National Blood Authority

Contract Between

NHS Blood and Transplant

- and -

MITIE Technical Facilities Management

Contract for

The Provision of Planned preventative and Reactive Maintenance Contract Title

Northern Region

Contract Reference Number NHSBT0426/S/SP

Framework Details N/A (if applicable)

1ST JUNE 2013 – 31ST MAY 2016

Contract Period With the option to extend for a further two, one year periods

of 132 NHS conditions of contract for the supply of services September 2010

© Crown copyright NHS conditions of contract for the supply of services Page 2 of 132 Page 1 Defined Terms and Interpretation...... 3 2 Appointment...... 3 3 Performance of the Services...... 3 4 Deliverables...... 3 5 Performance Measurement...... 3 6 Contract Price and Payment...... 3 7 Resources...... 3 8 Contract Period...... 3 9 Authorised Officers...... 3 10 Employees...... 3 11 Control and Supervision of Staff...... 3 12 Health and Safety...... 3 13 Location...... 3 14 Use of Authority Sites...... 3 15 Equipment and Materials...... 3 16 Loan of Authority Equipment...... 3 17 Assignment...... 3 18 Sub-Contractors...... 3 19 Limitation of liability...... 3 20 Insurance...... 3 21 Review...... 3 22 Variation of the contract...... 3 23 Variation of the Specification...... 3 24 Dispute Resolution Procedure...... 3 25 Environmental Considerations...... 3 26 Termination...... 3 27 Arrangements on Termination...... 3 28 Re-tendering and Handover...... 3 29 TUPE...... 3 30 Code of Practice on Workforce Matters – Please note this clause is no longer applicable...... 3 31 Intellectual Property...... 3 32 Electronic Product Information...... 3 33 Sales Information...... 3 34 Audit and Accounts...... 3 35 Confidentiality...... 3 36 Data Protection...... 3 37 The Human Rights Act 1998...... 3 38 Warranty...... 3 39 Relationship of the Parties...... 3 40 Agency...... 3 41 Inducements to Purchase...... 3 42 General...... 3 43 Third Party Rights...... 3 44 Third Party Beneficiaries...... 3 45 Equality and Non-discrimination...... 3 46 Notices...... 3 47 Force Majeure...... 3 48 Law...... 3 NHS supplementary conditions of contract relating to information security...... 3

Signature Page...... 3

Schedule A: Contract Requirements...... 3 Schedule B: Contract Period...... 3 Schedule C: Contract Price...... 3 Schedule D: Terms of Offer...... 3 Schedule E: Form of Offer...... 3 Schedule F: Clarification...... 3 Schedule G: Information Security Questionnaire...... 3

1.1 In these terms and co nditions the words and expressions below will be interpreted to have the meanings adjacent to them:-

1.1.1 “Affected Party” means, in the context of Clause 47 the Party whose obligations under the Contract have been affected by the Force Majeure Event;

1.1.2 "Authorised Officer" means a person designated as such by the Authority from time to time as notified in writing to the Contractor to act as the representative of the Authority for all purposes connected with the Contract, including any authorised representative of such person;

1.1.3 "Authority" means the Beneficiary placing the Order or, if a Third Party Beneficiary places the Order, the Beneficiary to which the Third Party Beneficiary supplies goods and/or services;

1.1.4 "Beneficiary" means any or all of:

(a) the Department of Health and all agencies thereof;

(b) GPs;

(c) health service bodies referred to in Section 9 of the National Health Service Act 2006;

(d) the Medical Research Council;

(e) the Secretary of State for Health;

(f) any care trust as defined in section 77 of the National Health Service Act 2006;

(g) any NHS foundation trust listed in the register of NHS foundation trusts maintained pursuant to section 39 of the National Health Service Act 2006;

(h) any body replacing or providing similar or equivalent services to the above;

(i) any statutory successor to any of the above;

and "Beneficiaries" shall be construed accordingly;

