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Framework 2 Lot 6: ITSO Electronic Ticket Machines (ETMs) Invitation To Tender (ITT)

OJEU Procurement of ITSO Services and Goods by South West Smart Applications Ltd on behalf of its Local Authority, other Public Sector and Operator Members 2016 – 2022

Procurement in partnership with Contents

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 2 of 42 1. Introduction

The Glossary of Terms which supports Sections 1-5 can be found within Appendix C. SWSAL is seeking the provision of ITSO compliant Electronic Ticket Machines (on- vehicle (fixed) and hand held) and their supporting software. The Electronic Ticket Machines (ETMs) are also referred to as on-vehicle Point of Sale Terminals (POSTs) and are usually the most important part of the interface between customers and transport providers in relation to ticketing. Their capability in terms of speed and performance is central to how a smart scheme is perceived and accepted. Details of SWSAL South West Smart Applications Ltd (SWSAL) is a not-for-profit Company limited by guarantee – reg. no: 7205882. SWSAL was established to provide a range of managed support services to its Members to enable them to deliver Smart and Integrated Ticketing. Launched by the Parliamentary Under-Secretary of State for Transport in 2010, SWSAL is owned by its Members: Public Sector Transport Authorities; and major bus operators. Membership is not restricted by geography and is open to any Public Sector Transport Authority or Bus Operator, as defined within SWSAL’s Articles of Association. The Company has 4 Public Sector Transport Authority and 4 Bus Operator Directors and an independent Chairman. Full details about SWSAL are available at www.swsal.co.uk. Smart ticketing is important to all current Public Sector Transport Authority Members of SWSAL, due to the statutory nature of the delivery of the English National Concessionary Travel Scheme (ENCTS) as detailed within the Transport Act 2000, and its requirement under provisions detailed within the Concessionary Bus Travel Act 2007, specifically for all Local Authorities (who are Travel Concession Authorities) to issue ENCTS Bus Passes (Permits) as ITSO SmartCards. In July 2016 the current contract under which SWSAL is able to provide an ETM Framework Contract to its Members expires. Existing SWSAL OJEU based ITSO services and goods contracts will also be expiring by March 31st 2017. In January 2015 SWSAL Directors and Members approved a new procurement process for SWSAL, to cover all key ITSO services and goods. Background & Value of a Managed Service The founding rationale and business case behind SWSAL is to deliver scale-based procurement efficiencies for its public and private sector Members to access both ITSO and wider smart ticketing services and goods. Over the last 4 years SWSAL has responded dynamically to the needs of its Members for a more directly Managed Service in supporting smart ticketing scheme development. This change in approach is as a direct result of the functional challenges and structural inefficiencies observed nationally in recognising that the ITSO Specification had not fully defined core aspects of data exchange between suppliers. This lack of standardisation has led to individual supplier variations in process which has impacted on a local scheme’s ability to deliver interoperability on a consistent basis. This has led to a higher demand for a Managed Service from SWSAL in owning and resolving these challenges and for the day to day management of key aspects of the ITSO delivery chain – such as ISAM messaging. Such a Managed Service approach has been recognised nationally as a key asset in enabling the introduction of successful smart ticketing schemes, and has been adopted in many areas. It is now regarded as central to the introduction of successful smart ticketing outside the key urban areas – with SWSAL providing the National Managed

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 3 of 42 Service Pilot Project in Norfolk on behalf of the Department for Transport, to demonstrate and quantify this. The business case for this Project is based upon approval in 2014 from SWSAL Members for SWSAL to openly procure via OJEU a series of ITSO services and goods via a Framework Call-Off Contract process to support a customer focussed Managed Service Scheme Overview as detailed below in Figure 1. Figure 1: Customer Focussed Managed Service Scheme Overview

Payment Smart Web Customer Account System Card & Retailing Card Bureau Perso POST Smart Card

Perso POST Customer Contact CMS Centre

sQuid sQuid

Retail POST

HOPS ISMS g n i c a F

r Validator/ Collection e Remote POST

m Point

o System t

s (Part 11) u C

Transit Settlement System Remote POST Remote POST Remote POST Business Logic (Part 11) Server

Key Analytical Tool On Vehicle POST ITSO Components and Links

Non ITSO Components and Links 3rd Party On Vehicle 3rd Party HOPS POST

The list of services and goods to be procured will include all aspects outlined in Section 2, and will be based upon key ‘Lots’ within a two-phase procurement process. Each Lot reflects a key part of this Scheme Overview and will be capable for use as both as a standalone or integrated function. Procurement Project Vision and Strategic Objectives The vision of this project is: “to complete an open and transparent OJEU procurement process, compliant with best practice in public purchasing, which will deliver framework contracts that are both effective and offer best value. This will allow both SWSAL and our Members to implement ITSO based smart ticketing schemes in a cost efficient, timely and effective manner, either through the Managed Service and supported delivery we provide, or by

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 4 of 42 Members procuring some or all elements of their scheme directly from the framework agreements themselves.“ The Strategic Objectives of this Project reflect a need to provide a stable platform for SWSAL, through OJEU procurement, to enable it to offer and provide a range of Managed Services to its Members, and to be capable of extending this support to new Members as required, protecting their ability to deliver both statutory and non-statutory requirements. The Objectives need to build upon and develop work to date in meeting the core Department for Transport’s 2011 White Paper, and 2013 Door to Door national objectives, as well as meeting the smart policy needs of the wider devolved administrations. The Objectives also need to reflect a priority of Members to be able to directly contribute to key outputs and outcomes of the Strategic Economic Plans of their Local Enterprise Partnerships, as well as to the Local Growth Frameworks and Local Transport Plan priorities. This has led to the development of three Strategic Objectives for this Project: Strategic To enable SWSAL to be able to offer a range of ITSO and Objective 1. wider Ticketing services and goods to both its private and public sector Members, confident that all public sector procurement processes have been met in full and that the services and goods on offer reflect best value for money;

Strategic To enable SWSAL Members to be fully compliant with the Objective 2. statutory obligations and legislative requirements associated with ENCTS and smart ticketing, whilst delivering the five core sustainable transport priorities of the Department for Transport’s Creating Growth, Cutting Carbon White Paper and its Door to Door Strategy; Strategic To enable SWSAL Members to contribute to their Local Objective 3. Transport Plans and the Strategic Economic Plans of their Local Enterprise Partnerships.

The Strategic Objectives will be met through enabling SWSAL Members to access a range of Managed Service options from SWSAL, providing statutory and non-statutory smart ticketing solutions, secure and confident in the knowledge that all OJEU procurement obligations have been met, and that the services available reflect best value. These Managed Service options will: Support Members in delivering local sustainable transport solutions through changing travel behaviour and efficiency measures, delivering quantified Carbon, NOx and PM10 emission reductions through modal transfer to public transport and improved journey times through the utilisation of on-vehicle smart technologies; Support Members in being able to develop smart ticketing based multi-operator solutions to support economic growth and access to employment and training opportunities through increasing the number of public transport users and products; whilst enhancing journey time reliability; Support Members in being able to contribute to improving social inclusion and mobility through reducing barriers to transport, by supporting the development of bespoke ticketing products, tailored to specialist group’s needs;

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 5 of 42 Support Members in being able to improve the security of ticketing, and promote efficiency and fairness through targeting fraud.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 6 of 42 2. The Project

Procurement Process The procurement will be undertaken in two core phases to spread the workload over the year to reflect delivery priorities. Framework 1 commenced in Quarter 3 2015 to conclude by the end of Quarter 2 2016 and this Framework 2 is running from Quarter 1 2016 to conclude by the end of Quarter 3 2016. An overview of the services and goods being procured and the phasing of the process per Lot is outlined below. In undertaking this OJEU Procurement process, SWSAL is committed to an open and transparent process, compliant with best practice in public purchasing, which will deliver framework contracts that are both effective and offer best value. This will allow both SWSAL and our Members to implement ITSO based smart ticketing schemes in a cost efficient, timely and effective manner, either through the Managed Service and supported delivery we provide or by Members procuring some or all elements of their scheme directly from the framework agreements themselves. Framework 1 Procurement July 2015 – April 2016 Framework 1 Description of Lots Lot No. Lot Title Short Description

1 ITSO AMS-HOPS Provision of an ITSO AMS/HOPS and appropriate integration services. 2 ITSO AMS-HOPS (Lite) Provision of an ITSO AMS/HOPS and appropriate integration services. 3 ITSO CMS Customer Management System to facilitate the management of cards, ITSO shells, products and usage. 4 ITSO Card Production ITSO certified bureau smartcard Bureau production and distribution services. 5 Web Portal Web portal to allow customer to manage their cards, ITSO shells and products within an ITSO ticketing environment.

