Science, Research, Monitoring and Analysis (E2) Air Quality Modelling (E3) Air Quality Monitoring (E4) Health and Economic Impacts (E5) Developing and Maintaining Emissions Inventories (E6) Analysing Emissions Inventories (E7) Vehicle Emissions Characterisation and Testing (F1) Biodiversity and Landscape Management (G1) Climate Change Adaption, Flood Modelling and Risk Assessment (G2) Environmental Engineering (H1) Energy and Carbon Assessment (I1) Community and Health Effects and Impacts Assessments (J1) Contaminated Land Management (K1) Environmental Assessment (L1) Environmental Management Systems, Development and Auditing (M1 Noise and Vibration ) (N1) Materials and Waste Management (O1) Socio-Economic and Regeneration Effects (P1) Sustainability (P2) BRE Environmental Assessment Method or CEEQUAL Assessment (Q1) Vehicle Related Technology (R1) Water Resources

11 12 3. Framework Award by Supplier

13 Health & Safety Services and Environmental Services - Framework Award by Supplier

A&B1. H&S Audit Assurance C D1. Incident Reporting and E1. E2. Air Quality E3. Air E4. Health & E5. E6. Analysing E7. Vehicle F1. Biodiversity G1. Climate and Site Inspections 1 Investigation Sci Modelling Quality Economic Developin Emissions Emissions & Landscape Change . enc Monitoring Impacts g and Inventories Characterisatio Management Adaptation C e, Maintainin n & Testing o Re g n sea Emissions s rch Inventories tr , u Mo c nit ti ori o ng n an , d D An e aly s sis i Submission g n & M a n a g e m e n t ( C D M ) AECOM Ltd P Pass Pas Pass Pass Pass a s s s Air Quality Pas Consultants Ltd s AMEC Pas Pass Pass Pass Pass Environment & s Infrastructure Limited Atkins Limited Bureau Veritas Pass Pas Pass Uk Ltd s Capita Property Pass P & Infrastructure a Ltd s s Cascade Consulting (Environment & Planning) Ltd CERC Pass Pass Pass

14 (Cambridge Environmental Research Consultants) Ltd CH2M Hill United Kingdom Element Energy Limited Environmental Pass Resources Management Ltd Frankham P Consultancy a Group Limited s s Gleeds Advisory P Limited a s s Gutteridge Pass Haskins and Davey Ltd Hyder Pass Pas Pass Pass Consulting (UK) s Limited Jacobs U.K. Pas Pass Pass Pass Pass Pass Limited s King’s College Pas Pass Pass Pass Pass Pass Pass London s Millbrook Pass Proving Ground Ltd Mott MacDonald Pass Pass Limited Mouchel Limited P Pass a s s Ove Arup & Pass Pas Pass Partners Ltd s Parsons Pass P Pass Pass Pass Pass Brinckerhoff Ltd a s s Pell Frischmann Pass Consulting Engineers Ltd Peter Brett Pass Associates LLP QinetiQ Limited Ramboll UK Ltd Pass Pass RSK Pass P Pass Environmental a Limited s s Schofield Lothian Temple Group Pass Pass Pass Pass Pass Limited TRL Limited Pass Pass Pass Turner & Pass P Townsend a Project s

15 Management s Limited Waterman Pass P Pass Transport & a Development s Ltd s WYG P Environment a Planning s Transport Ltd s

H1. Energy I1. Community J1. Contaminated Land K1. L M1. Noise & N1. Materials and O1. P1. P2. BRE Q1. R1. Water and Carbon and Health Management Environmental 1 Vibration Waste Management Socio- Sustainability Environmental Vehicle Resources Assessment Effects and Assessment . Econo Assessment Method Related Impacts E mic or CEEQUAL Technol Assessments n and Assessment ogy v Regen i eratio r n o Effect n s m e n t a l Submission M a n a g e m e n t S y s t e m s AECOM Ltd Pass Pass Pass Pass P Pass Pass Pass Pass a s s Air Quality Consultants Ltd AMEC Environment & Pass Pass Infrastructure UK Limited Atkins Limited Pass Pass P Pass Pass Pass a s s Bureau Veritas Uk Ltd Capita Property & Infrastructure Ltd Cascade Consulting (Environment Pass & Planning) Ltd

16 CERC (Cambridge Environmental Research Consultants) Ltd CH2M Hill United Kingdom Pass Pass Pass Element Energy Limited Pass Environmental Resources Pass Pass Pass Pass Management Ltd Frankham Consultancy Group Limited Gleeds Advisory Limited Gutteridge Haskins and Davey Ltd Hyder Consulting (UK) Limited Pass Pass Pass Pass P Pass Pass a s s Jacobs U.K. Limited Pass Pass P Pass Pass Pass Pass a s s King’s College London Millbrook Proving Ground Ltd Mott MacDonald Limited Pass Pass Pass P Pass Pass Pass a s s Mouchel Limited Pass Pass Ove Arup & Partners Ltd Pass Pass P Pass Pass Pass Pass a s s Parsons Brinckerhoff Ltd Pass Pass Pass Pass Pass Pell Frischmann Consulting Pass Engineers Ltd Peter Brett Associates LLP Pass Pass QinetiQ Limited Pass Ramboll UK Ltd Pass RSK Environmental Limited Pass Pass Schofield Lothian Pass Temple Group Limited Pass Pass P Pass Pass Pass a s s TRL Limited Pass Turner & Townsend Project Management Limited Waterman Transport & Development Ltd WYG Environment Planning Transport Ltd

17 4. Framework Award by Sub Category

18 Health & Safety Services and Environmental Services – Framework Award by Sub Category

A&B1. H&S Audit Assurance and Site Inspections:- C1. Construction, Design & Management (CDM) D1. Incident Reporting and Investigation

Bureau Veritas Uk Ltd AECOM Ltd AECOM Ltd Capita Property & Infrastructure Limited Capita Property & Infrastructure Limited Parsons Brinckerhoff Ltd Environmental Resources Management Ltd Frankham Consultancy Group Limited Ramboll UK Ltd Gutteridge Haskins and Davey Ltd Gleeds Advisory Limited Hyder Consulting (UK) Limited Mouchel Limited Ove Arup & Partners Ltd Parsons Brinckerhoff Ltd Parsons Brinckerhoff Ltd RSK Environmental Limited Ramboll UK Ltd Turner & Townsend Project Management Limited RSK Environmental Limited Waterman Transport & Development Ltd Turner & Townsend Project Management Limited WYG Environment Planning Transport Ltd Waterman Transport & Development Ltd

E1. Science, Research, Monitoring and Analysis E2. Air Quality Modelling E3. Air Quality Monitoring

AECOM Ltd AECOM Ltd AMEC Environment & Infrastructure UK Limited Air Quality Consultants Ltd Bureau Veritas Uk Ltd Jacobs U.K. Limited AMEC Environment & Infrastructure UK Limited CERC (Cambridge Environmental Research Consultants) Ltd King's College London Bureau Veritas Uk Ltd Hyder Consulting (UK) Limited RSK Environmental Limited Hyder Consulting (UK) Limited King's College London TRL Limited Jacobs U.K. Limited Mott MacDonald Limited Waterman Transport & Development Ltd King's College London Parsons Brinckerhoff Ltd Ove Arup & Partners Ltd

E4. Health & Economic Impacts E5. Developing and Maintaining Emissions Inventories E6. Analysing Emissions Inventories

AMEC Environment & Infrastructure UK Limited AMEC Environment & Infrastructure UK Limited AMEC Environment & Infrastructure UK Limited King's College London CERC (Cambridge Environmental Research Consultants) Ltd CERC (Cambridge Environmental Research Consultants) Ltd Temple Group Limited Jacobs U.K. Limited King's College London TRL Limited King's College London Temple Group Limited Temple Group Limited TRL Limited

E7. Vehicle Emissions Characterisation & Testing F1. Biodiversity & Landscape Management G1. Climate Change Adaptation

Jacobs U.K. Limited AECOM Ltd AECOM Ltd King's College London Hyder Consulting (UK) Limited Jacobs U.K. Limited Millbrook Proving Ground Ltd Jacobs U.K. Limited Mouchel Limited Temple Group Limited Mott MacDonald Limited Ove Arup & Partners Ltd Parsons Brinckerhoff Ltd Parsons Brinckerhoff Ltd Temple Group Limited Pell Frischmann Consulting Engineers Ltd Peter Brett Associates LLP

19 G2. Environmental Engineering H1. Energy and Carbon Assessment I1. Community and Health Effects and Impacts Assessments

AECOM Ltd AECOM Ltd AECOM Ltd Hyder Consulting (UK) Limited AMEC Environment & Infrastructure UK Limited Hyder Consulting (UK) Limited Jacobs U.K. Limited Hyder Consulting (UK) Limited Ove Arup & Partners Ltd Ove Arup & Partners Ltd Jacobs U.K. Limited Parsons Brinckerhoff Ltd Mott MacDonald Limited Temple Group Limited

J1. Contaminated Land Management K1. Environmental Assessment L1. Environmental Management Systems AECOM Ltd AECOM Ltd AECOM Ltd AMEC Environment & Infrastructure UK Limited Atkins Limited Atkins Limited Atkins Limited CH2M Hill United Kingdom Hyder Consulting (UK) Limited CH2M Hill United Kingdom Environmental Resources Management Ltd Jacobs U.K. Limited Environmental Resources Management Ltd Hyder Consulting (UK) Limited Mott MacDonald Limited Hyder Consulting (UK) Limited Jacobs U.K. Limited Ove Arup & Partners Ltd Mott MacDonald Limited Mott MacDonald Limited Temple Group Limited Parsons Brinckerhoff Ltd Mouchel Limited Pell Frischmann Consulting Engineers Ltd Ove Arup & Partners Ltd Temple Group Limited RSK Environmental Limited Schofield Lothian Temple Group Limited

M1. Noise & Vibration N1. Materials and Waste Management O1. Socio-Economic and Regeneration effects AECOM Ltd Atkins Limited AECOM Ltd Atkins Limited Environmental Resources Management Ltd Atkins Limited Environmental Resources Management Ltd Hyder Consulting (UK) Limited Jacobs U.K. Limited Jacobs U.K. Limited Jacobs U.K. Limited Ove Arup & Partners Ltd Mott MacDonald Limited Temple Group Limited Peter Brett Associates LLP Ove Arup & Partners Ltd Parsons Brinckerhoff Ltd Temple Group Limited

P1. Sustainability P2. BRE Environmental Assessment Method or CEEQUAL Q1. Vehicle Related Technology Assessment AECOM Ltd Hyder Consulting (UK) Limited Element Energy Limited Mott MacDonald Limited Jacobs U.K. Limited QinetiQ Limited Ove Arup & Partners Ltd Ove Arup & Partners Ltd TRL Limited Parsons Brinckerhoff Ltd Parsons Brinckerhoff Ltd Peter Brett Associates LLP Ramboll UK Ltd RSK Environmental Limited Temple Group Limited