1.1.5 “ Commencement Date” means the date agreed by the Parties in writing or detailed in the Specification, on which the provision of the Services is to start;

© Crown copyright NHS conditions of contract for the supply of services Page 5 of 132 1.1.6 "Confidential Information" means information, data and material of any nature which either Party may receive or obtain in connection with the operation of the Contract and:

(i) which comprises Personal Data or in the case of the Authority or any Beneficiary which relates to any patient or his or her treatment or medical history;

(ii) the release of which is likely to prejudice the commercial interests of the Authority or (as the case may be) any Beneficiary or the Contractor respectively; or

(iii) which is a trade secret;

1.1.7 "Contract" means the agreement between the Authority and the Contractor comprising the Order, these terms and conditions and schedules hereto, and the Specification, and for the avoidance of doubt all other terms, conditions or warranties other than any terms, conditions or warranties implied by law in favour of the Authority or the Beneficiaries are excluded from the agreement between the Authority and the Contractor unless expressly accepted in writing by the Authorised Officer;

1.1.8 "Contractor" means the provider of the Services pursuant to the Contract;5

1.1.9 “ Contract Manager” means a person designated as such by the Contractor from time to time as notified in writing to the Authority to act as the duly authorised representative of the Contractor for all purposes connected with the Contract, including any authorised representative of such person;

1.1.10 "Contract Period" means (subject to earlier termination in accordance with its terms or by operation of law) the duration of the Contract, starting on the Commencement Date, as set out in the Order and/or the Specification (or if the Order and/or the Specification does not set out such a duration, the period from the date of the Order until the Authority terminates by giving not less than 1 month's notice in writing to the Contractor);

1.1.11 "Contract Price" means the monies payable by the Authority or any Beneficiaries to the Contractor for the provision of the Services as set out in the Order. In the absence of agreement by the Parties to the contrary, the Contract Price shall be inclusive of all taxes, duties, expenses and disbursements save for VAT (if applicable) and shall include the costs of all equipment and materials including uniforms, training and radio-equipment supplied by the Contractor, all travelling expenses involved and all royalties, licence fees or similar expenses in respect of the making, use or exercise by the

© Crown copyright NHS conditions of contract for the supply of services Page 6 of 132 Contractor of any Intellectual Property or Intellectual Property Rights for the purpose of performance of the Contract.;

1.1.12 “ Contract Standard” means such standard as complies in each and every respect with all relevant provisions of the Contract;

1.1.13 "Convictions" means other than in relation to minor road traffic offences, any previous or pending prosecutions, convictions, cautions and binding-over orders (including any spent convictions as contemplated by Section 1(1) of the Rehabilitation of Offenders Act 1974 by virtue of the exemptions specified in Part II of Schedule 1 of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (SI 1975/1023) or any replacement or amendment to that Order);

1.1.14 "Costs" includes costs, charges, outgoings and expenses of every description;

1.1.15 "Deliverable" means any data, report, drawing, specification, design, invention, plan, program, document, contract, and/or other material produced by or to be produced by or acquired by or to be acquired by the Contractor in the course of the performance of the Services;

1.1.16 "Dispute Resolution Procedure" means the procedure set out in Clause 24;

1.1.17 "Electronic Trading System(s)" means such electronic data interchange system and/or world wide web application and/or other application with such message standards and protocols as the Authority may specify from time to time;

1.1.18 “ Employees” means, for the purpose of Clause 29, the employees assigned to the Services by the incumbent contractor or, as the case may be, by the Authority or any Beneficiaries prior to the Commencement Date;