Framework 2 Procurement Q4 2015 – Q3 2016 To assist with the administration of the procurement process Framework 2 is being divided in 2 sub-groups with each sub-group being delivered against its own delivery timescale. Framework 2 Description of Lots Lot Lot Title Short Description No.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 7 of 42 Sub-group A

6 ITSO Electronic The supply of ITSO compliant electronic ticket Ticket Machines machines (fixed and hand held) and their supporting (ETM) software. 7 ITSO Retail Devices The supply of ITSO compliant smart card ticketing retail point of service terminals and associated software 8 Consultancy Services ITSO and wider ticketing transport consultancy and travel operator management 9 Smart Cards and The supply of ITSO compliant smart card media and Smart Card Printers smartcard printing and encoding equipment and software Sub-group B

10 Mobile Ticketing Development of mobile phone based application(s) Application to allow purchase and collection of ITSO and other ticketing products 11 ITSO Ticket Vending The supply of ITSO compliant unattended ticket Machines (TVM) vending machines (indoors or outdoors) and their supporting software 12 Transit Settlement A multi operator, ITSO & FCA compliant travel System for an ITSO money settlement system STR 13 ITSO Part 11 The provision of services to facilitate the collection Solutions and purchase of ITSO products.

14 Data Analysis Software to enable detailed analysis of data from Solution core components of the system.

15 RTPI & Traffic The provision of services to optimise smart data and Management goods in other core areas of public sector transport Alignment service delivery.

2.4. Project Team SWSAL’s Project Team is tasked with delivering the Project. The Project Delivery Team comprises of the following members: Chairman Mr Jack Paine Michelmores – Legal Support Mr Ben Hogan Mr Jason Phelps Mr Nathaniel Lane

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 8 of 42 SYSTRA – Technical Support Ms Debbie Walker Mr Keith James Mr Jeremy Meal SWSAL – Client Representatives Dr Andrew Seedhouse Mr James Bloor Mr Jamie Walker Ms Joan Murray

2.5. Overview of the Procurement Process

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 9 of 42 2.6. Structure of the Process OJEU Contract Notice On 06/01/2016, a Contract Notice (Reference: 2016/S 006-006344) was dispatched for publication in the OJEU calling for expressions of interest in the Project. The Pre- Qualification Questionnaire was sent to all parties who expressed interest in the Project by the date referred to in the Contract Notice. The deadline for requests to participate, which required submission of a completed Pre-Qualification Questionnaire response, was 17:00 GMT on 22/2/2016. Information requested in the Pre-Qualification Questionnaire and provided by Candidates was used to evaluate each Candidate in accordance with Regulations 57, 58, 59 and 60 of the 2015 Regulations. Invitations to Tenders (ITT) This key phase of the procurement will commence with the issue of this Invitation To Tender to successful Suppliers who passed the Pre-Qualification Questionnaire appraisal. The tender documentation includes SWSAL’s detailed requirements. Clarification / Evaluation of Tenders Once Tenders have been submitted, SWSAL may request a Tenderer to clarify, specify or fine tune its Tender e.g. fleshing out minor technical details, although Tenderers will not be permitted to alter the basic features of the Tender unless it can be demonstrated that this would not distort the competition or have a discriminatory effect on the other Tenderers and their submissions. In this respect, Tenderers should note that SWSAL anticipates that each Tender will constitute a complete bid. The Tender will be evaluated on the basis of the Award Criteria described in Section 6. As part of the evaluation process, Tenderers are required to participate in a test process of their equipment. The Test Schedule is enclosed in Appendix B. Appointment of Framework Lot Providers The six most economically advantageous tenderers whose Tender scores above a defined threshold will be accepted on to the Framework. Unsuccessful Tenderers will be provided with information and debriefed in accordance with the 2015 Regulations. A notice of the award decision will be issued to any unsuccessful Tenderer and will contain the following information: The Award Criteria; The reasons for the award decision including: 1. Scores of the winning Tenders; 2. Scores of the unsuccessful Tender; 3. Any reasons why the unsuccessful Tender did not meet the technical specifications; and 4. The date when the Standstill Period will end and any reasons why it may not end when envisaged. Full debrief information will be issued at the commencement of the Standstill Period to the unsuccessful Tenderers. 1.1. Procurement Timetable The indicative procurement timetable is as follows: Stage Description Date 1 OJEU Notice Dispatched Jan 6th 2016 Pre-Qualification Questionnaire published Jan 8th 2016 Deadline For Expressions Of Interest (Return Of Pre- Feb 22nd 2016 Qualification Questionnaire Responses)

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 10 of 42 Evaluation Of Pre-Qualification Questionnaire Responses Mar 4th 2016 2 Issue Invitation To Tender Mar 14th 2016 Deadline For Requests For Information (RFIs) Apr 1st 2016 Date For Submission Of Tenders Apr 8th 2016 Evaluation Of Tenders & Testing Complete May 6th 2016 Appointment To Framework May 12th 2016 Standstill Period Ends May 26th 2016 Framework Award May 26th 2016

NB: This timetable and the various stages outlined above are indicative only and SWSAL reserves the right to alter them at its sole discretion.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 11 of 42 Structure and Objectives of the Tender Submission Set out below is a summary of how SWSAL requires each Tenderer to structure its Submission. Details of SWSAL's objectives in relation to each component are also set out below: Executive Summary: 5. The executive summary (max 2 sides A4) is to summarise the information that is included elsewhere in the submission. Tenderers should note that this item will not form part of the evaluation but is requested by SWSAL in order to convey the principal benefits and key issues. The Tenderer should ensure that all information included in the Executive Summary is included elsewhere in their Submission. Technical Response: 6. Detailed responses to the technical requirements as detailed in Section 4 are required, through the completion of the Technical Response Pro-forma provided in Appendix B. 7. Documents associated with the ETM Test Process are also provided in Appendix B. Financial Response: 8. The completion of the Pricing Matrix Pro-forma in Appendix B. Contractual Response: 9. Detailed responses to the contractual requirements as detailed within the Framework Agreement in Section 5 through completion of the Contract Non- compliance Pro-forma as provided in Appendix B. Tenderers must return 1 hard copy, printed double sided, together with 1 electronic copy on CD or USB, in the format described below: Please ensure all documentation submitted in hard copy is also included on the CD or USB in Adobe Acrobat Portable Document Format (PDF); and The CD or USB must also contain a sub-directory containing, in document order, a copy of all files, in a fully editable state (not password protected), which have been used to create the PDF documents. These documents must be in the following formats: 10.text-based documents - Microsoft Word 2003 11.spreadsheets - Microsoft Excel 2003 12.other graphical files - JPEG

In the event of discrepancy between the CD or USB and the hard copy, the hard copy will take precedence. Hard copy drawings should be provided at A3 size print and single sided. All documentation must be typed in English, using at least 10 point font and submitted in A4 portrait format except where this is impracticable. Tenderers shall ensure that any appendices are attached to the relevant Section of the submission document. Each Section shall be fully indexed to ensure ease of document navigation. Each Section above should contain sufficient information to enable SWSAL to establish whether the Section meets its requirements. Failure to provide a submission to the level of detail required to make a comparative evaluation will, in the first instance, attract a lower evaluation score and may lead to the rejection of that submission. SWSAL, whose decision in this matter shall be final, may reject a Submission that does not comply with these instructions and exclude the Tenderer from any further participation. Tenderers should also note that failure to respond in a clear and concise manner will attract a lower evaluation score. Return of Tender documents