R1. Water Resources AECOM Ltd Cascade Consulting (Environment & Planning) Ltd CH2M Hill United Kingdom Mott MacDonald Limited Mouchel Limited arsons Brinckerhoff Ltd

20 5. Company & Account Manager Details

21 Supplier Account Manager Contact Email Company Registration No. Address Phone AECOM Ltd 6-8 Greencoat Place, London, Caroline Brock, Martin Birt [email protected] 1846493 SW1P 1PL 07920 862 145

Air Quality Consultants [email protected] 23 Coldharbour Road, Bristol, BS6 Ltd Duncan Laxen k 7JT 0117 974 1086 2814570 AMEC Environment & Floor 4, 60 London Wall, London Infrastructure UK Limited Christine McHugh [email protected] EX2M 5TQ 020 3215 1610, 07814 455 630 2190074 Atkins Limited Euston Tower, 286 Euston Road, Jon Barker [email protected] London, NW1 3AT 020 7121 2363 688424 Bureau Veritas Uk Ltd [email protected] Parklands, 825A Wimslow Roads, Anna Ledsham om Didsbury, Manchester, M20 2RE 0161 446 1992, 07794 119 623 1758622 Capita Property & 4th Floor, 65 Gresham Street, Infrastructure Ltd Emma Burns [email protected] London, EC2V 7NQ 07825 340999 2018542 Cascade Consulting Cascade Consulting (Environment (Environment & and Planning) Ltd, Enterprise Planning) Ltd john.sanders@cascadeconsulting. House, Manchester Science Park, John Sanders co.uk Lloyd Street North 4176068 CERC (Cambridge 3 King's Parade, Cambridge, CB2 Environmental Research Sarah Strickland [email protected] 1SJ 01223 357 773 Consultants) Ltd 1926883 CH2M Hill United Elms House, 43 Brook Green, Kingdom David Sandercock [email protected] London, W6 7EF 0203 479 8402 02533469 Element Energy Limited alex.stewart@element- Terrington House, 13-15 Hills Alex Stewart energy.co.uk Road, Cambridge, CB2 1NL 01223 852 495 4646003 Environmental 2nd Floor, Exchequer Court, 33 St. Resources Management Bruce Davidson [email protected] Mary Axe, London, EC3A 8AA 0203 206 5226 Ltd 1014622 Frankham Consultancy Irene House, Five Arches Business Group Limited Park, Maidstone Road, Sidcup, Jo Silley [email protected] Kent, DA14 5AE 020 8309 7777 4409614 Gleeds Advisory Limited [email protected], corporate_bidding_southhub@glee 95 New Cavendish Street, London, Mark Pendry ds.co.uk W1W 6XF 0113 236 6900, 07718 804 094 6472422 Gutteridge Haskins and [email protected], 10 Fetter Lane, London, EC4A Davey Ltd Oleg Ermurati [email protected] 1BR 0203 077 7900 5528602 Hyder Consulting (UK) Hyder Consulting (UK) Limited, Limited Julia.FaureWalker@hyderconsultin Manning House, 22 Carlisle Place, Julia Faure Walker g.com London, SW1P 1JA 020 3014 9000 2212959 Jacobs U.K. Limited James Rousell [email protected] 2594504 Tower Bridge Court, 226 Tower 07720 287 006

22 Bridge Road, London, SE1 2UP

King’s College London Environmental Research Group, King's College London, 150 Sean Beevers [email protected] Stamford Street, London, SE1 9NH 0207 848 4009 RC297 (Charity) Millbrook Proving Station Lane, Millbrook, Bedford, Ground Ltd Phil Stones [email protected] MK45 2JQ 02230262 Mott MacDonald Limited Mott MacDonald House, 8-10 Sydenham Road, Croydon, CR0 Fran Storey [email protected] 2EE 020 8774 2290 1243967 Mouchel Limited Lanark Court, Ellismuir Way, Tannochside Park, Uddingston, James Ellaway [email protected] Glasgow, G71 5PW 07913 413 093 1686040 Ove Arup & Partners Ltd 13 Fitzroy Street, London, W1T Jonathan Ben-Ami [email protected] 4BQ 020 7755 3629 1312453 Parsons Brinckerhoff Ltd Parsons Brinckerhoff, 6 Devonshire Square, London, Andrew Fraser [email protected] EC2M 4YE 020 7337 1746, 07789 920 463 2554514 Pell Frischmann Pell Frischmann, Burrator House, Consulting Engineers Ltd Peninsula Park, Rydon Lane, EX2 Jonet Waldock [email protected] 7NT 01392 444 345 4403030 Peter Brett Associates Peter Brett Associates LLP, LLP Caversham Bridge House, Waterman Place, Reading, Philip Wright [email protected] Berkshire, RG1 8DN 0118 952 0631, 07825 130532 OC334398 QinetiQ Limited Cody Technology Park, Ively Road, Mike Parsons [email protected] Farnborough, GU14 0LX 01252 392 485, 07920 153 462 03796233 Ramboll UK Ltd Roy Emberton [email protected] 07921 106676 03659970 RSK Environmental 18 Frogmore Road, Hemel Limited Adrian Marsh [email protected] Hempstead, Herts, HP3 9RT 07818 091 769 SC115530 Schofield Lothian [email protected] Temple Chambers, 3-7 Temple Richard Ambrose om Chambers, London, EC4Y ODT 0207 842 0920 06717705 Temple Group Limited Devon House, 58-60 St Katherine's Peter George [email protected] Way, London, E1W 1LB 0207 394 3700 3305849 TRL Limited TRL Limited, Crowthorne House, Nine Mile Ride, Wokingham, RG40 Anna Savage [email protected] 3GA 01344 773 131 3142272 Turner & Townsend 7 Savoy Court, London, WC2R Project Management Graham Taylor [email protected] 0EX 020 7544 4000 Limited 2165592 Waterman Transport & Paul Hickey [email protected] 3269195 Waterman Infrastructure and 01342 893 800 Development Ltd Environment, Dippen Hall, Eastbourne Road, Blindley Heath,

23 Lingfield, Surry, RH7 6JX

WYG Environment WYG- 100 St John Street, London, Planning Transport Ltd Cecilia MacLeod [email protected] EC1M 4EH 0207 250 7705 3050297

24 6. Evaluation Criteria

25 26 Eva luation Criteria

Bidders at ITT stage were evaluated using the following scoring criteria:

Section Criterion Scoring (%) Weighting (%) Technical proposal – General Resource planning and deployment 15 20 Corporate Knowledge Management 5

Technical proposal – Discipline Specific Response to example scenario (demonstration of 20 capabilities) 40 Staff CVs 20

Commercial proposal - Sub-Category Specific Maximum charge out day rates for each Consultant grade

Consultant secondments working mainly on TfL Premises 20 40 Consultant services 20

27 28 Appendix A Schedule 3 Capability Statements

29 30 Schedule 3 Health & Safety Services and Environmental Services Capability Statements

Health and Safety Services

A. H&S Audit Assurance and Site Inspections:-

A1. H&S Audit Assurance and Site Inspections

Audits are undertaken by Transport for London in relation to the health and safety management systems operating across all Business Units. Audits are also conducted where suppliers are carrying out TfL’s undertakings.

The supplier shall demonstrate:  A full working knowledge of UK legislation, national and international standards and all relevant Health and Safety standards, policies and contractual requirements, including the ability to meet safety requirements in carrying out the audit process.

 The ability to put in place arrangements for monitoring the management of health and safety on behalf of the client. .

 The ability to communicate with and inform the client, through audits (technical, quality and process) and inspections which should influence auditees, and demonstrate awareness of all relevant industry standards. Particular attention should be given to appropriate construction and transport industry standards including auditing operations and maintenance processes which shall be in accordance with relevant UK guidance.

These include: o Audit Standards (ISO19011), o Quality Management Systems (ISO9001:2000), o Safety Management Systems ( ISO 18001) o Laboratory Systems (EN17025), o Product Certification Services (EN 45011), o Quality Certification (EN45012), o Product Inspection (ISO 17020) .

B. Assurance Management

31 B1. Assurance Management

Assurance management is defined as the extent that requirements have been complied with and controlled processes have been followed when meeting the deliverables. Assurance is a level of confidence based on realistic appraisal.

The supplier shall demonstrate their ability to:

 The ability to lead and develop discrete pieces of work assessing if programmes adhere to strategies, policies and standards  The ability to collaborate with business sponsors and senior responsible officers,  The ability to analyse project and programmes processes, products and performance against business case and benefits plans,  The ability to communicate and influence stakeholders in their decision making utilising outputs from assurance activities,  The ability to analyse project and programmes assuring they adhere to strategies, policies and standards,  The ability to design and implement controls and measurement systems assuring quality products are outputs and  The ability to lead and develop stakeholder reviews and audits against written quality plans.

C. Construction Design & Management (CDM) Services

32 C1. Construction Design & Management (CDM) Services

The CDM Regulations seek to embed health and safety consciousness into the whole project via the improved planning and co-ordination of all involved, enabling earlier identification of risks, effective targeting of effort in priority areas and elimination of unnecessary bureaucracy. The CDM Roles embraced by the CDM 2007 Regulations include Clients, the CDM Co-ordinator (notifiable projects only), Designers, the Principal Contractor (notifiable projects only), and Contractors.

Acting as an appointed CDM Co-ordinator (CDM-C), the supplier will be required to provide the client with key project advice in respect of their duties, construction health and safety risk management matters, challenge the development of the design and assist the project team with the provision of sound health and safety advice during the project design and execution.

The supplier should be able to demonstrate:

 The ability to communicate, provide cogent and structured advice to the client, the project team and advise on the appointment of competent CDM duty holders,  Capability to support the management and development of the health and safety aspects of the design risk management process,  The ability to facilitate good communication and co-operation between project team members and  The ability to collate of relevant H&S File information.

 Consideration should be given to forthcoming changes to this role and the supplier is therefore required to demonstrate the ability to carry out the role of Principal Designer under the proposed changes to the CDM Regulations

D. Incident Reporting and Investigation

33 D1. Incident Reporting and Investigation

Incidents involving staff, contractors and other persons affected by TfL’s undertakings, including members of the public, will be reported, investigated and communicated within TfL. Requirements for investigation will include but not be limited to the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations, Environmental Incident reporting requirements, etc.

The supplier shall demonstrate:

 A working knowledge of transport and construction related operations.