1.1.19 “ Force Majeure Event” means one or more of the following to the extent that it is not attributable to the Contractor or the Contractor’s staff: war, civil war (whether declared or undeclared), riot or armed conflict; radioactive, chemical or biological contamination; pressure waves caused by aircraft or other aerial devices travelling at sonic or supersonic speed; acts of terrorism; explosion; fire; flood; extraordinarily severe weather conditions which are both unforeseen and for which precautions are not customarily taken by prudent business organisations so as to avoid or mitigate the impact thereof; industrial action which affects the provision of the Services, but which is not confined to the workforce of the Contractor or is site specific; pestilence; the actions of governmental authorities to the extent that such actions are implemented either pursuant to emergency powers or otherwise

© Crown copyright NHS conditions of contract for the supply of services Page 7 of 132 outside the usual course of governmental business; or Act of God, or other event which is beyond the reasonable control of the Party in question and could not have been avoided or mitigated by the exercise of all reasonable care by that Party and further provided that such event materially affects the ability of the Party seeking to rely upon it to perform its obligations under the Contract;

1.1.20 “ Framework Agreement” means any agreement which defines, in broad terms, the scope and terms and conditions under which supply contracts will be entered into should the need arise;

1.1.21 "Good Industry Practice" means the exercise of that degree of skill, diligence and foresight which would reasonably and ordinarily be expected from a skilled and experienced service provider engaged in the provision of services similar to the Services under the same or similar circumstances as those applicable to the Contract and which are in accordance with any codes of practice published by relevant trade associations;

1.1.22 "GPs" means medical practitioners providing General Medical Services or Personal Medical Services under the National Health Service Act 2006 (whether operating in partnership with others or not);

1.1.23 "Insolvent" means:

(a) if the Contractor is an individual, that individual or where the Contractor is a partnership, any partner(s) in that firm becomes bankrupt or shall have a receiving order, administration order or interim order made against him, or shall make any composition or scheme of arrangement with or for the benefit of his creditors, or shall make any conveyance or assignment for the benefit of his creditors, or shall purport to do so, or any application shall be made for sequestration of his estate, or a trust deed shall be granted by him for the benefit of his creditors;

(b) if the Contractor is a company, the passing by the Contractor of a resolution for its winding-up or the making by a court of competent jurisdiction of an order for the winding-up of the Contractor or the dissolution of the Contractor, or if an administrator is appointed, or documents are filed with the court for the appointment of an administrator or notice of intention to appoint an administrator is given by the Contractor or its directors or by a qualifying floating charge holder (as defined in paragraph 14 of Schedule B1 to the Insolvency Act 1986), or the appointment of a receiver over, or the taking possession or sale by an encumbrancer of any of the Contractor's assets, or if the Contractor makes an arrangement with its creditors generally or makes an application to a court of competent jurisdiction for protection from its creditors generally; and

1.1.24 "Intellectual Property" means any and all patents, trade marks, service marks, domain names, registered designs, utility models, applications for and the right to make applications for any of such rights, inventions, Know-How (as defined below), unregistered trade marks and service marks, trade and business names, including rights in any get-up or trade dress, copyrights, (including rights in computer software and in websites) unregistered design rights and other rights in designs and rights in databases, subsisting anywhere in the world; the right for the maker of a database to prevent extraction or reutilisation or both of the whole or a substantial part of the content of that database, as described in Directive 96/9/EC on the legal protection of databases; rights under licences, consents, orders, statutes or otherwise in respect of any rights of the nature specified in this definition "Intellectual Property"; and rights of the same or similar effect or nature as or to those above in each case in any jurisdiction;

1.1.25 "Intellectual Property Right" includes the right to exploit any Intellectual Property or any right which is similar or analogous to any Intellectual Property; any moral right; any licence, right or interest of any kind arising out of or granted or created in respect of any Intellectual Property; any right to bring an action for passing off or any similar or analogous proceeding;

1.1.26 "In writing" shall be interpreted to include any document which is recorded in manuscript, typescript, any electronic communication as defined in Section 15 of the Electronic Communications Act 2000 but excluding mobile telephone text messages;