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 12 of 42 The completed responses should be delivered to the address below, by hand, courier or recorded or special delivery, in an envelope stating that the content is confidential, and relates to SWSAL Procurement F2-LT6 to: Named procurement officer Mr James Bloor – Programme Director Name of contracting authority South West Smart Applications Ltd South West Smart Applications Ltd Room B504 Portland Square Postal address Plymouth University, Drake Circus Plymouth, PL4 8AA

The deadline for receipt of the submission is 17:00 GMT on 08/04/2016. Submissions received later than this time and date may not be considered. No package or envelope should bear on the outside any name or mark by which the Tenderer can be identified, including any name or mark appearing on the package or envelope by virtue of the method of delivery, such as recorded/special delivery or courier. Failure to comply with this requirement may result in the submission being disqualified.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 13 of 42 3. Important Information

Requests for Further Information (RFI) Tenderers may request, by email, further information, in the form of questions and answers and clarifications on the procurement process. All requests for further information should be sent via e-mail to [email protected] . All requests are to be submitted on the RFI Pro-forma provided in Appendix B. Tenderers should not contact SWSAL or any of its Members, officers, employees or advisers or any third party connected to SWSAL or the advisers in relation to this procurement, outside the process outlined within this Section and elsewhere in this document, without the prior written permission of the Project Manager. Requests from Tenderers should be raised through a single point of contact appointed by that Tenderer. Tenderers shall provide details of that single point of contact including name, telephone number and email address to the Project Manager. The deadline for receipt of RFIs is 01/04/2016. Tenderers should note that requests which are not sent to the postal address or via email to [email protected] may not be answered. SWSAL will endeavour to deal in good faith with each Tenderer but comments on particular aspects of a proposal / solution will not in any way bind SWSAL to prefer a proposal / solution which adopts SWSAL's comments, when it proceeds to formal evaluation of the submissions. SWSAL will ensure equality of treatment among all Tenderers and will not provide information in a discriminatory manner which may give one Tenderer an unfair advantage over another. Therefore, where appropriate, SWSAL will provide all Tenderers with any further information made available through a clarificatory request, although, generally, information relating to a Tenderer's specific proposal / solution will only be issued to the relevant Tenderer. Commercially Sensitive Information & Confidentiality The information contained herein whether written or oral, made available at any time to Tenderers by or on behalf of SWSAL (the “Information Provided”) is provided on the basis that Tenderers and their advisers will keep such information confidential at all times and that such information will be used only for the purpose of participating in the procurement process for the Project. For the avoidance of doubt, nothing in this paragraph shall prevent the Tenderer from passing the Information Provided to its employees, potential sub-contractors and professional advisers directly and legitimately involved in the procurement process for the Project, provided such persons agree to treat such information as confidential in accordance with the duty described in this paragraph. The duty of confidentiality described in the paragraph above does not apply in relation to information:  which is in or enters the public domain otherwise than by a breach of an obliga- tion of confidentiality;  which is or becomes known from other sources without breach of any restriction on disclosure; or  which is required to be disclosed by law or any professional or regulatory obliga- tion.

If a Tenderer considers that any information shared or requested during a request for further information should not be disclosed to other Tenderers because of its commercial sensitivity, then it should highlight the information that it considers should not be disclosed together with reasons for considering it to be commercially sensitive.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 14 of 42 In circumstances where SWSAL considers that a response to an information request containing commercially sensitive information should be disclosed to all Tenderers, SWSAL will exercise its discretion as to whether in its view the highlighted information should be treated as commercially sensitive. If SWSAL agrees with the Tenderer’s position, then SWSAL will treat the information as being commercially sensitive. If SWSAL disagrees with the Tenderer’s position, such that it considers any response to the information request should be shared with other Tenderers, the Tenderer will be permitted to first withdraw the request for information and in the event that it chooses to do so, no further action will be taken by SWSAL. Return of Documents All Information Provided, including any software or electronic media or data relating to the Project, are SWSAL’s property and must be returned on request. Should the Tenderer decide not to participate in the procurement process for the Project all documents and other material supplied by or on behalf of SWSAL, together with all such copies thereof as may have been taken, shall be returned to the Project Manager forthwith and all electronic data supplied by or on behalf of SWSAL shall forthwith be permanently deleted from the Tenderer’s storage devices and from the storage devices of any other Persons to whom the Tenderer may have passed the same (whether or not permitted by SWSAL). Nothing in this paragraph shall require the return or destruction of such electronic or other records as are required to be retained to fulfil a legal, regulatory or professional obligation. Copyright The copyright in the Information Provided is vested in SWSAL and its advisers. The Information Provided may not be copied or stored in any electronic medium without SWSAL’s prior written consent, except where necessary for the purpose of preparing responses to SWSAL’s ITT or where otherwise expressly permitted by SWSAL. Accuracy of Information Although every care has been taken in preparing this document with information obtained from sources considered to be reliable, it has not been independently verified by SWSAL, or its officers, employees, agents or advisers (each a “Connected Person”) and no representation, warranty or undertaking, express or implied is made, and no responsibility or liability (including for negligence) will be accepted by SWSAL or any Connected Person as to the accuracy or completeness of the Information Provided. It should not be assumed that the information contained in the Descriptive Document will remain unchanged after the date hereof. Neither SWSAL nor any Connected Person shall be liable or any loss or damage arising as a result of reliance on the Information Provided. The Information Provided is given in good faith, but Tenderers will have to make their own investigations and interpretations as to its veracity, and no liability will be accepted by SWSAL or any Connected Persons for the accuracy or completeness of the Information Provided. Without limiting the generality of the foregoing, descriptions, dimensions, references to condition, necessary permissions for use and occupation and other details in the Information Provided are for general guidance only. Their accuracy is not guaranteed. Tenderers must not rely on them as statements of fact or representations and must satisfy themselves as to their accuracy. In the event of inconsistency between the ITT and the Pre-Qualification Questionnaire, or any other information provided by SWSAL or its advisers in respect of the Project, the information contained in the ITT shall prevail, unless otherwise expressly stated by SWSAL.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 15 of 42 Nothing in the ITT excludes or limits the liability of SWSAL or any Connected Person for fraudulent misrepresentation or death or personal injury caused by the negligence of SWSAL or any Connected Person. Conflicts of interest SWSAL is concerned to avoid conflicts of interest. In particular SWSAL is likely to regard a conflict of interest as arising where: a sub-contractor or adviser put forward by one Tenderer is the same firm or company or a member of the same group of companies as that put forward by another Tenderer; or a sub-contractor or adviser is currently advising or has previously advised SWSAL at any time in any capacity in respect of the Project. SWSAL reserves the right to disqualify Tenderers where there is an actual or potential conflict of interest. Tenderers are therefore advised to review carefully their prior or current involvement with the SWSAL and to contact the SWSAL’s Project Manager, before engaging with SWSAL in the relevant stage of the procurement process, to discuss actual or potential conflicts that have been identified. Contracting with SWSAL The Information Provided shall not form the basis for any warranty, representation or term of any contract by SWSAL with any third party. Only the express terms of any written contract relating to the subject matter of the Information Provided as and when it is executed shall have any contractual effect in connection with the matters to which it relates. None of the advisers to SWSAL, nor any of their employees or representatives has any authority to make or give any representation or warranty or enter into any contract whatsoever with Tenderers in relation to the Project. Right to Withdraw Nothing in the Information Provided is, or should be relied on as, a promise or representation as to the future intentions of SWSAL. SWSAL reserves the right to withdraw from the procurement process and no expense incurred by any Tenderer or its advisers in connection with participation in the procurement process for the Project will be reimbursed. SWSAL reserves the right not to award a contract for any reason. SWSAL is not bound to accept the most economically advantageous, or any tender. Canvassing Any Tenderer who directly or indirectly canvasses any Member, officer or employee of SWSAL concerning the Project or the award of the contract, or who directly or indirectly obtains or attempts to obtain information from any such person, save in accordance with the Information Provided, will be disqualified. As part of the Tender submission, Tenderers will be required to complete a declaration regarding no canvassing and regarding their compliance with the Bribery Act 2010. Collusive Proposals Any Tenderer who: fixes or adjusts its bid or submissions by arrangement with any other Person (save for legitimate agreements and/or arrangements with professional advisers and/or proposed subcontractors and/or proposed consultants necessary for the purposes of preparing the bid or submission); or communicates to any Person other than SWSAL (other than in confidence to the Tenderer’s employees, potential sub-contractors and professional advisers directly and legitimately involved in the bidding process for the Project and in order to obtain insurance quotations necessary for its preparation) the details of its proposal; or enters into any arrangement with any other Person that it will cease to tender for the Project; or