 Demonstrable experience of working with multiple stakeholders in completing complex investigations

 The ability to conduct full root cause analysis of incidents, in line with recognised industry guidelines

 The ability to undertake technical assessments of equipment and processes, as pertains to the nature of the incident

Environmental Services

34 E. Air Quality & Emissions

The supplier is required to offer technical expertise and support on air quality, local air pollution and greenhouse gas emissions.

E1. Science, Research, Monitoring and Analysis

The supplier shall demonstrate their ability to carry out research, interpretation and other specific technical support services connected with the quantification of air quality and related impacts and trends to support policy development.

This should include the ability to undertake:

 Research, interpretation and other specific technical support services connected with the quantification of emissions and related impacts and trends to support policy development  Original scientific/statistical research into air quality and emissions trends and their underlying causes and influences

E2. Air Quality Modelling

The GLA and TfL make extensive use of air quality modelling for quantifying the impact of policies on concentrations of local air quality pollutants, largely at the strategic (city) level. These assessments are largely based on input data contained within the London inventories, appropriately manipulated to reflect the emissions changes associated with the policies under consideration and modelled to assess the air quality impacts.

The supplier shall demonstrate their ability to provide of air quality models and modelling services, primarily at the strategic level for Greater London, to enable quantification and appraisal of transport and non-transport policies on pollutant concentrations.

This category seeks the provision of strategic air quality modelling services for Greater London including:

 Provision of strategic-level air quality models, recognised in The Department of Environment, Food and Rural Affairs (DEFRA) guidance, capable of interfacing to the London inventories and capable of reflecting a range of transport and other policy/physical scenarios that has previously been used successfully for city-scale policy analysis.

 Compatibility with the data content of the London inventories, as well as with established sources of data and methodologies for representing urban topology and meteorology.

35  Capability to operate reliably both at the strategic (e.g. GLA), sub-regional (e.g. East London), borough, installation (e.g. airport, major road network) and air quality monitoring site (e.g. validation) spatial scales, subject of course, to limitations of spatial resolution imposed by the available city-scale inventory data.

E3. Air Quality Monitoring

Monitoring studies can help TfL and GLA to better understand the impacts and implications of policies or interventions with an impact on local air quality.

 Their ability to carry out ambient air quality monitoring (including equipment provision, maintenance and data manipulation/analysis/interpretation)

E4. Health & Economic Impacts

It is essential to TfL and GLA that they fully understand the health and economic impacts of air pollution in London. This includes understanding the health and economic impacts of changes in air quality expected as a result of proposed policies.

 Their ability to carry out studies into the health impacts of air pollution, including policy-relevant studies seeking to better understand and optimize the impacts and implications of policies to improve local air quality and/or reduce GHG emissions. This will cover, as appropriate to the studies, mortality and / or wider health impacts and medical aspects.

 Their ability to assess the economic costs relating to air pollution, including the cost of its abatement and its health impacts. This might include quantification of marginal abatement or damage costs of air pollution in London, to support the development of proposals that may have an impact on air quality.

 Their ability to assess the impacts on the economy of proposals relating to air quality. This might include costs to different businesses of measures proposed, impact on supply and demand, the impact on employment levels and the likelihood and magnitude of wider economic impacts, indirect or induced.

36 E5. Developing and Maintaining Emissions Inventories

The GLA Group maintains two related inventories of emissions to atmosphere from all sources in London. These are of fundamental importance to air quality and CO2 emissions assessment in London and underlie the majority of policy development and assessment work.

The London Atmospheric Emissions Inventory (LAEI) is an established state-of-the-art geographically referenced dataset that quantifies identifiable emissions-to-air from activities in London. It includes estimates for the local air quality pollutants, and is built up from a compilation of disaggregate activity data (eg detailed road traffic estimates, industrial site process authorisations) and emissions factors, across the Greater London area

The London Energy and Greenhouse Gas Inventory (LEGGI) is an enhanced derivative based on the LAEI methodology for estimating energy use and CO2 emissions. It is broadly similar in method and structure to the LAEI, but also includes quantification of energy use, including attributable emissions outside London resulting from energy consumption inside London

Both inventories are periodically updated to reflect measured changes in the activities giving rise to emissions (eg road traffic levels). This is typically done on a bi-annual cycle, with an interim annual update for transport sources only. The inventories also include projections for selected future years, as well as back cast to previous years.

The inventories are currently disseminated through the London data store and the Mayor’s Cleaner air for London website1

The supplier is required to demonstrate their ability to:

 develop and maintain databases [inventories] of air pollutant and GHG emissions from all identifiable sources across the Greater London area (out to, and including, the M25 orbital motorway)  periodically update inventories across the range of polluting sources in London, including the collation and review of necessary input (activity) data and emissions factors  critically review and update the method used to compile the inventories across the source sectors.

E6. Analysing emissions inventories

1 www.cleanerairforlondon.org.uk

37 Analysis of the London Atmospheric Emissions Inventory (LAEI)/ The London Energy and Greenhouse Gas Inventory (LEGGI) databases is frequently required to support policy development work by the GLA group. Typically, this work seeks to quantify the impact of candidate policies or combinations of policies on emissions, based on manipulations of the geographically referenced inventory data to reflect changes to polluting activities. This activity may be both prospective, in the sense of reflecting the impact of future policies (up to 10 years hence), as well as retrospective, in the sense of seeking to quantify the actual (observed) impacts of established policies

The supplier is required to demonstrate their ability to provide these services, on the basis that updated copies of the two inventories are made available to the supplier by the GLA group. Note that a good understanding of the nature and scope of emitting sources, especially transport sources, is required, for example to support the robust translation of transport outcomes into emissions outcomes

E7. Vehicle Emissions Characterisation & Testing

The supplier is required to offer support and advice on vehicle emissions testing.

The supplier shall demonstrate

 Their ability to undertake road vehicle emissions testing including laboratory based testing (eg quantification of emissions over London driving cycles).

38 F. Biodiversity & Landscape Management

F1. Biodiversity & Landscape Management

The supplier is required to offer technical expertise and support on biodiversity and landscape management, including terrestrial and aquatic ecology, arboriculture and all aspects of ‘green estate’ and habitat management.

 their ability to advise on legislation compliance and mitigation,  their ability to undertake environmental impact assessments and appraisals specific to ecology and landscape,  their ability to undertake specialist ecological and arboricultural surveys and respond to urgent requests for ecological advice in a timely manner when requested,  their ability to advise on habitat management and  their ability to advise on management of the ‘green estate’ on TfL land holdings, including pest and weed control and living roofs.

39 G. Climate Change Adaptation

G1. Climate Change Adaptation, Flood Modelling and Risk Assessment

The supplier is required to provide technical expertise to support all aspects of climate change adaptation in line with the Mayor’s objectives.

This will include the following:

 Climate change adaptation risk assessments and monitoring  undertaking risk assessments for water catchment, flood management and water resources  planning advice and options to adapt to the impacts of climate change  assistance with the development of climate change adaptation strategies enabling them to become integrated across projects

G2. Environmental Engineering

To provide technical expertise and support on developing engineering solutions that maximise environmental benefits, e.g. sustainable drainage systems and solar or wind-powered technology.

 their knowledge and ability to provide advice on environmental benefits of engineering solutions,  their ability to assist in the development of environmental engineering solutions that will help TfL adapt its services and infrastructure to the changing climate,  their ability to undertake monitoring and evaluation of new products and technologies with regard to environmental performance and  the ability to undertake research on new products and technologies and benchmark against use in other cities

40 H. Climate Change Mitigation

The supplier is required to provide technical expertise to support all aspects of climate change mitigation and improving energy efficiency in line with the Mayor’s objectives.

H1. Energy and Carbon Assessment

The supplier will be required to produce assessments of energy and carbon requirements for relevant projects. The supplier will also be required to provide technical expertise and support on developing engineering solutions that maximise environmental benefits. This will include the following:

 usage of specialist tools and techniques to undertake the calculation of energy demand and carbon dioxide emissions,  their ability to identify and develop proposals for meeting residual energy demands through sustainable energy measures and the reduction of energy demand and carbon dioxide emissions from heating, cooling and electrical power systems  the development of Energy Performance Certificates (EPC) and Display Energy Certificates (DEC)  their knowledge and expertise with regard to the feasibility and design of Chartered Institute of Building Services Engineers (CIBSE) TM39 compliant metering installations, design, development and assessment of approaches to carbon management/mitigation,  advice on zero/low carbon energy and emissions reduction projects/solutions in the context of UK/EU regulation and future policy and  carbon footprint analyses performed in line with existing and future standards such as the Green House Gas (GHG) protocol, ISO 14000 series and PAS 2050  their knowledge and ability to provide advice on environmental benefits of engineering solutions,  their ability to assist in the development of environmental engineering solutions that will help TfL adapt its services and infrastructure to the changing climate,  their ability to undertake monitoring and evaluation of new products and technologies with regard to environmental performance and  their ability to undertake research on new products and technologies and benchmark against use in other cities.

41 Community and Health Effects and Impacts Assessments

I1. Community and Health Effects and Impacts Assessments

The supplier is required to provide support and advice on the assessment of the likely effects of TfL projects on the community in general and/or their health and wellbeing. .

 experience of health impact assessment for transport schemes  usage of specialist tools and techniques to undertake assessments and appraisals, including the monetisation of health impacts e.g. World Health Organisation’s Health Economic Tool  their ability to undertake and produce reports on feasibility studies, evaluation and appraisal assessment services,  their ability to assist in the production of action planning and the evaluation of outcomes and  their ability to integrate health impact assessments with other environmental, social and equality assessments in order to achieve a streamlined assessment process  appropriate qualifications of staff undertaking health impact assessment; for example Member of the Faculty of Public Health or on the UK Public Health Register

42 Contaminated Land Management

J1. Contaminated Land Management

The supplier is required to offer a breadth of technical expertise from desk study, site investigations, risk assessment, remediation planning and design, to ground and groundwater remediation, insurance and aftercare planning.

 the ability to undertake geotechnical and geo-environmental assessments for a wide variety of development and infrastructure schemes,  the ability to advise on legislation compliance,  the assessment and determination of (potentially) contaminated soil or groundwater from simple exploratory to full intrusive ground investigations and  their ability to undertake and advise on due diligence and liability assessments and Investigation and cleanup of contaminated land.

43 K. Environmental Assessment

K1. Environmental Assessment

To offer support for the Environmental Evaluation process that TfL uses to ensure that the environmental impacts and effects of a project are identified so that environmental benefits may be enhanced and adverse environmental impacts may be mitigated.

An Environmental Impact Assessment (EIA) is the identification and analysis of environmental factors and assessing their impact on the environment. A Strategic Environmental Assessment (SEA) relates the assessment to the plans and programmes proposed by the Organisation. The supplier will be required to carry out EIA’s for projects and SEA’s for relevant plans and programmes in line with statutory requirements. Consultants will need to demonstrate that they are able to provide appropriate input for all relevant EIA /SEA environmental topics.