1.1.27 "Know How" means all information not publicly known which is used or required to be used in or in connection with the Services existing in any form (including, but not limited to, that comprised in or derived from engineering, chemical and other data, specifications, formulae, experience, drawings, manuals, component lists, instructions, designs and circuit diagrams, brochures, catalogues and other descriptions) and relating to the design, development, manufacture or production of any products; the operation of any process; the provision of any Services; the selection, procurement, construction, installation, maintenance or use of raw materials, plant, machinery or other equipment or processes; the rectification, repair or service or maintenance of products, plant, machinery or other equipment; the supply, storage, assembly or packing of raw materials, components or partly manufactured or finished products; quality control, testing or certification of any person;

© Crown copyright NHS conditions of contract for the supply of services Page 9 of 132 1.1.28 “Loaned Equipment” means equipment owned by the Authority or any Beneficiary which is loaned to the Contractor for the purposes of the Contract;

1.1.29 "Location" means the location for the provision of the Services as set out in the Contract or as otherwise agreed in writing between the Authority or any Beneficiary and the Contractor;

1.1.30 "Loss" includes losses, liabilities, claims, costs, charges and outgoings of every description (including legal expenses), compensation payable under contracts with suppliers and/or customers, loss of normal operating profits, loss of opportunity, loss of goodwill, loss of revenue from related contracts and pure economic loss;

1.1.31 “Month” means a calendar month;

1.1.32 "Order" means any order placed on the Contractor by an Authority or any Beneficiary for the provision of the Services whether or not such order is placed pursuant to a Framework Agreement concluded between the Contractor and any Beneficiary or Beneficiaries as the case may be;

1.1.33 “ Party” means any party to the Contract individually and “Parties” refers to all of the parties to the Contract collectively. A Party shall include all permitted assigns of the Party in question. All persons who are not a Party to the Contract are third parties;

1.1.34 "Person" includes any individual, partnership, firm, trust, body corporate, government, governmental body, authority, agency, unincorporated body of persons or association and a reference to a person includes a reference to that person's successors and permitted assigns;

1.1.35 "Personal Data" means data as defined by the Data Protection Act 1998 which relates to a living individual who can be identified from such data, and/or from such data and other information which is in the possession of, or is likely to come into the possession of the Contractor and includes any expression of opinion about an individual and any indication of the intentions of the Contractor in respect of an individual;

1.1.36 “ Receipt of Order” means, if personally delivered, at the time of delivery; if sent by facsimile, at the time of transmission; if posted, at the expiration of 48 hours or (in the case of airmail seven days) after the envelope containing the same was delivered into the custody of the postal authorities; and if sent by electronic mail, provided that a telephone call is made to the recipient warning the recipient that an electronic mail message has been sent to him (as evidenced by a contemporaneous note of the Party sending the notice) and a hard copy of such notice is also sent by first class

1.1.37 “ Recruits” means any new employees engaged by the Contractor to work on the Services to which this Contract relates (and any amendment to those Services);

1.1.38 “Replacement Contractor” means any contractor engaged to replace the Contractor or any sub-contractor of the Contractor;

1.1.39 "Service Information" means information concerning the Services provided by the Contractor to the Authority in accordance with Clause 32.1 for inclusion in the Authority's catalogue and/or any Beneficiary's catalogue from time to time;

1.1.40 "Services" means the services provided by the Contractor pursuant to, and in accordance with, the Contract;

1.1.41 “Sites” means those areas at the Location for the use of the Contractor and his staff in the provision of the Services, as set out in the Specification;

1.1.42 "Specification" means the description of the Services together with (where applicable) a brief description of Deliverables to be provided pursuant to such Services as referred to, set out in or attached to the Order (or, if no such description is set out in or attached to the Order, as set out in or attached to any documentation inviting the Contractor to tender for the appointment to provide the Services, including any documentation issued, or made available, to the Contractor by any Beneficiary);

1.1.43 “Third Party Beneficiary” means each of the non-NHS bodies set out in the list attached at Schedule 1, as supplied from time to time by the Authority to the Contractor;

1.1.44 “ TUPE” means the Transfer of Undertakings (Protection of Employment) Regulations 2006 and Council Directive 2001/23/EC on the approximation of the laws of the Member States relating to the safeguarding of employees rights in the event of transfer of undertakings, businesses or parts of undertakings or businesses;

1.1.45 “ Year” means during the Contract Period, any 12 month period commencing on the Commencement Date or an anniversary thereof.