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 16 of 42 offers or agrees to pay or give or does pay or give any sum of money, other inducement or consideration, directly or indirectly, to any Person in respect of its proposal or the Project, receives or agrees to receive from any Person, or offers or agrees to give to any Person, or procure for any Person any gift or consideration of any kind as an inducement or reward for doing or not doing anything, or for showing favour or disfavour to any Person in relation to a bid or submission or any other contract or the proposed contract with the SWSAL; or conspires with any Person or incites any Person or counsels or procures any Person to do any of the acts mentioned above; will be disqualified, without prejudice to any other civil remedy which may be available to SWSAL and any criminal liability which may be incurred. As part of the Tender submission, Tenderers will be required to complete a declaration regarding non- collusion. Failure to Comply Failure to comply with any of the instructions set out in the Information Provided, or failure to pass the Test Schedule may result in a bid or submission not being considered by SWSAL for inclusion on the Framework. SWSAL also reserves the right to reject any Tenderer who is guilty of serious misrepresentation in supplying any of the information requested by SWSAL as part of the procurement process. Costs and Expenses Tenderers must bear all of their own costs and expenses in connection with the restricted procedure process and all future stages of the procurement for the Project. Under no circumstances shall SWSAL or any Connected Person incur any liability for any expenses incurred by Tenderers or their advisers in connection with the procurement process, whether or not the procurement proceeds. Consents Unless otherwise stated, the Tenderer will be responsible for obtaining all permissions, (including planning permissions), consents, approvals, certificates, permits, licences and authorisations required by law in relation this Project. Jurisdictional Restrictions Taking the information provided into, or possessing or distributing it in, certain jurisdictions may be restricted by law and therefore Persons in possession of the Information provided should inform themselves about and observe such restrictions. Freedom of Information SWSAL are not a public authority for the purposes of the Freedom of Information Act 2000 ("FOIA"). However, a significant proportion of SWSAL's Members are public authorities pursuant to the FOIA. As such, SWSAL: will consider any Freedom of Information Act requests received in relation to information it holds solely regarding SWSAL's Members who are public authorities as if SWSAL were a public authority under the FOIA and / or forward such request to the relevant SWSAL Member; or SWSAL's Members who are public authorities may disclose information provided by Tenderers to anyone who makes an FOIA request; or SWSAL's Members who are public authorities may also publish some of the information given in tender submissions in any Publication Scheme it makes under the FOIA. If a Tenderer considers any of the information contained in its submissions should not be disclosed because of its commercial sensitivity or any other exemptions under Part II (Exempt Information) of the FOIA apply to any information provided to SWSAL then it should highlight the information that it considers should not be disclosed together with

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 17 of 42 its reasons for considering it to be exempt from disclosure under the FOIA. Information thus highlighted should be limited to that information which is genuinely confidential or otherwise exempt information from disclosure under the FOIA. This process does not remove SWSAL's obligation to consider the applicability of the suggested exemption on a case by case basis. Data Protection SWSAL of Room B.504 Portland Square Building, Plymouth University, Drake Circus, Plymouth, PL4 8AA is the data controller for the purpose of the Data Protection Act 1998. By proceeding to submit a Tender, you consent that SWSAL may process the personal data (including sensitive personal data) that you provide SWSAL and SWSAL otherwise collects from you. In particular, SWSAL may use information SWSAL holds about Tenderers for the purposes of this procurement (including contract award) and the management of any contract that may be awarded and / or called-off in the event your response is successful . Please address any questions, comments and requests regarding our data processing practices to [email protected].

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 18 of 42 4. Technical Requirements

The Glossary of Terms which supports Section 4 can be found within Appendix C.

Introduction This section details the specific technical requirements of the Lot. It is represented within this ITT as a standalone document with its own numbering, as the final version of the Technical Requirements will become part of the Framework Agreement. Details relating to the Appraisal and Award Criteria associated with the Technical Requirements are outlined in Section Award Criteria. The Technical Response Pro-forma is provided in Appendix B. The Test Schedule is also provided in Appendix B. The Technical Requirement document is provided as an electronic file in PDF format. The file name is:

F2 LT6 Technical Requirement Document.pdf

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 19 of 42 5. Contractual Requirements

Introduction This section details the specific contractual requirements of the Lot in the form of the Framework Agreement. It is therefore represented within this ITT as a standalone document with its own numbering. Details relating to the Appraisal and Award Criteria associated with the Contractual Requirements are outlined in Section Award Criteria. The Contractual Non-Compliance Pro-forma is provided in Appendix B. This Framework Agreement is provided as an electronic file in MS Word format. The file name is:

2016 01 02 F2 LT6 Framework Agreement

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 20 of 42 6. Award Criteria

It is envisaged that SWSAL and SWSAL's Members (as appropriate) will follow the call- off procedure set out in clause 5 (Services) of the Framework Agreement that is provided in Section 5 of this ITT. Tender Evaluation Methodology Tenders will be scored in accordance with the SWSAL’s Tender evaluation methodology. However, Tenderers are expected to refine and confirm the full detail of their proposals, and propose a financial offer based on the form of legal documentation provided in Section 5 of this Invitation to Tender. Tenderers will also be expected to provide a full set of any and all clarifications they wish to make to the aforementioned legal documents. 1. The following Award Criteria will be used to evaluate the Tenders: Principal Criteria Weighting Technical 50% Financial 40% Contractual 10%

Where appropriate, fair and non-discriminatory, SWSAL may ask a Tenderer to clarify responses or omissions. Provided that a Tenderer does not fail the Test Schedule, or as a result of these questions, the remaining responses will be scored to determine whether the response discloses a satisfactory organisational structure, record of contractual performance, and technical/ professional ability, as relevant. Technical Scoring In scoring the relevant technical questions, SWSAL's evaluation panel will use the following scoring system: Score Judgement Interpretation 5 Excellent Exceptional demonstration of the relevant ability, understanding, experience, skills, resource and/or quality measures required to provide the goods/works/services. Full evidence provided where required to support the response. 4 Good Above average demonstration of the relevant ability, understanding, experience, skills, resource and/or quality measures required to provide the goods/works/services. Majority evidence provided to support the response. 3 Acceptable Demonstration of the relevant ability, understanding, experience, skills, resource and/or quality measures required to provide the goods/works/services, with some evidence to support the response. 2 Minor Some minor reservations of the relevant ability, Reservations understanding, experience, skills, resource and/or quality measures required to provide the goods/works/services, with little or no evidence to support the response. 1 Serious Considerable reservations of the relevant ability, Reservations understanding, experience, skills, resource and/or quality measures required to provide the goods/works/services, with little or no evidence to support the response. 0 Unacceptabl Does not comply and/or insufficient information provided e to demonstrate that there is the ability, understanding,

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 21 of 42 experience, skills, resource and/or quality measures required to provide the goods/works/services, with little or no evidence to support the response.