This will include the following:

 screening,  scoping,  developing EIA/SEA methodology,  consultation with stakeholders,  baseline data collection and collation,  assessment of impacts,  identification of appropriate mitigation measures and  production of an environmental statement for an EIA and/or an environmental report for a SEA,  evidence and monitoring.

The supplier shall:

 demonstrate that they have the necessary specialist knowledge, tools and expertise to follow the process to determine the need for EIA and any particular consents at the earliest stage possible,  where EIA is not required, undertake an Environmental Evaluation process to determine the level of environmental appraisal that is appropriate for a particular project,  identify the expected environmental impacts and effects to enable environmental benefits to be enhanced and adverse environmental impacts to be mitigated and  support the process to ensure that TfL maintains its position as a responsible authority

44 L. Environmental Management Systems (EMS) Development and Auditing

L1. Environmental Management Systems (EMS) Development and Auditing

The supplier is required to provide advice on the effective environmental management of construction impacts of TfL schemes. They are required to provide advice on the development of Environmental Management Systems (EMS) and auditing aims to improve environmental performance and develop practical methods to integrate sustainable ways of working into business operations. The supplier shall demonstrate:

 their ability to develop and create documents and manuals that detail EMS policy, procedures, requirements, goals and structures,  knowledge of procedure development, covering methods, strategies and principles used to perform EMS activities,  their ability to provide advice on implementation, ensuring EMS conformity to TfL policy and standards for accreditation and  their ability to undertake external third-party audits and recommend corrective action  development and/or implementation of an environmental management plan,  development and/or implementation of environmental topic based management plans,  development and/or implementation of a code of construction practice,  monitoring of site impacts and ensuring appropriate mitigation is identified and implemented (including any mitigation previously identified in EIA’s or environmental appraisal//evaluations) and  their ability to obtain environmental related consents and licenses for projects.

45 M. Noise & Vibration

M1.Noise & Vibration

The supplier is required to offer technical expertise and support on noise and vibration.

 their ability to undertake environmental impact assessments and appraisals specific to noise and vibration,  their ability to undertake noise monitoring and modelling and  their ability to advise on legislation compliance and mitigation.

46 N. Materials and Waste Management

N1. Materials and Waste Management

Materials and waste management is the delivery of TfL’s waste management and resource objectives through a wide range of capabilities from early strategy and policy development, planning and permitting, to the design, procurement and project management of material and waste treatment technology and infrastructure.

 their ability to produce waste management / maintenance strategies and systems,  their ability to plan, advise and deliver services in accordance with waste management legislation, including GLA strategic documents,  their ability to undertake and advise on feasibility studies and risk assessments,  their ability to assess the environmental impact of materials and waste used on TfL projects / operations,  management and development of material use and waste management in construction and commissioning,  the ability to undertake materials and waste audits and  their ability to collaborate with producers to help them minimize the waste they produce and to manage its disposal effectively.

47 O. Socio-Economic and Regeneration effects

O1. Socio-Economic and Regeneration effects

The supplier is required to carry out Socio-Economic and Regeneration assessments of projects and develop strategies to maximise the benefits that can be derived.

 usage of specialist tools and techniques to undertake forecasting and modelling, and feasibility studies, evaluation and appraisal assessment services,  their ability to integrate assessments with other environmental, social and economic assessments,  their ability to assist in the production of socio-economic and regeneration strategies and action planning,  their ability to perform infrastructure cost/benefit analysis and  their knowledge and ability to assist with the formulation and supporting applications for projects.

48 P. Sustainability

P1. Sustainability

The supplier is required to provide tools and services which will improve the sustainability performance of strategies, projects and operations.

 their ability to undertake legally required sustainability appraisals and integrated impact assessments of major plans and projects,  their ability to undertake non-statutory sustainability appraisals of projects,  their knowledge and ability to advise on sustainable supply chain management and procurement,  their ability to advise and assist in sustainability monitoring and reporting and  their ability to assist with the development and implementation of sustainability management systems.

P2. BRE Environmental Assessment Method or CEEQUAL Assessment

The supplier is required to offer support and advice for any TfL projects seeking accreditation to the Buildings Research Establishment Environmental Assessment Methodology (BREEAM)

 usage of specialist technical guidance to undertake and manage appraisals of the sustainable design and construction of buildings,  their ability to write, communicate and influence the provision of methodologies, advice and guidance to achieve the highest possible BREEAM ratings,  their ability to undertake design and procurement assessments addressing the design, procurement and construction phases of both large and small scale office developments,  their ability to prepare reports containing the predicted BREEAM rating and areas to be addressed during the detailed design. The reports should cover Whole Life Costing as well as running costs and building thermal modelling analysis as appropriate and  their ability to produce a final report and BREEAM certification on project completion.

49 The supplier is required to offer support and advice for any TfL projects seeking accreditation to the CEEQUAL Assessment (Civil Engineering Environmental Quality Assessment and Award Scheme).

 usage of specialist tools and techniques to evaluate projects against the latest CEEQUAL manual assessment questions and recommend measures to improve any initial CEEQUAL rating,  their ability to lead their client in the process for accreditation ensuring that sufficient evidence is collated and managed for eventual independent verification by qualified CEEQUAL assessors,  their ability to assist qualified CEEQUAL assessors as representatives of their client and  the delivery of improved environmental performance in project specification, design and construction

50 Q. Vehicle Related Technology

Q1. Vehicle Related Technology

The supplier is required to offer technical expertise and to demonstrate their ability to critique new and existing products, fuels and technologies and assess potential benefits for TfL particularly in the following areas:

 Power-train electrification (e.g. energy storage, charging systems, fuel cell technology and advanced propulsion systems)

 Exhaust gas after-treatment

 Their knowledge of the vehicle market and projected uptake of low emission and emerging technology vehicles

51 R. Water Resources

R1. Water Resources

The supplier is required to offer technical expertise in water resources such as hydrogeology, groundwater modelling, water quality and water engineering complemented by surface water hydrology, aquatic ecology, water management and economic assessments.

 the ability to investigative, design, model and manage water resources to minimise the effect on the environment,  their ability to advise on legislation compliance,  the undertaking of risk assessments for water catchment, flood management and water resource,  their ability to design and implement environmental impact assessments specific to the water environment and communicate and influence stakeholders on their outcomes and  their ability to undertake and advise on groundwater pollution mitigation and remediation, industrial and urban water resource management, establishment of water and wastewater systems, discharge monitoring and management and bore hole heating and cooling feasibility design.

52 Appendix B Grade Definitions

53 54 Grade Definitions

Partner/Director

General For a partnership, a Partner in the practice; for a limited company, any employee who is a “Company Director” as defined in the Companies Act 2006.

Responsible for all grades of personnel.

Typical Education  Hold appropriate professional qualifications applicable to the discipline /Qualifications commissioned to perform and/or corporate membership of a major and Experience institution.

 Must have relevant work experience spanning several major programmes.

 The ability to demonstrate key involvement in delivering projects of high value and complexity.

 Overall responsibility for project(s) and for supervision, control and development of subordinate personnel.

 Significant management responsibility and direction within the consultancy including client liaison, specialist skills or experience.

Responsibilities  Develop client relationships.

 Review enquiries for consultancy services, prepare fee proposals and negotiate commissions.

 Manage and control all the personnel efficiently, and in compliance with all relevant statutory instruments procedures, rules, regulations, standing orders and instructions and the adopted procurement method.

 Develop and maintain effective communication channels, between the consultancy and TfL and external consultants and other bodies as necessary.

 Ensure that sufficient personnel are assigned for the commission and that they are suitably qualified and motivated to perform the duties allocated to them.

 Oversee all commission activities and ensure full adherence.

 Comply with all the projects safety and quality assurance procedures and requirements, including audits, and ensure that all consultancy personnel do likewise.

 Facilitate and ensure that training needs, both personal and that of the consultancy personnel, are identified and addressed.

55 Principal Consultant

General Reporting to Partner / Director. Member of a company who is able to deputise for the Director. The person will have the ability to manage and control teams and ensure that there are sufficient teams of personnel assigned to commissions.

Responsible for all grades of consultants and support staff.

Typical Education  Hold appropriate professional qualifications applicable to the discipline /Qualifications and commissioned to perform and/or corporate membership of a major Experience institution.

 Must have relevant work experience spanning several programmes.

 Must have substantial transport experience and technical skills appropriate to the discipline.

 Responsibility for project(s) and for supervision, control and development of junior personnel.

 Significant management responsibility and direction within the Consultancy including client liaison, specialist skills or experience.

Responsibilities  Deputise for the Partner/Director on all aspects of the project.

 Manage and control a team(s) of consultants effectively and in compliance with all relevant procedures, rules, regulations, standing orders and instructions and the adopted procurement method.

 Communicate effectively with other members of the project team and with other TfL departments and external consultants and bodies where necessary.

 Supervise, control and develop personnel assigned

 Ensure that the team’s activities meet the objectives of the commission.

 Comply with all the project’s safety and quality assurance procedures and requirements and ensure that all team members do likewise.

 Ensure that all appropriate training, both personal and that the team personnel, is undertaken.

56 Senior Consultant

General Reporting to Partner / Director or Principal Consultant. Person holding corporate membership of a professional body recognised by TfL and has the ability to demonstrate key involvement in delivering projects of high value and complexity. Responsible for all grades of consultants and support staff on behalf of the Director/Partner. Typical Education  Hold appropriate professional qualifications applicable to the discipline /Qualifications and commissioned to perform and/or corporate membership of a major Experience institution.

 Must have relevant work experience spanning several programmes / projects

 Must have substantial transport experience and technical skills appropriate to the discipline.

 Significant management responsibility and direction within the organisation including client liaison, specialist skills or experience.

Responsibilities  Deputise for the Partner/Director or Principal Consultant on all aspects of the Project.

 Manage and control a team(s) of consultants effectively and in compliance with all relevant procedures, rules, regulations, standing orders and instructions and the adopted procurement method.

 Communicate effectively with other members of the Project Team and with other TfL departments and external consultants and bodies where necessary.

 Supervise, control and develop personnel assigned

 Ensure that the team’s activities meet the objectives of the commission.

57  Comply with all the project’s safety and quality assurance procedures and requirements and ensure that all team members do likewise.

 Ensure that all appropriate training, both personal and that the team personnel, is undertaken.

Consultant

General Reporting to Principal Consultant / Senior Consultant. A person with the ability to assist in the management and control of a project team to ensure delivery of the required projects.

Responsible for Junior Consultant / administration staff Typical Education  Hold appropriate professional qualifications applicable to the discipline /Qualifications and commissioned to perform and/or corporate membership of a major Experience institution.