1.2 In these terms and conditions, all references to any statute or statutory provision shall be deemed to include references to any statute or statutory provision which amends, extends, consolidates or replaces the same and shall include any orders, regulations, codes of practice, instruments or other subordinate legislation made thereunder and any conditions attaching thereto.

© Crown copyright NHS conditions of contract for the supply of services Page 11 of 132 Moreover, where relevant, references to English statutes and statutory provisions shall be construed as references also to equivalent statutes, statutory provisions and rules of law in other jurisdictions.

1.3 Any headings to Clauses, together with the front cover and the Index are for convenience only and shall not affect the meaning of these terms and conditions. Unless the contrary is stated references to Clauses shall mean the Clauses of these terms and conditions.

1.4 Unless otherwise expressly defined in these terms and conditions, the words used in these terms and conditions shall bear their natural meaning. The Parties have had equal opportunity to take legal advice and the contra proferentem rule shall not apply to the interpretation of these terms and conditions.

1.5 Where a term of these terms and conditions provides for a list of items following the word "including" or "includes" then such list is not to be interpreted as being an exhaustive list. Any such list shall not be treated as excluding any item which might have been included in such list having regard to the context of the contractual term in question. The ejusdem generis principle is not to be applied when interpreting these terms and conditions. General words are not to be given a restrictive meaning where they are followed by examples intended to be included within the general words.

1.6 In these terms and conditions, words importing any particular gender include all other genders.

1.7 In these terms and conditions, words importing the singular only shall include the plural and vice versa.

1.8 In these terms and conditions “staff” and “employees” shall have the same meaning.

1.9 Subject to the contrary being stated expressly or implied from the context in these terms and conditions, all communication between the Parties shall be in writing.

1.10 All monetary amounts are expressed in pounds sterling but in the event that pounds sterling is replaced as legal tender in the United Kingdom by a different currency then all monetary amounts shall be converted into such other currency at the rate prevailing on the date such other currency first became legal tender in the United Kingdom.

1.11 Except where an express provision of these terms and conditions states the contrary, each and every obligation of a Party under the terms and conditions is to be performed at that Party's cost.

1.12 Any reference to a Party "procuring" another person to act or omit to act in a certain manner shall mean that the Party so procuring shall be liable for any default on the part of the person acting or omitting to act in that manner.

© Crown copyright NHS conditions of contract for the supply of services Page 12 of 132 1.13 All references to the Contract include (subject to all relevant approvals) a reference to the Contract as amended, supplemented, substituted, novated or assigned from time to time.

2 Appointment

2.1 The Authority appoints the Contractor to provide the Services:

2.1.1 promptly (and in any event within any time targets as may be set out in the Specification) and in a professional and courteous manner so as to reflect and promote the image of the Authority and any Beneficiary;

2.1.2 strictly in accordance with the Specification and all provisions of the Contract; and

2.1.3 in accordance with all applicable UK and European laws and regulations and Good Industry Practice; and

2.1.4 in accordance with the policies (including, when on any premises of the Authority or any Beneficiary or on any other premises where it works alongside the Authority’s or any Beneficiary’s staff, any racial discrimination and equal opportunities policies), rules, procedures and the quality standards of the Authority and any Beneficiary as amended from time to time.

2.2 The Contractor accepts the terms of appointment as provided in Clause 1 in consideration of the Contract Price.

3 Performance of the Services

3.1 Subject to Clause 15.1, the Contractor shall provide at its own expense all staff, equipment, tools, appliances, materials or items required for the provision of the Services to the Contract Standard.