The evaluation panel will use this system as a tool with the objective of helping to determine clearly its compliance with SWSAL ’s requirements. Only those Tenderers scoring 3 or above will be automatically considered as suitable from a technical perspective to be considered for the Framework. Financial Scoring The financial evaluation will examine the comparative costs over a 4 +1+1 year period for each Tenderer against the core scenarios as defined in the ETM Pricing Matrix Pro- forma. Scores will be awarded to Tenderers based the variance between their submitted price and that of the lowest price Tenderers on a proportional basis. The lowest price Tenderers over the 4+1+1 years will receive 100 marks and other Tenderers receiving a score based upon their percentage difference from this price. For illustration only, the following situation might arise: Tenderer C with a total cost of £50,000 would receive 100 marks Tenderer B with a total cost of £51,000 may receive 98 marks Tenderer A with a total cost of £75,000 may receive 50 marks Tenderer D with a total cost of £100,000 may receive 0 marks This process will be repeated for each scenario and the marks added together. In addition, Optional additional items will account for up to 5% of the available marks within the financial appraisal scores. Pricing will be scored on ‘value for money’ based upon the quality of the additional service offered, including additional items offered at Nil cost. Multiple Lot Based Discounting It is recognised that where a Tenderer is providing services across multiple Lots, additional cost savings may be realised through efficiency savings by the Tenderer. The Pricing Matrix Pro-forma in Appendix B provides a table for Tenderers to outline such savings should SWSAL or a Member of SWSAL award them multiple Lots from the Framework. Contractual Scoring In scoring the relevant contractual questions, SWSAL's evaluation panel will use the following scoring system: Score Judgement Interpretation 5 Excellent No issues raised. 4 Good Minor issues raised which do not materially affect the Framework Agreement. 3 Acceptable Issues raised which have some material effect on the Framework Agreement but do not change the balance of risk. 2 Minor Issues raised which affect the balance of risk in the Reservations Framework Agreement, but are tolerable to SWSAL. 1 Serious Issues raised which affect the balance of risk in the Reservations Framework Agreement and are of concern to SWSAL. 0 Unacceptabl One or more significant issues raised which materially e affect the balance of risk in the Framework Agreement.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 22 of 42 The evaluation panel will use this system as a tool with the objective of helping to determine clearly its compliance with SWSAL’s requirements. Only those Tenders scoring 3 or above will be automatically considered as suitable from a contractual perspective to be considered for the Framework.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 23 of 42 Tenderer Acknowledgement

The following document should be completed and returned to SWSAL to confirm (or not) a Tenderer’s intend to engage in the Tender process.

Tenderer Acknowledgement Pro-forma

The document pro-forma is provided as an electronic file in Word format Appendix A Tenderer Acknowledgment.docx

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 24 of 42 Tenderer Response Pro-formas

Tenderers are required to submit the following responses: Executive Summary The executive summary (max 2 sides A4) is to summarise the information that is included elsewhere in the submission. Tenderers should note that this item will not form part of the evaluation but is requested by SWSAL in order to convey the principal benefits and key issues. The Tenderer should ensure that all information included in the Executive Summary is included elsewhere in their Submission. Technical Response The following documents should be completed and returned as the technical response. Requests for Information The RFI Pro-forma should be used for all information requests during the procurement process. Unless advised otherwise RFIs should be submitted only by e-mail to [email protected]

Request For Information (RFI) Pro-forma ETM Technical Response Pro-forma

ETM Test Schedule ETM Pricing Matrix Pro-forma

Contractual Response

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 25 of 42 Glossary of Terms

This first set of glossary of terms is general in nature and relate to the procurement process detailed within Sections 1-5. Procurement Process Glossary Term/Abbreviation Definition 2015 Regulations means the Public Contracts Regulations 2015 except if being used by a SWSAL Member in Scotland, where the wording in Schedule 3 Annex 7 of the Framework Agreement makes the Public Contract Regulation (Scotland) 2015 the applicable regulations. Authorised means any employee of SWSAL empowered to make Representative decisions relating to the Project, on behalf of their organisation. Award Criteria means the award criteria set out in Section 6. Invitation to Tender means this document and appendices, issued to Tenderers following the PQQ stage, including any supplements or subsequent issues of documentation used to outline and specify SWSAL’s evolving needs and requirements in the process for identifying the most economically advantageous solution for the procurement of the Project. Member means any party forming part of the Tenderer if the Tenderer is a consortium or joint venture, whether through a special purpose vehicle or otherwise, including any major service providers or identified sub- contractors. Order means the legally binding agreement for the provision of Services made between a Contracting Body and the Supplier. Person means any individual, firm, company or other body corporate (whether sole or aggregate) and any association (whether or not it has separate legal personality). PQQ means the pre-qualification questionnaire. Project OJEU Procurement of ITSO Services and Goods by South West Smart Applications Ltd on behalf of its Local Authority, other Public Sector and Operator Members 2016 – 2022.

Project Manager means the Project Manager designated by SWSAL to lead on its behalf. RFI means a Request For Information to be submitted on the pro-forma as set out in Appendix B. Tender Means the bid(s) prepared and submitted by each Tenderer, based on the solution or solutions presented and specified. Tenderer means any individual, firm, company or other body corporate (including, where applicable, any Member)

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 26 of 42 selected and invited to submit a tender by SWSAL as part of the procurement of the Project.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 27 of 42 Technical Glossary This second set of glossary of terms is more specific and relates to the technical requirements detailed within Section 6.

Term/Abbreviation Definition Acceptance and Formally specified criteria against which the Capability Criteria (to tie functionality and/or performance of an item may be in with testing element in judged to be acceptable for use in a specified contract). application or, conversely, which can be stated as evidence of functionality and/or performance. Account Management The process by which Contracting Bodies and customers can manage their online accounts in respect of financial transactions. Account Manager The individual nominated by the Supplier who is the primary point of contact between the Contracting Body and the Supplier and is responsible for ensuring the delivery of the Framework Agreement and each Order throughout the Term. This individual will liaise directly with the Contracting Body and their technical and professional advisors on all day to day matters related to development and deployment of the scheme. They will provide regular written update reports covering: Key issues and milestones Dependencies Risks Risk management Acknowledgement A positive ‘hand-shake’ when exchanging data to (ACK) confirm receipt back to the sender. Actionlist A list of items related to ITSO Shell or Product instances, downloaded to POSTs, which shall be actioned by the POST if and when a specific ITSO Shell or Product instance referenced in the list is encountered by that POST. Anonymous But Valid Transactions recorded by POSTs in the scheme (ABV) where the shell and IPE belong to another ITSO scheme but the payment for the transaction made falls within the responsibilities of the scheme. Anonymous CM Customer media that is not linked to a named holder but which bears a traceable serial number (ITSO Shell Reference Number). Application A file structure, directory entries and security scheme loaded onto a CM to perform a particular function. Application A set of routines, protocols, and tools for building Programming Interface software applications. It specifies how software (API) components should interact. Apportionment The process of sharing revenue between companies accepting an interoperable ticketing product (as distinct from reimbursement for

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 28 of 42 concessionary fares). Asset Management A sub-system of a HOPS that records and manages System (AMS) the disposition status and configuration of ISAMs and HSAMs and some aspects of POST configuration. Auto-Renew A POST process by means of which the validity of an expired Ticket is automatically extended. Auto-Top-Up A POST process by means of which stored value is automatically loaded into the store held in a TYP 2 IPE. Availability The amount of time during which the Service provided shall be available for normal use, but excluding any scheduled down time for maintenance or upgrades. Backward Compatibility The ability of the service and its components to handle data received from ITSO components that are certified to earlier versions of the ITSO Specification. Batch A manufacturing process in which components or goods are produced in groups and shipped and/or delivered together. Card type The type of interface (ISO/IEC 14443 Type A or Type B) to which the CM conforms. (Strictly applicable only to CMs in ID-1 card format.) CEN The Committee for European Standardisation. Charge to account Facility/process for post-billing (rather than pre- (CTA) payment or payment at the time of purchase). Cleansing (ISAM) The process by which an existing ISAM with data associated with another AMS-HOPS is cleansed to a factory fresh state from which it can be reused and associated with the new AMS-HOPS. Clearing The processing and possible consolidation of transaction information passing between the parties accepting products or payments on each other’s behalf. CM Acceptance Device Card acceptance device as defined in ISO/IEC 7816 (CAD) and extended by ITSO TS 1000 to include Customer Media (CM) acceptance. CMS Customer Management System. CMS User A person who has access to and uses the CMS. Commissioning The process by which a factory fresh ISAM is loaded with all relevant data associated with ITSO shells and IPE’s which it will issue, accept or modify, along with any other data that is relevant to its handling of the data received from these or other component within an ITSO scheme, such that the ISAM is ready to be fitted to a POST without further update or modification. Complex Capping The process by which an e-purse can be used within the ITSO Specification to run multiple caps on