 Must have relevant work experience spanning several projects

 Must have some transport experience and technical skills appropriate to the discipline.

Responsibilities  Deputise for the Principal Consultant/ Senior Consultant on all aspects of the project.

 Assist in the management and control of a project team of consultants to ensure efficiency and compliance with all relevant procedures, rules, regulations, standing orders and instructions and the adopted procurement method.

 Communicate effectively with other members of the Project Team and with other TfL departments and external consultants and bodies as necessary.

 Supervise, control and develop personnel assigned.

 Ensure that own and assigned personnel activities meet the objectives of the commission.

 Comply with all safety and quality assurance requirements and ensure that all team personnel to likewise

 Ensure that all appropriate training, both personal and that of assigned personnel, is undertaken.

58 59 Junior consultant

General Reporting to Senior Consultant/Consultant. A person with the relevant experience capable of working on some aspects of the delivery of the required project. Responsible for support staff.

Typical Education  Must have relevant work experience in at least one completed project. /Qualifications and Experience

Responsibilities  Assist the Consultant where appropriate.

 Supervise the support staff assigned (if appropriate).

 Work in compliance and ensure that all assigned personnel comply with all relevant procedures, rules, regulations, standing orders and instructions and the adopted procurement method.

 Ensure that own and assigned personnel’s activities meet the objectives of the commission.

 Comply with all safety and quality assurance requirements and ensure that all assigned personnel do likewise.

 Ensure that all appropriate personal training is undertaken.

60 61 Appendix C Call Off Schedules

62 63 SCHEDULE 6A (Mini-Competition Request Form)

64 65 Schedule 6A Mini-Competition Request Form – Call Off Contract

Framework Agreement Name and Reference Number: insert Sub Category: insert name Mini-competition Reference: insert From: insert name Date: insert

This is a Mini-Competition Request Form for the provision of Services in accordance with the Framework Agreement referenced above. This is an enquiry document only, constituting an invitation to treat, and does not constitute an offer capable of acceptance. Your Proposal must be submitted as an offer capable of acceptance by the Employer; however such acceptance will not occur unless and until the Employer posts notice of acceptance to you.

Attachment 1 of this Mini-Competition Request Form sets out the Contract Data;

Attachment 2 of this Mini-Competition Request Form sets out the Services.

In your Proposal, you must respond by providing the information required as detailed in this Schedule 6A and by completing the Contract Data Part Two contained in Attachment 1.

Your Proposal will be assessed against those submitted by other Consultants as part of a Mini- Competition process. Subject to the Employer not having any obligation to award a Call Off Contract the Employer will evaluate the Proposals to determine which is the most economically advantageous with reference to the assessment criteria set out in this Schedule 6A.

Any clarifications regarding this Mini-Competition should be directed per the instructions in this Schedule 6A. Any queries regarding the Framework Agreement should be directed to the Procurement Manager named in the Framework Agreement.

66 Instructions to Tenderers

Mini-Competition [insert reference]

Confidentiality The contents of this Mini-Competition are confidential and must be used only for the purpose of submitting a Proposal. The Consultant must not make any such communication or enter into any collusive arrangement with any third party save for the purpose of sub-consulting.

Contact The Employer’s procurement lead allocated to this Mini-Competition is [insert name].

Any contact with other Employer’s personnel relating to this Mini-Competition may invalidate the Consultant’s proposal submission. All contact must be via the e-tendering portal. Only technical issues relating to the e-tendering portal allow for direct contact of the procurement lead. In the first instance, the Consultant should contact the e-tendering portal help desk. If unresolved, contact the procurement lead:

[insert email address] [insert telephone number]

The Services The Services to be provided under this appointment are any or all of the Services detailed in Attachment 2.

If stipulated in Attachment 1 or Attachment 2, the Starting and Completion dates should be deemed material to the Call Off Contract. If the Consultant is unable to meet these dates, the Consultant should propose alternatives within the formal clarification process which may be accepted at the sole discretion of TfL.

Price [delete as applicable: Option A Priced contract with activity schedule Option C Target contract Option E Time based contract]

Mini-Competition clarification Clarifications must be submitted via the e-tendering portal, by [insert time and date]. The clarification(s) and their response(s) will be circulated on an anonymous basis to all Consultants via the e-tendering portal.

Proposal submissions In the Proposal submission the technical proposal, commercial proposal and Contract Data must be separated. Prices must not be included in the technical proposal. The documents must be clearly titled ‘Technical Proposal’, ‘Commercial Proposal’ and ‘Contract Data’. Submissions must be in Microsoft Office applications or Adobe Portable Document Format (pdf) documents.

67 Return of proposal All documents must be correctly uploaded to our e-tendering portal, by [insert time and date].

Validity Proposals must remain open for acceptance for 6 (six) months from the return of proposal date.

Proposal submission clarifications During the course of the evaluation of submissions, the Consultant may be asked to answer questions about his submission and other matters related to the Services. The Consultant must respond to such questions as quickly as possible but, in any event, within 2 (two) working days or, if a deadline is specified, responses must be submitted by that deadline. Failure to respond may result in the Employer rejecting the Proposal submission. Any amendments to the Proposal submission arising from these discussions with the Consultant will be taken into account in the final evaluation.

Proposal clarification meeting To enable moderation of the Proposal evaluation process, The Employer may request a meeting from all, some or one of the Consultants. Failure to attend may result in the Employer rejecting the Proposal submission.

Proposal submission evaluation Evaluation of submissions will be on the basis of most economically advantageous proposal as per the assessment criteria set out in the tables contained in this Schedule 6A.

Compliance All Proposals returned should comply in every respect with the requirements of this Mini-Competition. However, the Employer reserves the right to consider non-compliant submissions where permitted.

Failure to disclose all material information (facts that the Employer regards as likely to affect the evaluation process), or disclosure of false information at any stage of this procurement process may result in ineligibility for award. The Consultant must provide all information requested and not assume that the Employer has prior knowledge of any of the Consultant’s information.

Proposals that contain Specialist Consultants at above Framework Maximum Charge Out Rates will be deemed non-compliant. If you wish the Employer to consider the approval of Specialist Consultants (at above Framework Maximum Charge Out Rates), this must be requested within the Mini-Competition clarification process prior to submitting your Proposal. . The Employer shall not be liable for any costs, charges or expenses borne by the Consultant whether or not he is awarded a Call Off Contract, which for the avoidance of doubt includes any costs, charges and expenses arising from or associated with an abortive or cancelled procurement process.

68 Acknowledgement of receipt of this Mini-Competition The Consultant should acknowledge in the e-tendering portal receipt of this Mini-Competition and confirm whether they intend to submit a Proposal. Failure to do so may lead to the Consultant not receiving any amendments, addendums and clarifications to Mini-Competition documentation.

[Other – Optional, delete if not required]

Submissions & Evaluation Criteria

Technical Proposal Evaluation: [insert technical weighting] and discretionary pass/fail [Optional] The Employer will not appoint a Consultant that scores less than [insert minimum score to pass] out of the available marks [Optional] The technical submission must not exceed [insert number] of words contained in a maximum of [insert number of sides (approx 450 words to a side of A4)] sides of A4

Evaluation Criteria Weighting

[insert criterion 1] [insert sub- weighting]

[expand as necessary]

Conflicts of Interest: Discretionary Provide details of actual or potential conflicts of Interests that would arise Pass/Fail were you to be appointed, and details of how these conflicts would be mitigated.

69 Commercial Proposal Evaluation: [insert commercial weighting] and discretionary pass/fail

[insert [insert criterion 1] weighting/ sub- weighting]

[expand as necessary]

Full contact details of the Consultant’s bid manager For info

Contract Data

Information Required Evaluation

Un-amended Contract Data Part One (in Microsoft Word) For info

Completed Contract Data Part Two (in Microsoft Word) For info

70 71 SCHEDULE 6B

(Mini-competition Request Form – Short Form: Services)

72 73 Schedule 6B Mini-competition Request Form – Short Form Conditions of Contract: Services

Framework Agreement Name and Reference Number: insert Sub Category: insert Mini-competition Reference: insert From: insert name Date: insert

This is a Mini-competition Request Form for the provision of Services as detailed in Table 3, Attachment [ ] in accordance with the Framework Agreement referenced above. This is an enquiry document only, constituting an invitation to treat, and does not constitute an offer capable of acceptance. Your Proposal must be submitted as an offer capable of acceptance by the Employer; however such acceptance will not occur unless and until the Employer posts notice of acceptance to you.

The contents of this Mini-competition are confidential and must be used only for the purpose of submitting a Proposal. The Consultant must not make any such communication or enter into any collusive arrangement with any third party save for the purpose of sub-consulting.

The Employer’s procurement lead allocated to this Mini-competition is [insert name]. Any contact with other Employer’s personnel relating to this Mini-Competition may invalidate the Consultant’s proposal submission. All contact must be via the e-Tendering portal unless there are technical issues with the e-Tendering portal.

In your Proposal, you must respond by providing the information required as detailed in Table 4. Failure to disclose all material information (facts that the Employer regards as likely to affect the evaluation process), or disclosure of false information at any stage of this procurement process may result in ineligibility for award. The Consultant must provide all information requested and not assume that the Employer has prior knowledge of any of the Consultant’s information.

Proposals that contain Specialist Consultants at above Framework Maximum Charge Out Rates will be deemed non-compliant. If you wish the Employer to consider the approval of Specialist Consultants (at above Framework Maximum Charge Out Rates), this must be requested within the Mini-Competition clarification process prior to submitting your Proposal.

Evaluation of submissions will be on the basis of most economically advantageous proposal as per the assessment criteria set out in Table 2.

To enable moderation of the Proposal evaluation process, The Employer may request a meeting from all, some or one of the Consultants. Failure to attend may result in the Employer rejecting the Proposal submission.

The Employer shall not be liable for any costs, charges or expenses borne by the Consultant whether or not he is awarded a Call Off Contract, which for the avoidance of doubt includes any costs, charges and expenses arising from or associated with an abortive or cancelled procurement process.

74 Table 1, Procurement Timetable: Issue mini-competition Insert date Deadline to submit clarification requests Insert date Deadline to submit proposal Insert date Contract award Insert date

Table 2, Evaluation Criteria: Technical Evaluation: [insert technical weighting] and discretionary pass/fail [Optional] The technical submission must not exceed [insert number] sides of A4

[insert sub- 1 [insert criterion] weighting]

[insert sub- [expand / delete as necessary] weighting]

Conflicts of Interest: Discretionary Provide details of actual or potential conflicts of Interests that would arise Pass/Fail were you to be appointed, and details of how these conflicts would be mitigated.