3.2 To the extent that the Specification includes the date, format and method of delivery of the Services and Deliverables and/or the applicable performance measures, performance due-by dates, minimum performance levels and methods of performance measurement in respect of the Services, the Contractor will abide by the same.

3.3 Time shall be of the essence with regard to the obligations of the Contractor under the Contract.

3.4 If the Specification provides for performance of the Services in stages, the Contractor undertakes to perform the Services in strict compliance with the timetable for stages as provided in the Specification.

3.5 The Authority and the Contractor will co-operate with each other in good faith and will take all reasonable action as is necessary for the efficient

© Crown copyright NHS conditions of contract for the supply of services Page 13 of 132 transmission of information and instructions and to enable the Authority, or as the case may be, any Beneficiary to derive the full benefit of the Contract. At all times in the performance of the Services, the Contractor will co-operate fully with any other contractors appointed by the Authority or any Beneficiary in connection with other services at the Location.

3.6 In addition to any more specific obligations imposed by the terms of the Contract, it shall be the duty of the Contractor to notify the Authorised Officer of all significant changes to staffing, rates of pay or conditions of employment, or hours of work or other technological changes at least one month prior to the implementation of any such revised arrangements.

3.7 The Contractor shall provide information in a format, medium and at times specified by the Authority, related to the performance of the Services as may be reasonably required.

3.8 In providing the Services, the Contractor shall use Good Industry Practice to ensure that any computer systems and/or related hardware and/or software it uses are free from corrupt data, viruses, worms and any other computer programs which might cause harm or disruption to the Authority's or, as the case may be, to any Beneficiary's computer systems.

3.9 If at any time the Contractor becomes aware of any act or omission or any proposed act or omission by the Authority or any Beneficiary or by any member, official or employee of the Authority or any Beneficiary which prevents or hinders or may prevent or hinder the Contractor from providing the Services in accordance with the Contract then the Contractor shall immediately inform the Authorised Officer of that fact. For the avoidance of doubt, the Contractor’s compliance with this Clause shall not in any way relieve the Contractor of any of its obligations under the Contract.

3.10 The Authority and any Beneficiary shall provide the Contractor with copies of its policies, rules, procedures and quality standards (and shall promptly inform the Contractor of any amendments to such documents) to enable the Contractor to comply with its obligations under the Contract.

3.11 The Authority may, where necessary, require the Contractor to set up and maintain appropriate policies, rules, procedures and quality standards in relation to the employment of his own staff whilst carrying out their duties in relation to the Contract at the Location. This shall include, but not be limited to, disciplinary and grievance procedures. The Contractor shall provide the Authority and any Beneficiary with copies of such policies, rules, procedures and quality standards (and shall promptly inform the Authority and any Beneficiary of any amendments to such documents).

3.12 The Contractor will immediately notify the Authorised Officer of any actual or potential problems relating to the Contractor’s own suppliers that affects or might affect his ability to provide the Services.

© Crown copyright NHS conditions of contract for the supply of services Page 14 of 132 3.13 The Contractor will be responsible for providing and maintaining the Services to the Contract Standard at all times and will ensure continuity of supply (at no extra cost to the Authority and any Beneficiary) in accordance with the Specification. The Contractor must have in place contingency plans and arrangements which are approved by the Authority to ensure continuity of supply.

3.14 The Contractor will immediately notify the Authorised Officer of any actual or potential industrial action, including strike action, whether such action be of his own staff or others, that affects or might affect his ability at any time to provide the Services.

3.15 The Contractor will be responsible for providing and maintaining the Services to the Contract Standard during industrial action, at no additional cost to the Authority and any Beneficiary. The Contractor must have in place contingency plans and arrangements which are approved by the Authority.