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 29 of 42 the card. Concession An entitlement to a reduced (or zero cost) fare on the basis of a person’s age, condition or status. Configurable Software See HOPS Configurability and ETM Configurability. Contact Interface An interface between CAD and CM using physical contacts according to ISO/IEC 7816. Continuous Payment A type of regular automatic payment that you can Authority (CPA) set up using your debit or credit card. Contracting Body this is SWSAL or the SWSAL Member that signs the relevant Order; Corrections to the ITSO Changes made by ITSO as a result of errors found Specification in the ITSO Specification. CPICC Concessionary Pass Issuing Cost Centre. CPRCC Concessionary Pass Reimbursement Cost Centre. Cryptographic process The processes carried out by the ISAM to secure data by use of cryptographic algorithms. Customer A user of ITSO-compliant media and products. Customer Media (CM) A Smart Card or other device, compliant with the requirements of the ITSO Technical Requirements, capable of containing an ITSO Shell and Products. Customer Media A definition contained in ITSO TS 1000-10, defining Definition (CMD) a type of Customer Media. Customer Media The interface between the CM and the CM Interface Accepting Device (CAD). Customer Media Issuer Organisation originally issuing the CM (which may be a multiapplication card from a non-ITSO member, but accredited by ITSO). Customer Media Every ITSO Shell has a unique ITSO Shell Number (CM Number) Reference Number (ISRN) and in the case of an ITSO only CM this shall be the CM number. CVV Number Card Verification Value Number. Cyclic Log The Cyclic Log holds records of temporary information such as tickets or events. Data Element One data element in a record. Data Groups Data Groups; consisting of the ITSO Shell Environment, Directory, IPE, Value Record, Cyclic Log, that partly make up the ITSO Shell. See also Data Structures. Data Processing The management of data by the AMS-HOPS to ensure its correct storage or onward delivery to other systems. Data Structures Data Structures; consisting of The Label, The Dataset, The Seal, The Instance Identifier, that partly make up the ITSO Shell. See also Data Groups. Data Transfer The passing of information collected at POSTs or generated in the back office system to other devices by a variety of means. Deliverables Any item specified as a requirement of the Technical Requirement document or ITSO

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 30 of 42 Specification. Description A single byte field describing the contents of a following table or list. Single or multiple tables or lists may be sent within each ISAM data file. The description byte may, if required, be used as a short file ID (see ISO/IEC 7816) for location of the table or list within the ISAM. Destination Geographical end point of a passenger journey (note that a journey may consist of one or more legs). DfT The United Kingdom Department for Transport. Directory Entry A data structure within the Directory that acts as a Label for an IPE held within the ITSO Shell. Directory IPE Map (DIM) A variable length field containing information relating to the structure and location of IPEs within the ITSO Shell. Effective Date The date of the Framework Agreement. Electronic purse or e- An electronic store of value that may be used for the purse – also see Stored purchase of goods and services. Travel Rights Electronic Ticket or e- An electronic period or multi-journey travelcard. ticket – also see Stored Ticket Electronic ticket A purpose-designed POST that is used for the sale machine (ETM) and/or validation and/or cancellation of tickets. Encryption The process of modifying data according to algorithmic rules so that it can only be interpreted if the decryption rules are known and the necessary key(s) are known. ENCTS English National Concessionary Travel Scheme. Entitlement age The calculation by which an English Entitlement for escalator ENCTS is authenticated for eligibility. ETM Configurability The ability to modify software so as to create new products, amend existing ones, or delete old ones. ETL (Extract Transform Three database functions that are combined into Load) one tool to pull data out of one database and place it into another database ensuring data compatibility within the target database. Exception Reporting Configurable reports that identify any event that should, but has not happened within the scheme environment Exit Processing Reading (and/or writing) CM at the point of exit from a transport facility. Expiry Date (EXP) Date after which a Shell or IPE is no longer valid. Fare The price paid for a Journey made by public transport, e.g. Bus or Train. FCA Financial Conduct Authority (replaced the FSA). Firmware Firmware is software that does not change very often (if ever), e.g. the CM Operating system would be considered as firmware.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 31 of 42 Fixed Data Fixed data areas provide for storage of data which does not normally change, or which is only changed under the control of a trained operator or by equipment that securely holds the customer media in place during the transaction. Formal Discussions Meetings, conference calls or video conferences of which notes are kept and circulated regarding progress, issues or any other relevant matter. Forward Compatibility The ability of the service and its components to handle data received from ITSO components that are certified to later versions of the ITSO Specification. Framework Agreement The Framework Agreement regarding ITSO Services and Goods between (1) the Contracting Body and (2) the Supplier. Front End Processor The point at which raw data from POSTs is initially (FEP) collected and processed e.g. Depot System. Full ITSO Shell An ITSO Shell in which all the constituent data elements are present on the media. Fully Certified Having a certificate which shows that the hardware or software has been approved by ITSO as meeting the full requirements of the ITSO Specification without any derogations or exceptions. Fund The revenue pool associated with a specific interoperable ticketing product. Geography The framework for describing/identifying the area of validity of a product (ticket), the start and end points of a journey or any exceptions to its validity. Graphical User Interface A human-computer interface - a way for humans to (GUI) interact with computers that uses windows, icons and menus and which can be manipulated by a mouse (and often to a limited extent by a keyboard as well). Greenfield Site The implementation of the service without any requirement to absorb data or ISAMs from the existing contractor, although it will be necessary to be able to adopt existing OIDs and import or reconstruct the existing shell account database. Hash/MAC A Hash based message authentication code (or 'Seal'), where a 'Hash' is a mathematical function that generates a small reference integer for a large input of data. The Hash Mac can be updated as data is added as part of the generation of a group of messages to so as to provide a single message seal (rather than using individual seals for each message in the group). This allows a message or list file that contains a number of sub-messages (or list entries) to be authenticated with a single submission to the ISAM (rather than a submission for each sub-message). This can greatly reduce the