Commercial Evaluation: [insert commercial weighting]

[Optional] The commercial submission must not exceed [insert number] sides of A4

[insert sub- [expand / delete as necessary] weighting]

75 Table 3, The Employer’s Requirement:

The Services: Service See Appendix [ ] Commencement Date: insert

Term: insert

Price: [delete as applicable: Priced contract with activity schedule Target contract Time based contract]

Special Conditions: [N/A or See Appendix “ ” ]

Table 4, The Consultant’s proposal

The Consultant (supplier name) is:

Proposal Ref: Proposal Date:

Bid Manager’s contact details:

Conflicts of Interest: Provide details of actual or potential conflicts of Interests that would arise were you to be appointed, and details of how these conflicts would be mitigated.

insert your response here: 1

[expand / delete]

76 77 SCHEDULE 6C (Mini-competition Request Form – Short Form: Consultant Secondment)

78 79 Schedule 6C Mini-competition Request Form – Short Form Conditions of Contract: Consultant Secondment

Framework Agreement Name and Reference Number: insert Sub category: insert Mini-competition Reference: insert From: insert name Date: insert

This is a Mini-competition Request Form for the provision of Services as detailed in Table 3 Appendix [ ] in accordance with the Framework Agreement referenced above. This is an enquiry document only, constituting an invitation to treat, and does not constitute an offer capable of acceptance. Your Proposal must be submitted as an offer capable of acceptance by the Employer; however such acceptance will not occur unless and until the Employer posts notice of acceptance to you.

The contents of this Mini-competition are confidential and must be used only for the purpose of submitting a Proposal. The Consultant must not make any such communication or enter into any collusive arrangement with any third party save for the purpose of sub-consulting.

The Employer’s procurement lead allocated to this Mini-competition is [insert name]. Any contact with other Employer’s personnel relating to this Mini-Competition may invalidate the Consultant’s proposal submission. All contact must be via the e-Tendering portal unless there are technical issues with the e-Tendering portal.

In your Proposal, you must respond by providing the information required as detailed in Table 4. Failure to disclose all material information (facts that the Employer regards as likely to affect the evaluation process), or disclosure of false information at any stage of this procurement process may result in ineligibility for award. The Consultant must provide all information requested and not assume that the Employer has prior knowledge of any of the Consultant’s information.

Proposals that contain Specialist Consultants at above Framework Maximum Charge Out Rates will be deemed non-compliant. If you wish the Employer to consider the approval of Specialist Consultants (at above Framework Maximum Charge Out Rates), this must be requested within the Mini-Competition clarification process prior to submitting your Proposal.

Evaluation of submissions will be on the basis of most economically advantageous proposal as per the assessment criteria set out in Table 2.

To enable moderation of the Proposal evaluation process, The Employer may request a meeting from all, some or one of the Consultants. Failure to attend may result in the Employer rejecting the Proposal submission.

The Employer shall not be liable for any costs, charges or expenses borne by the Consultant whether or not he is awarded a Call Off Contract, which for the avoidance of doubt includes any costs, charges and expenses arising from or associated with an abortive or cancelled procurement process.

80 Table 1, Procurement Timetable: Issue mini-competition Insert date Deadline to submit clarification requests Insert date Deadline to submit proposal Insert date Contract award Insert date

Table 2, Evaluation Criteria: Technical (CV and Availability) [ ] % Commercial (Day Rate) [ ] % Conflicts of Interest Discretionary pass/fail

Table 3, The Employer’s Requirement: The Services 1 Role: insert title Framework The Services: Commencement Grade: See Appendix Date: insert [ ] Term: insert The Services 2 Role: insert title Framework The Services: Commencement Grade: See Appendix Date: insert [ ] Term: insert [expand / delete as necessary] Pricing: Day Rate Special Conditions [N/A or See Appendix “ ” ]

Table 4, The Consultant’s proposal: The Consultant (supplier name) is Proposal Ref: Proposal Date: Bid Manager’s contact details:

Conflicts of Interest: Provide details of actual or potential conflicts of Interests that would arise were you to be appointed, and details of how these conflicts would be mitigated.

Consultant Name: Framework Grade: Start: 1 Day Rate: (attach CV) Completion: Consultant Name: Framework Start: 2 Grade: Day Rate: (attach CV) Completion: [expand / delete as Table 3]

81 SCHEDULE 7A

(Call-Off Contract Form of Agreement)

82 83 THIS AGREEMENT is made the day of 201 BETWEEN: (1) [ ] whose registered office is at [ ] (“the Employer” which expression shall include its successors in title and assigns); and (2) whose registered office is at (“the Consultant”). WHEREAS: (3) This Agreement is made pursuant to a framework agreement between the Parties relating to the provision of professional services dated (“the Framework Agreement”). (4) The Employer wishes to have provided (“the services”) at . (5) The Employer has accepted a tender by the Consultant for the design of the services and correction of Defects therein in accordance with the conditions of contract. NOW IT IS AGREED THAT: (6) Terms and expressions defined in (or definitions referred to in) the conditions of contract have the same meanings herein. (7) The Consultant Provides the Services in accordance with the conditions of contract. (8) The Employer pays the Consultant the amount due in accordance with the conditions of contract. (9) The documents forming the contract are: this Form of Agreement duly executed by the Parties as a deed; the conditions of contract; the attached Call-Off Contract Data Part 1; the attached Call-Off Contract Data Part 2; and the following documents: the Scope; Schedules [ ] to [ ] inclusive of the Framework Agreement; [any other contract documents.] (10) Where there is any discrepancy or conflict within or between the documents forming the contract the order of priority shall be as follows: 1. First : This Form of Agreement; 2. Second : The conditions of contract;

84 3. Third : The Scope and any other documents included in this contract. (11) Notwithstanding the manner of execution of this Agreement it is agreed that: the limitation period within which any claim may be brought by the Employer for breach of this Agreement by the Consultant is 12 years from the date of breach; and the Consultant agrees not to raise in defence of any such claim a shorter limitation period whether pursuant to the Limitation Act 1980 (as the same may be amended or re-enacted from time to time) or otherwise. IN WITNESS whereof this Agreement has been signed for and on behalf of the Employer and the Consultant the day and year written above. Signed by ) for and on behalf of ) The Employer ) Signature Print name and position

Signed by ) for and on behalf of ) The Consultant ) Signature Print name and position

85 Proforma Call-Off Contract Data

86 87 CALL OFF CONTRACT DATA

Part One - Data provided by the Employer

Completion of the data in full, according to the chosen options, is essential to create a complete contract. Statements given in all contracts 1 General  The conditions of contract are the core clauses as may be amended or supplemented by the clauses for Main Option [A] [C] [E] and Secondary Options [X1] [X2] [X3] [X4] [X5] [X6] [X7] [X8] [X9] [X10] [X11] [X12] [X13] [X18] [X20] [X21] each as may be amended or supplemented by [the LUL Requirements] [the LUL Nominee BCV/SSL Requirements] all as attached to the Transport for London Professional Services Framework Agreement).  The Employer is Name ...... Address ......  The Employer’s Agent is Name ...... Address ......

 The authority of the Employer’s Agent is .[as set out in Option X10] ......  The services are

88 ......  The Scope is in ......  The language of this contract is English  The law of the contract is the law of England and Wales  The period for reply is [ ] weeks.  The period for retention is 12 years following Completion or earlier termination.  The tribunal is the courts of England and Wales  The following matters will be included in the Risk Register ...... 2 The Parties’ main  The Employer provides access to the following persons, responsibilities places and things access to access date ......

3 Time  The starting date is ......  The Consultant submits revised programmes at intervals no longer than [ ] weeks. 4 Quality  The quality policy statement and quality plan are provided within [ ] weeks of the Contract Date, or as stated here ......

89  The defects date is [ ] weeks after Completion of the whole of the services. 5 Payment  The assessment interval is [ ] weeks  The currency of this contract is pounds Sterling (£)  The interest rate is [ ] % per annum above the base rate of the Bank of England. 8 Indemnity,  The amounts of insurance and the periods for which the insurance and liability Consultant maintains insurance are

Event cover Period following Completion of the whole of the services or earlier termination

Liability of the £[ ] or as stated Consultant for below ...... claims made ...... against him arising . . . . . out of his failure to use the degree of for each and reasonable skill, every claim and in care and diligence the aggregate per normally used by annum competent professionals experienced in providing services similar to the services in connection with works of a similar size, scope and complexity to the Works (professional indemnity insurance)

Liability for death of £[ ] or as stated or bodily injury to a below person (not an ...... employee of the . . . . . Consultant) or loss . . . . of or damage to in respect of each property resulting claim, without limit from an action or to the number of failure to take claims [with action by the financial loss

90 Consultant extension cover]

Liability for death of £[ ] or as stated or bodily injury to below ...... employees of the ...... Consultant arising . . . . . out of and in the course of their in respect of each employment in claim, without limit connection with this to the number of contract. claims  The Employer provides the following insurances ......

 The Consultant’s total liability to the Employer for all matters arising under or in connection with this contract, other than the excluded matters, is [unlimited]

......

91 Optional statements If the Employer has decided the completion date for the whole of the services  The completion date for the whole of the services is ...... If no programme is identified in part two of the Contract Data  The Consultant is to submit a first programme for acceptance within [ ] weeks of the Contract Date. If the Employer has identified work which is to meet a stated condition by a key date  The key dates and conditions to be met are condition to be met key date 1 ...... 2 ...... 3 ......  If the Contract Date is not the date of the Call-Off Contract it is: [DATE]

If the Employer states any expenses  The expenses stated by the Employer are Item amount ...... If the Consultant is to provide additional insurances  The Consultant provides these additional insurances 1. Insurance against ......

Cover is ...... Period of cover ...... Deductibles are ......

92 2. Insurance against ...... Cover is ...... Period of cover ...... Deductibles are ...... If Option A is used  The Consultant prepares forecasts of the total expenses at intervals no longer than [ ] weeks. If Option C or E is used  The Consultant prepares forecasts of the total Time Charge and expenses at intervals no longer than [ ] weeks.  The exchange rates are those published in ...... on ...... (date) If Option C is used  The Consultant’s share percentages and the share ranges are share range Consultant’s share percentage

less than [ ]% [ ]% from [ ]% to [ ]% [ ]% from [ ]% to [ ]% [ ]% from [ ]% to [ ]% [ ]% greater than [ ]% [ ]%

Unless otherwise stated below share range Consultant’s share percentage less ...... than ...... % . . % ...... from ...... % . . . . % to ...... % ...... from ...... % . . . . % to ...... % ...... from ...... % . . . . % to ...... % ......