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 32 of 42 authentication time for large message groups or list. HOPS Access The means by which all relevant Contracting Bodies in the scheme can use the HOPS as a management tool for the scheme. HOPS Configurability The ability to create, modify or delete reports that use ITSO data within the HOPS. HOPS SAM (HSAM) HOPS hosted ISAM. Host Operator or That element of the back office system defined Processing System within the Technical Requirement document and / or (HOPS) ITSO Specification, covering message handling, shell & product accounting, and Asset Management functions. The HOPS shall always be equipped with an HSAM. Hotlist A list of cards, products or items of equipment where a transaction requires special attention. Master Hotlist – all CMs and IPEs which have been identified as not being valid Active Hotlist – all CMs and IPEs on the Master Hot- list which have been seen in use in a defined time period and have been identified for distribution to ETMs and other devices reading cards Distributed Hotlist – all CMs and IPEs which have been sent out to ETMs and other devices reading cards Human-Machine The interaction between equipment and its users. interface (HMI) Identity (ID) A collection of information that identifies the named holder of a card. Implementation The process of establishing the Services at the Effective Date or date of an Order (as appropriate), in a manner that ensures all requirements are delivered in accordance with the Technical Requirements and the Order, tested and functional without error in the live operating environment. Initial Term The period of 4 (four) years from and including the Effective Date. Instance Identifier A data string uniquely identifying an entity. In the case where the identified entity is an IPE instance, the data comprises a concatenation of the following in the order shown: Product Owner IIN + Product Owner OID + TYP + PTYP + creating ISAM ID + creating ISAM Seq#. Integration Testing The process by which external components (ITSO and non-ITSO) are tested to ensure that the exchange of data is correctly undertaken in both directions. Interface Specification The specification of information, formats or layouts required to enable the exchange of data between any two system components. IPE See ITSO Product Entity.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 33 of 42 IPE Embodiment A Generic IPE type, Ticket type or Product type. IPE embodiment is Product owner specific. For example, a one day travel card issued by a specific issuer. Embodiments will have a defined issuer and acquirer set. Denoted by IIN, OID, TYP, PTYP and optionally TicketType (or similar field within the IPE,). IPE Frame The IPE frame encloses the IPE data within a secured packet. It ensures integrity of data and an audit trail for IPE loading and removal. The frame links the IPE and the ITSO Shell header together such that changes to the data content can be detected. IPE Shell Retailer ITSO Role: Business rules and other ITSO documentation define this and other roles. IPE Type (TYP) IPE data format, identified by TYP. ISAD Formalised versions of technical notes that have been approved through the ITSO Technical Committee, consultation process and received ITSO Board approval. ISAM See ITSO Security Application Module. ISAM Commissioning The process by which an ISAM delivered by ITSO or its nominated contractor is configured to be part of the Licensed Scheme and associated with relevant HSAMs that control the scheme and ITSO products (IPEs) that the scheme accepts. ISAM Identity (ISAMID) A unique ISAM identifier is made up of the OID of the Contracting Bodies to whom the ISAM is registered and a unique ISAM serial number. ISAM Management The ability to manage ISAMs that exist within the scheme and ensure that they are correctly profiled, allocated and in regular communication with the AMS-HOPS. ISAM Profile A record of the data held on an individual ISAM, including any records associated with the issue and acknowledgment of ITSO messages to that ISAM. ISMS ITSO Security Management System. ISO Application AID is defined in ISO/IEC 7816. Identifier (IAID) ISRN ITSO Shell Reference Number. Issuer Identification This is a six BCD digit number registered with ISO Number (IIN) as a unique global identifier, according to ISO/IEC 7812-1. ITSO Application The ITSO Shell. ITSO Business Rules Procedures, regulations and codes of practice that govern the use of the ITSO Specification, as set out in the Membership Agreement, Operator’s Licence, Supplier’s Registration Agreement and any such document as may be approved from time to time by the ITSO Board.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 34 of 42 ITSO The holding of a valid ITSO certificate that shows Compliance/Compliant that the system(s) being used meet the requirements of the latest published version ITSO Specification. ITSO Compliant Software or hardware certified by ITSO as being compliant in every way with the ITSO Specifications required for interoperability. ITSO Compliant A complete system, wherein one or more ITSO Scheme Licensed Members provide services to customers, using ITSO certified Customer Media, fully compliant with, and providing all the elements required by, the ITSO Specification. Provision of some or all elements by third party service providers is permissible. ITSO Customer Media See Customer Media. ITSO Derogation The process by which ITSO permits a scheme or the Supplier on a temporary or permanent basis to omit or modify a specific requirement with in the ITSO Specification. ITSO Directory Data structure within the ITSO Shell that specifies the contents and location of those contents. ITSO Host Operator or See Host Operator or Processing System. Processing System (HOPS) ITSO Hotlisting The configurable process by which an ITSO shell or IPE which is no longer valid is received by the AMS- HOPS and processed into a list which can be distributed to POSTs within the scheme or to other third party AMS-HOPS where the shell or product may have validity. ITSO License The agreement which permits an ITSO Licensed Member to operate an ITSO smart card scheme. ITSO Licensed Member The holder of a current ITSO operating licence. ITSO Messaging The process by which information required by ITSO components including ISAMs is received, distributed and acknowledged between any certified component both within the scheme and within third party ITSO schemes. ITSO Part 11 solution Remote Ticket Download (RTD) or Remote POST. ITSO POST Point of Service Terminal – any device that can accept, issue or interact with an ITSO card for the purpose of recording a journey, issuing/deleting an ITSO shell or IPE or updating existing ones. ITSO Product Account An Account maintained by an ITSO Product Owner (IPA) relating to a specific, uniquely numbered, ITSO Product. ITSO Product Entity Data Structure used within the ITSO Shell to store (IPE) formatting and other Product details. ITSO Security ITSO Security Application Module, as defined in Application Module ITSO 1000-8.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 35 of 42 (ISAM) ITSO Security A service that provides secure messages to load Management Service keys and other security-related parameters of (ISMS) ISAMs or HSAMs. ITSO Shell The ITSO Shell is a notional area that holds the collection of all ITSO related data. The ITSO Shell may occupy a given Customer Media (CM) platform exclusively or sit alongside other non-ITSO data collections. ITSO Shell Owner ITSO Role: Business rules and other ITSO documentation define this and other roles. ITSO Shell Reference A number that uniquely identifies the ITSO Shell. Number (ISRN) ITSO Shell Serial This is a seven BCD digit number, in the range 0 – Number (ISSN) 9,999,999 that Licensed Members shall use to ensure their ITSO Shells are uniquely identified. ITSO Specification The specification owned and managed by ITSO on behalf of DfT which defines the means by which interoperable smart cards shall operate in the UK and as periodically updated. ITSO Technical Notes A note created by an ITSO Specification Author, an ITSO Licensed Member or ITSO Contractor Member that has been reviewed by the ITSO Technical Committee that contains a correction, clarification, simplification, enhancement or change to the currently published ITSO Specification. After a consultation period the technical notes become ISADs. If accepted by the ITSO Board and DfT, Technical Notes become part of the ITSO Specification (i.e. for the version specified in the technical note). ITSO Transactions The message(s) of various types generated through the use of ITSO products. ITSO Version The ability of ITSO compliant systems or software to Compatibility correctly interact with earlier systems of software that were certified to earlier versions of the ITSO Specification. Journey The complete sequence of one or more Trips required to achieve a specific purpose at a specific Destination. Journey History A record of journeys or transactions made, held in the ITSO Shell or in an account. Key An alpha numeric string of characters which is used to control access to an application or product, or which is used as the basis of encryption. Key Identity Definition A single byte coded to indicate the identity of the (KID) key used as defined in the KSD. Key Performance A business metric used to evaluate factors that are Indicators crucial to the success of an organisation. LASSeO Local Authority Smart Card Standard eOrganisation.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 36 of 42 Least Significant Bit The binary digit in a string of binary digits that (LSB) represents the lowest power of 2 in the binary number represented by the string. Licensed Operator The holder of a current ITSO operating licence. Live Operation The steady state of the service delivery established upon completion and sign off of the implementation and/or migration phases. LocDef Location Definition (LocDefCode). Log Directory Entries An entry in the Directory relating to a Cyclic Log. Loyalty Scheme Any Scheme which rewards use through accumulated points which may be exchanged goods/services or discounted travel. Luhn Check Digit CHD This is a single BCD (Binary Coded Decimal) digit, which is calculated to be a check digit for all the preceding digits of the ISRN. Maintained and The process by which the service being delivered is Developed kept up to date with changes that are made to the ITSO Specification or where it is enhanced to improve the delivery of the service. Manufacturer’s ID (MID) A unique number programmed into the media at the time of manufacture that cannot be subsequently changed. MCRN Multi-application Customer Media Reference Number. Media holder A person in possession of a valid CM that they are entitled to use as a Customer. Message Authentication A computed field based on data in previously stated Code (MAC) fields which allows a message to be verified as genuine. ITSO MACs are derived based on all (rather than selected) fields in either the batch header or the Transaction Record. Method Statement A document that provides details of how the Supplier will implement a requirement or task, and which contains appropriate detail on the risks, timescales and resources that will be associated with it. Migration Any process(s) required during the transition from the existing AMS-HOPS system to the new service. MTC Multi-Operator Travelcard. NACK The term used for the message associated with the unsuccessful receipt of an ITSO message. Negative Acknowledge A negative ‘hand-shake’ when exchanging data to NAK confirm data was not received from the sender. Not On Us (concept) Transactions, Shells, Products and messages that do not belong to the entity handling them. Not on Us Transactions Any transaction that is received but for which the payment for the journey made is not the responsibility of the scheme or one of its partners using the AMS-HOPS. Office Hours 08:30-17:30 on a Working Day.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 37 of 42 OID ITSO Operator Identity. OJEU Notice Contract notice 2015/S 139-256762 which was published on 22 July 2015 in the Official Journal of the European Union. On Us (concept) Transactions, Shells, Products and messages that belong to the entity handling them. On Us Transactions Those transactions where the scheme or one of its partners using the AMS-HOPS has a responsibility for payment for the journey made. Operator Identification Number issued by ITSO for unique identification of Number (OID) a participant within ITSO. Order means the legally binding agreement for the provision of Services made between a Contracting Body and the Supplier. Origin Geographical starting point of a passenger journey (note that a journey may consist of one or more legs). Outward The initial Journey authorised by or made using a Return ticket Owner The organisation controlling an application or product and responsible for maintaining parameter tables and account data relating to it. Part 11 Solution See ITSO Part 11 Solution. Pass A special type of pre-defined ticket typically valid for a number of journeys or a number of days. Pass or Permit Issuing A cost allocation code issued by the Pass or Permit Authority Cost Centre issuer for the purposes of identifying the body responsible for funding the said Pass or Permit. Payment Method The means of payment for a product added to an ITSO Shell or for a transaction undertaken using the ITSO Shell. PCI DSS Payment Card Industry Data Security Standard. Perso Personalized smartcard issuance equipment. Perso SAM ISAMs used to create ITSO shells. PHSAM Primary HSAM. Point of Service A terminal where the CM is read/written to as Terminal POST appropriate to add products or value, to check the validity of products or to modify/remove products and or value. A POST contains an ISAM. Point of Use Location where an ITSO CM may be used. Positive A message returned to the sender to confirm Acknowledgements successful receipt of a message. ACK Portlet An application used by a portal website to receive requests from clients and return information. Private Application An application that resides within the ITSO Shell but which is not subject to the data formats, security or operational rules defined by ITSO for its IPEs. Product Any type of IPE issued by an entity that is responsible for how it shall be used.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 38 of 42 Product Instance A specific ticket or other product, loaded onto a specific smartcard. Denoted by IIN, OID, TYP, PTYP, optionally TicketType (or similar field within the IPE,), ISRN, ISAM ID and ISAM S# (where ISAM ID and ISAM S# are the values contained within the IPE Instance data elements). Product Retailer The Retailer of a Product. Proxy ISAM Proxy ISAMs are “virtual” ISAMs that may be installed inside a physical ISAM in order to create IPEs on behalf of “not on us” IPE owners. PTYP IPE Sub-type. Rail Settlement Plan The rail industry agreement covering the sale of (RSP) tickets and the apportionment of revenue to individual operators. Real Time This is the actual time during which a process or event occurs and relates to a system in which input data is processed within milliseconds so that it is available virtually immediately as feedback to the process from which it is coming. Receipt A printed acknowledgment that a sum of money has been received. Reimbursement The payment to an operator in return for the acceptance of a concession product (as distinct from apportionment of commercial revenue). Return The second Journey authorised by or made using a Return ticket. Return journey A ticket valid for two Journeys, where the Return Journey is the reverse of the Outward Journey, i.e. where the Origin of the Return Journey equates to the Destination of the initial Journey, and the Destination of the Return Journey equates to the Origin of the Outward Journey. Rollover The condition under which certain fields whose contents perform an incremental or decremented count will occasionally roll over from maximum value to 0, or vice versa. Route A specific public transport service operating over a defined route between defined points, and identified by means of a route or service number. Seamless travel The opportunity for customers to move between parts of the public transport network with the minimum of inconvenience and without the need to acquire separate products (tickets). Sector The term sector is used in a similar manner to its use in the context of a floppy disc or hard drive, where physical memory is subdivided into smaller manageable sectors for reasons of access speed and convenience of handling for files of an average size. In much the same way ITSO have prescribed the notion of Sectors on the wide variety of CM it

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 39 of 42 intends to use. In this context, a Sector may indeed be a sector on a memory card, an elementary file or record on a microprocessor card, or an alias on a java card or other device. Secure Frames An ITSO Data Frame that has been created by the ISMS. Secure Login Secure login is a login that requires information to authenticate the user. Secure Payment In a secure payment, your payment card number, expiry date and cryptograms are encrypted in the transmission to protect you and ensure that no data is clearly transmitted over the Internet. Service The goods and / or services for this Lot that the Supplier is to deliver to the Contracting Body pursuant to an Order. Service Oriented A software design methodology based on structured Architecture (SOA) collections of discrete software modules, known as services that collectively provide the complete functionality of a large or complex software application. Service Manager The key person involved in the management of the contract from the employer’s point of view. The duties and authority of the Service Manager are described in the clauses of the NEC Term Service Contract. Service Operator ITSO Role: Accepting the IPEs and providing travel services. Settlement The process of transferring value to/from the fund associated with each Product Owner in accordance with the apportionment formula. Shell See ITSO Shell. Shell Expiry Date (EXP) The date, normally the end of a month, after which, the ITSO Shell shall no longer be valid in normal use. Shell Retailer The Retailer of an ITSO Shell. Solution The products or Services designed to meet a particular need. Space Saving IPE A type of IPE that has been designed to be hosted on low cost media platforms with limited memory. Typically such an IPE will have restricted functionality. Store and Forward A device, other than HOPS, that is capable of device accepting and storing data messages, and of forwarding these to another entity in due course, and which does contain an HSAM or ISAM. Sub-Contractors Any third party organisation delivering an element of the contracted service specified in an Order, but who has no direct relationship with the relevant Contracting Body in relation to the relevant Order and is the complete responsibility of the Supplier.

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 40 of 42 Supplementary Data An ITSO message, containing data items selected Messages from the ITSO data item library that can be attached to other ITSO messages. This allows extra data to that specified for standard ITSO messages to be transferred to back office components via the HOPS using standard ITSO communications methods. Supplier [Insert name of the provider under the Framework Agreement this glossary and the technical specification form part of] SWSAL South West Smart Applications Ltd SWSAL Member An Ordinary Member of SWSAL as defined in the SWSAL Articles of Association. System A public transport smartcard system. In the context of this document, this term shall apply to a locally implemented system, for example, the GMPTE, LT Prestige, Nottinghamshire, or Hertfordshire systems. System Integration The validation process that confirms that external components (both ITSO and non-ITSO) interact correctly with the AMS-HOPS. Technical Note Process The process by which ITSO issues amendments to the ITSO Specification. Technical Support The provision of appropriately qualified telephone support, to the scheme and all Contracting Bodies who receive the benefit of the service, in respect of any technical issue that arises in respect of AMS- HOPS use. Term The period commencing on the Effective Date and ending on the expiry of the Initial Term and any extended term pursuant to clause 7 (Commencement and Termination) of the Framework Agreement or on earlier termination of the Framework Agreement. Testing Any process used to validate the functionality and capability of equipment or services being delivered under the contract. Third Party AMS-HOPS Any other ITSO compliant AMS-HOPS system in the United Kingdom. Ticket An IPE or Transient Ticket Record giving entitlement to travel. Torn Customer Media A CM whose memory has been left in the wrong state due to a CM being removed from the Media Target Area whilst data is being written to the CM. Transaction The complete event associated with the recording of a CM when it is first detected and processing commences as a passenger boards a bus with an existing product, the creation of a new product, the renewal of an existing product or the deletion of an existing product, until a record is made of the event. A transaction may have multiple ITSO transactions

South West Smart Applications Ltd 045c2c0a9ace7d73ff05b61930d21c56.docxPage 41 of 42 or messages within it, but these do not count in the overall total Transaction Record The record of a Transaction, transmitted as a class 1 message from the POST to the HOPS. Transaction Reversal The process of undoing a Transaction, for example, the cancellation of a Ticket and the refund of the fare. This process is sometimes known as Undoing or Annulment. Transit Settlement A secure system that has settlement capabilities for System an e-purse solution that encompasses multiple different operators and customers. Travel card A predefined ticket permitting unlimited travel in the area of its geographic availability for a period of typically a few hours to one year, on the services of one or more operators. Travel Related Voucher A voucher for non-transport goods or services, given or sold to passengers by a transport operator authority normally together with a purchased ticket Trip A self-contained element of a Journey made on a single vehicle without changing from one vehicle to another. TVM Ticket Vending Machine. TYP See IPE Type. UCRN Unique customer reference number User Defined Message An ITSO message type where the contents are not specified or controlled by ITSO, i.e. the scheme designer defines the message contents. This allows private data to be transferred to back office components via the HOPS using standard ITSO communications methods. Working Day Means any day other than a Saturday, Sunday or public holiday in England and Wales (or, if the Contracting Body that signs the Order is Scottish, Scotland).

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