93 greater . . . . % than ...... % If Option X1 is used  The index is …………………………………………………. If Option X2 is used  The law of the project is …………………………………………………. If Option X3 is used  The Employer will pay for the items or activities listed below in the currencies stated items and activities other total maximum currency payment in the currency 1 ...... 2 ...... 3 ......  The exchange rates are those published in ...... on ...... (date)

If Option X5 is used  The completion date for each section of the services is section description completion date 1 ...... 2 ...... 3 ...... 4 ...... 5 ...... If Option X5 and X6 are used together  The bonuses for each section of the services are section description amount per day ......

94 1 ...... 2 ...... 3 ...... 4 ...... 5 ...... Remainder of the services ...... If Options X5 and X7 are used together  Delay damages for each section of the services are section description amount per day 1 ...... 2 ...... 3 ...... 4 ...... 5 ...... Remainder of the services ...... If Option X6 is used (but not if Option X5 is also used)  The bonus for the whole of the services is ...... per day. If Option X7 is used  Delay damages for Completion of the whole of the services are . . . . . per day. If Option X12 is used  The Client is Name ...... Address ......  The Client’s objective is ......

95 ......  The Partnering Information is in ...... If Option X13 is used  The amount of the performance bond is ...... If Option X20 is used (but not if Option X12 is also used)  The incentive schedule for Key Performance Indicators is in ......  A report for performance against each Key Performance Indicator is provided at intervals of ...... months

96 CALL OFF CONTRACT DATA PART TWO

Data provided by the Consultant

Completion of the data in full, according to the Options chosen, is essential to create a complete contract. Statements given in  The Consultant is ...... all contracts ...... Name ...... Address ......  The key persons are (1) Name ...... Job ...... Responsibilities ...... Qualifications ...... Experience ...... (2) Name ...... Job ...... Responsibilities ...... Qualifications ...... Experience ......  The staff rates are Name / designation rate

97 ......  The following matters will be included in the Risk Register ...... Optional statements If the Consultant is to decide the completion date for the whole of the services  The completion date for the whole of the services is ...... If a programme is to be identified in the Contract Data  The programme identified in the Contract Data is ...... If the Consultant states any expenses  The expenses stated by the Consultant are item amount ...... If the Consultant requires additional access  The Employer provides access to the following persons, places and things access to access date ...... If Option A or C is used  The activity schedule is ......  The tendered total of the Prices is ......

98 99 SCHEDULE 7B

(Form of Agreement – Short Form)

100 101 Schedule 7B FORM OF AGREEMENT – Short Form

THIS AGREEMENT is made the day of 201[ ] CONTRACT NUMBER / SAP PO NUMBER: [ ]

BETWEEN: [ ] (“the Employer” which expression shall include its successors in title and assigns); and [ ] (“the Consultant”)

WHEREAS: This Agreement is made pursuant to a framework agreement between the Parties relating to the provision of [insert framework title] dated [insert framework commencement date] (“the Framework Agreement”). The Employer wishes to have provided Consultancy Services as contained in Table 3 Appendix [ ]. The Employer has accepted a proposal (Table 4) by the Consultant for the Services in accordance with the Short Form Conditions of Contract.

NOW IT IS AGREED THAT: Terms and expressions defined in (or definitions referred to in) the short form conditions of contract have the same meanings herein. The Consultant Provides the Services in accordance with the Short Form Conditions of Contract, Tables and Schedules. The Employer pays the Consultant the amount due in accordance with the short form conditions of contract. The documents forming the contract are:

This Form of Agreement duly executed by the Parties; Short Form Conditions of Contract; Table 3, Table 4 and Table 5; The Schedules.

Where there is any discrepancy or conflict within or between the documents forming the contract the order of priority shall be as follows: First : This Form of Agreement; Second : Table 5; Third : Table 3; Fourth : The Schedules; Fifth : Short Form Conditions of Contract; Sixth : Table 4.

1. Notwithstanding the manner of execution of this Agreement it is agreed that: 1.1 the limitation period within which any claim may be brought by the Employer for breach of this Agreement by the Consultant is 6 years from the date of breach; and 1.2 the Consultant agrees not to raise in defence of any such claim a shorter limitation period whether pursuant to the Limitation Act 1980 (as the same may be amended or re-enacted from time to time) or otherwise.

102 This Agreement has been signed for and on behalf of the Employer and the Consultant the day and year written above.

Signed by for and on behalf of The Employer Signature Print name and position Date:

Signed by for and on behalf of The Consultant Signature Print name and position Date:

103 Table 3, Employer’s Requirement: [Insert Table 3 (the Employer’s requirement) from Mini-competition]

Table 4, Contractors Proposal: [Insert Table 4 (the Consultant’s proposal) from Mini-competition]

Table 5, Contract Particulars:

Contract Number / PO number: insert

The Contract Commencement Date is: insert The Service Commencement Date is: insert The Term is: insert

In accordance with Clause 7.1 of the Short Form Conditions of Contract, the Employer’s Contract Manager is: [insert name, address and contact details]

In accordance with Clause 7.1 of the Short Form Conditions of Contract, the Employer’s Procurement Manager is: [insert name, address and contact details]

In accordance with Clause 8.5 of the short form Conditions of Contract, the Consultant’s Key Persons are: [insert name(s), area of responsibility, address and contact details]

Notice period in accordance with Clause 25.4 of the Short Form Conditions of Contract (termination without cause): [ ] days

Special Conditions of Contract: [insert special conditions]

Payment Period: (see Clauses 5.1 and 5.4 of Short Form Conditions of Contract)

Clause 5.1 [insert alternative period as required] Where no alternative is listed, the payment period shall be 4-weekly

Clause 5.4 [insert alternative (shorter*) period] Where no alternative is listed, payment must be made within 30 days of receipt of invoices.

* the period cannot exceed 30 days

Address where invoices shall be sent: insert

Other:

104 105 SCHEDULE 13

(Supplier Performance)

106 107 Supplier Performance

Measuring the performance of its consultants is important to TfL. All call offs from the framework which are in excess of £100k in value will include a set of key performance indicators (KPI) which will be measured every quarter as a minimum.

TfL will also measure the performance of call off contracts which are less than £100k in value using a scoring of 1 (poor) to 5 (excellent).

The consultant’s performance results are reported at Director level across TfL.

TfL expects good performance on all contracts. Where poor performance is identified a process for mitigation will be implemented. Likewise where there is evidence of good performance the supplier’s work will be promoted across TfL. For the avoidance of doubt TfL reserves the right at its sole discretion not to utilise an Incentive Schedule as per Secondary option X20 when calling off from the Framework.

Score Scoring Definition

This activity is not applicable N/A for this supplier

The supplier does not display 1 any examples of good practice

The supplier displays some good practice but is generally 2 poor in this area

The supplier is average/acceptable in this 3 area

The supplier demonstrates 4 good practice

The supplier excels in this 5 element

Call off contracts greater than £100k in value

A set of Key Performance Indicators (KPI) will be prepared by TfL and included within each call off contract. The KPI’s will be produced against each of the 7 measures as indicated in appendix A of this schedule and as referenced within TfL’s balanced scorecard. The KPI results will be collected every quarter as a minimum.

Call off contracts less than £100k in value

Each quarter TfL will collect data on the consultant’s performance. Each call off will be scored from 1 to 5 using the scoring definition as indicated within table 1 below;.

If a specific call off contract is below £100k but deemed to be of high importance and risk to TfL, the project team in consultation with commercial have the option to include a set of KPI’s within the “call off” contract.

108 Table 1

Call off contracts for individuals filling a role in TfL on a temporary basis

TfL also has demand for individuals to fill roles within the organisation on a temporary basis. This could be typically for a period of between 3-6 months.

A very small number of these individuals will be on £750 a day or more. TfL has extremely high expectations from this small number of individuals working in the organisations, as a result their performance will also be measured as part of the quarterly survey using the 1 – 5 scoring matrix described within table 1 above.

The remaining individuals filling roles temporarily within TfL will not have their performance measured through the quarterly survey. If the individual is not performing he will be asked by the employing manager to leave the organisation.

To help these relationship and to align expectations, the employing manager will use the behavioural matrix as indicated within Appendix B to manage the day to day relationship.

Addressing poor performance and recognising good performance

As a minimum, TfL expects good performance from its consultants. The information on supplier performance will be communicated quarterly to directors across TfL.

The result of the survey will be published and made available to suppliers across TfL indicating the position of each supplier in the form of a league table.

If a Consultant obtains a score of less than 3 then this will form the basis for the production of a Supplier Action Plan, which will need to be discussed and approved by the TfL Framework manager.

The Consultant will then submit a “Supplier Action Plan” every four weeks which shall be monitored jointly by TfL and the Consultant.

Escalation route for poor performance

If the consultant has a poor score (1 or 2) on any contract, it is important that a speedy resolution is in place to remedy and address the poor performance.

109 The consultant’s proposal to resolve levels of poor performance through the Supplier Action Plan should be developed in consultation with TfL and provided to the TfL framework manager within 5 days of the poor performance being identified.

If the next quarterly survey identifies the project is still under performing this will be escalated to the Sponsors/ Directors for the relationship to agree next steps.

If the mitigation plan is unsuccessful, TfL’s Managing Director and the supplier’s CEO or business owner will intervene and meet with the Framework Manager to discuss and agree how to resolve the poor performance.

As a last resort, the consultant may be asked not to bid for future work under the framework until their performance issue is resolved, (The supplier would need to agree to this course of action in writing) or in extreme cases they may be removed from the framework.

Promoting good performance in TfL

TFL expects good performance and encourages its consultants to excel.

The consultant, who is found to be the best performing in a quarter, will be rewarded with the opportunity to hold a workshop/presentation within TfL on Innovation.

The event will be facilitated and supported by TfL’s supplier relationship manager and attended by 8-10 senior managers from across TfL.

Escalation Route for Poor Performance Flow Chart

110 111 BEHAVIOURS TfL - MUTUAL BEHAVIOURS FOR Collaborative - 5 Aligned - 4 Effective - 3 Distant- 2 Negative- 1 SUPPLIER RELATIONSHIPS

Supplier senior management demonstrate a 'zero harm' culture by Supplier is working towards embedding a strong HSE promoting HSE discussions at meetings, sharing HSE standards Supplier senior management actively encourages their staff to Supplier senior management do not actively promote compliant culture and this is led by senior management (i.e. and best practices and collaborating to continually improve by exhibit safety and environmental practices by providing safety and environmental practices within the Supplier senior management do not appear to promote safety and Intranet, training sessions, desk drop, posters. Internal facilitating joint HSE training sessions and knowledge regular training sessions, running desk drop campaigns and organisation, but a general awareness of HSE is environmental within their organisation comms etc.) - Supplierstaff proactively take ownership of ensuring their having policies in place on HSE with annual targets etc. communicated - The understanding and demonstration of good safety and Supplier staff usually demonstrate compliance to their own SAFETY & ENVIRONMENTAL colleagues are informed and compliant with HSE standards and - Supplierstaff usually demonstrate compliance with safety - TfL / supplier staff's understanding and recognition of environmental practices and behaviours by staff is frequently poor HSE standards and practices and share these as required best practices and how these translate into activities relevant to and environmental good practices good safety and environmental practice is limited and / and non-compliant with each other, communicating any updates or changes as their roles within the relationship Supplier colleagues regularly collaborate with others to or they sometimes display non-compliant behaviour - Little or no effort to communicate their organisation's HSE necessary - Supplierstaff exhibit a positive and responsible attitude to safety ensure they have a mutual understanding of the HSE - Sharing and communication of changes to HSE standards or changes is made to other colleagues or parties Supplier teams display willingness to engage on further and environmental practices and are compliant with them at all activities each is doing requirements are infrequent and may be unclear safety and environmental training and awareness to improve. times

Supplier's behaviour is consistent with it's organisational values and their teams demonstrate honesty and promote trust by doing what Supplier behaviours are sometimes inconsistent with they will when they say they will Supplier behaviours are consistent with their organisational Supplier behaviours are usually consistent with their their organisational values Supplier behaviours are not very consistent with their Supplier demonstrates flexibility in their work to their colleagues and values organisational values - Issues are not always owned or resolved within organisational values are able to collaborate on and prioritise what is important an ever- Supplier demonstrates flexibility in their work to their Supplier team shares required information with other parties reasonable timeframes due to disagreements about - Trust and flexibility are not evident, however frustration, changing environment colleagues and are able to collaborate on and prioritise what and usually manages expectations accurately ownership / lack of understanding / clarity about what defensiveness and aggression are frequently exhibited to the RELIABILITY / QUALITY Supplier teams display reciprocal behaviour to their colleagues and is important - Issues are dealt with in reasonable timeframes, was needed detriment of the relationship other parties and maintain positive composures under pressure - Trust is evident in ownership being taken of important occasionally clarity of issue and ownership may be disputed - Feedback is sought sporadically and whilst it is - Constructive feedback is not sought for, nor offered and there is - Trustworthiness is evident in proactive sharing of necessary and issues and their quick resolution Supplier regularly asks for feedback and displays evidence of sometimes acted upon, it is not always constructive little evidence it is acted upon if it is given relevant information without being asked and by taking ownership - Constructive feedback is sought, offered and is acted upon applying it when it is offered - Team does not appear able to deliver under pressure and is of issues / errors without apportioning blame, but emphasising the - Supplierstaff demonstrate ability to deliver under pressure - Accepts responsibility for delivery of strategic responsibility Supplier staff can sometimes display a defensive perceived as unreliable lessons to be learned attitude under pressure - Constructive feedback is proactively solicited and acted upon Supplier holds itself accountable for delivering tasks, responsibilities and targets Supplier does not deliver against all targets Supplier holds itself accountable for delivering tasks, Supplier usually demonstrates responsibility for their tasks Supplier staff often exceed targets and proactively seek to take Supplier frequently disputes the ownership of tasks and responsibilities and targets and does not make excuses for any minor failures but holds Supplier takes responsibility for their tasks and ownership of disruption issues responsibilities. which can result in disruption and delays to Supplier exhibits understanding of the environment, industry themselves accountable and displays ability to learn from any activities, however not always the targets, which are Supplier exhibits understanding of the industry, environment and projects and restraints their colleagues / other parties have to work issues sometimes missed, causing unnecessary disruption restraints their colleagues and other parties have to work within and - May sometimes apportion blame mistakenly for their non- MINIMISING DISRUPTIONS within and may suggest changes to help reduce disruptions Supplier staff exhibit empathy of the environment, industry - Supplier does not always display a clear understanding proactively suggests changes to help reduce disruptions, even if it is delivery of targets and fails to manage expectations and escalate from time to time and demonstrates receptivity to such and any restraints their colleagues / other parties work within of the environment, industry and restraints that their not in their line of responsibility and demonstrates willingness and issues to resolve them suggestions if made to them - Ownership is usually demonstrated of issues to minimise colleagues / other parties work within and as a result receptivity to such suggestions if made to them - Does not demonstrate understanding of the environment, Supplier is not afraid to escalate issues in their organisation delays this sometimes causes disruption and delay - Supplierescalates issues when appropriate, but also takes industry and restraints other colleagues / parties have to work when appropriate to expedite resolution - Accepts no responsibilty for delivery of strategic priorities responsibility and makes executive decisions where necessary to within ensure disruptions are minimised

Supplier shows the ability to spot opportunities for mutual benefit and often comes up with new, innovative ideas Supplier recognises changing demands / requirements and is - supplier is receptive to and often solicits other people's new ideas able to offer and is receptive to differing solutions Supplier recognises changing demands / requirements and Supplier is open to other ideas but can be reluctant to Supplier does not exhibit receptivity to, or offer new ideas or Supplier proactively analyses trends / MI to anticipate new Supplier is open to new ideas / ways of working and is willing is receptive to differing solutions embrace change or new and different ways of working different ways of working to develop mutual value INNOVATION opportunities to add mutual value to host / facilitate innovation workshops/meetings and Supplier is open to new ideas / ways of working - Supplieris willing to attend innovation - TfL supplier is very reluctant to embrace change Supplier proactively establishes innovation workshop/meetings and progress and develop initiatives from them Supplier is willing to attend innovation workshops/meetings workshops/meetings but their staff are not active Supplier makes minimal effort to attend or contribute to innovation their staff lead and facilitate these Supplier staff are active and positive participants of any such and progress and develop initiatives from them participants meetings or workshops Supplier exhibits sound decision-making on feasibility and reality of meetings or workshops the adoption of new ideas or ways of working

Supplier demonstrates an excellent understanding of the industry and market other parties / clients operate in and has the ability to Supplier demonstrates a strong understanding of their Supplier does not demonstrate an understanding of partners / anticipate what their colleagues / partners need / aspire to colleagues / partners / clients industry client industries Supplier staff collaborate, plan and organise themselves to ensure Supplier staff work, plan and organise themselves to ensure Supplier demonstrates a limited understanding of - Supplier ignores obvious opportunities for business performance Supplierdemonstrates a good understanding of partners / that their colleagues / partners / clients have everything needed for that their colleagues / partners / clients have everything partners / clients industries improvement clients industries and is usually able to deliver efficiently successful delivery required for successful delivery Supplier sometimes struggles to plan and organise Supplier is not able to demonstrate that they have the ability to - Supplierstaff work and plan to ensure that clients / partners Supplier staff are prompt to respond to queries or concerns, and Supplier staff respond to queries or concerns quickly and themselves to enable delivery plan and organise themselves to deliver as they often miss are able to deliver goes the extra mile to add value and continually works to improve efficiently - Supplierstaff respond to most queries or concerns in a deadlines DELIVERY Supplier usually responds to queries or concerns delivery of wider organisation. Supplier demonstrates a good working ethic in their culture reasonable timeframe Supplier do not respond to queries or concerns raised in a timely Supplier demonstrates a good working ethic in their culture Supplier demonstrates a strong working ethic in their culture and and often displays initiative when undertaking tasks and Supplier staff are sometimes late to meetings, or cancel manner Supplier staff are professionally courteous, punctual and displays initiative when undertaking tasks and activities activities Supplier staff are professionally courteous, are meetings at short notice and are perceived as lacking in Supplier staff frequently display a lack of professional courtesy to respectful of other people's opinions - Supplierstaff are always professionally courteous, punctual to punctual to meetings and calls and respectful of other professional courtesy at times others (i.e. lateness, lack of planning, disrespectful of others - Shares, promotes and seeks "buy-in" to vision meetings and are respectful of other people's opinions people's opinions opinions, etc). Supplier staff display diligence in accurately documenting actions Supplier staff display diligence in accurately documenting - Fails to convince/engage with audiences to the detriment of and meeting summaries or minutes, rarely forgetting actions and actions and meeting summaries/minutes delivery can juggle and deliver against conflicting and changing priorities

Supplier is unable to gauge the impact of their financial decisions Supplier team are sometimes difficult in their approach on themselves and other organisations Supplier displays an understanding of how their actions and Supplier team demonstrate simplicity and fairness in their to agreeing financials Supplier staff often make financial decisions that are sub-optimal Supplier staff proactively seek to eliminate waste and unnecessary decisions impact on other parties' profits, revenues and costs approach to agreeing financials Supplier does not actively seek to eliminate hidden and overly complex and may be perceived as manipulative and cost from the supply chain and exhibit collaboration, empathy and Supplier staff are active participants and collaborators in any Supplier participates in some initiatives to reduce waste in costs or waste from their supply chain difficult, resulting in a lack of trust with colleagues from other VALUE FOR MONEY transparency in doing so initiatives to eliminate waste in their supply chain their supply chain Supplier sometimes displays a misunderstanding of how organisations - Supplierteam demonstrate simplicity and fairness in their Supplier team demonstrate simplicity and fairness in their Supplier shows an understanding of how their actions impact their actions and decisions impact on the costs, Supplier has little or no evidence to support that they participate approach to agreeing financials and are well regarded by all who approach to agreeing financials and are well regarded by all on their own costs and those of other organisations revenues and profits of their own organisation as well as in or promote any waste reduction initiatives in their supply chain deal with them who deal with them other parties Supplier exhibits a lack o f transparency / fairness / simplicity in their costing / pricing

Supplier senior management demonstrate a commitment to procuring goods and services responsibly within their Supplier senior management demonstrate a commitment to organisation and Tier 1 suppliers by internal comms, hosting Supplier senior management do not appear to promote Supplier senior management do not appear to promote Supplier staff display a conscientious outlook about promoting procuring goods and services responsibly within their meetings etc on the topic Responsible Procurement within their own organisation Responsible Procurement within their own organisation at all Responsible Procurement and what it means for their colleagues organisation Supplier staff display a conscientious outlook about Suppliers staff sometimes display ignorance of RP as a Suppliers staff display ignorance of RP as a topic and what it RESPONSIBLE PROCUREMENT throughout their supply chain Supplier sometimes attends collaborative initiatives on promoting Responsible Procurement topic and what it entails entails - Supplier regularly drives collaborative initiatives on Responsible Responsible Procurement with their peers to raise the profile Supplier regularly attends collaborative initiatives on Supplier occasionally attends a meeting on Responsible - Supplier does not attend any meetings or workshops on Procurement with their peers to raise the profile of RP and to of RP and to generate further developments on it within their Responsible Procurement with their peers to raise the profile Procurement but is not an active participant Responsible Procurement generate further developments on it within their supply chain supply chain of RP and to generate further developments on it within their supply chain