3.16 In the event of the Contractor being unable to maintain the Services to the Contract Standard, the Contractor shall without prejudice to the remedies of the Authority and any Beneficiary permit the Authorised Officer and his staff, to have access to and unrestricted use of such machinery, equipment and materials which being the property of the Contractor deemed necessary to maintain the Services by the Authorised Officer during industrial action, or any other such occurrence, without additional charge.

3.17 In the event of a major incident (as defined in the Authority’s major incident policy) the Contractor shall perform the Services in accordance with the relevant section of the Specification.

4 Deliverables

4.1 Wherever the Services require the Contractor to provide a Deliverable:

4.1.1 such Deliverable will be delivered in the form prescribed and in accordance with the Specification. If no such form is prescribed in the Specification, the Contractor will provide Deliverables in a professional form to the requirements (including as to time of delivery) notified to the Contractor by the Authorised Officer;

4.1.2 the Authority or any Beneficiary may accept such Deliverable or reject it in its reasonable discretion on the grounds that such Deliverable is (in whole or in part) not of satisfactory quality and/or does not meet the brief set out in the Specification or the requirements otherwise made known to the Contractor by the Authority or any Beneficiary;

4.1.3 the Authority or any Beneficiary will not reject any Deliverable (wholly or in part) without providing written reasons to the Contractor as to why such Deliverable has been rejected;

© Crown copyright NHS conditions of contract for the supply of services Page 15 of 132 4.1.4 any dispute as to whether the Authority or any Beneficiary has exercised its right to reject any Deliverable reasonably shall be resolved by the Dispute Resolution Procedure; and

4.1.5 any Deliverables which are rejected shall be replaced by the Contractor (at no extra charge to the Authority or any Beneficiary) by Deliverables which are reasonably satisfactory to the Authorised Officer.

5 Performance Measurement

5.1 In addition to any more specific obligations imposed by the terms of the Contract, it shall be the duty of the Contractor to provide the Services to the Contract Standard which in all respects shall be to the satisfaction of the Authorised Officer.

5.2 The Contractor shall institute and maintain a properly documented system of quality control as set out in the Specification and which is to the satisfaction of the Authorised Officer to ensure that the Contract Standard is met.

5.3 In addition to any other rights of the Authority and any Beneficiary under the Contract, the Authorised Officer shall be entitled to inspect the Contractor’s quality control system referred to in Clause 5.2 above.

5.4 During the Contract Period, the Authorised Officer may inspect and examine the provision of the Services being carried out at the Location without notice at any time. The Contractor shall provide to the Authority all such facilities as the Authority may require for such inspection and examination.

5.5 The Contractor shall allow the Authority and any person, firm or organisation authorised by the Authority to have access to and to audit all records maintained by the Contractor in relation to the supply of the Services. The Contractor shall assist the Authority or any party authorised by the Authority (as the case may be) in the conduct of the audit.

5.6 If any part of any Service is found to be defective or different in any way from the Specification or otherwise has not been provided to the Contract Standard other than as a result of a default or negligence on the part of the Authority or any Beneficiary, the Contractor shall at its own expense re-perform the Services in question (without additional remuneration therefor) within such time as the Authority or any Beneficiary may reasonably specify failing which the Authority or any Beneficiary shall be entitled to procure performance of the defective Services from a third party or to execute the tasks in question itself. If the cost to the Authority or any Beneficiary of executing or procuring such Services exceeds the amount that would have been payable to the Contractor for such Services, the excess shall be paid by the Contractor to the Authority or any Beneficiary on demand in addition to any other sums payable by the Contractor to the Authority or any Beneficiary in respect of the breach of Contract.

© Crown copyright NHS conditions of contract for the supply of services Page 16 of 132 5.7 If the performance of the Contract by the Contractor is delayed by reason of any act or default on the part of the Authority or any Beneficiary or, by any other cause that the Contractor could not have reasonably foreseen or prevented and for which it was not responsible, the Contractor shall be allowed a reasonable extension of time for completion of the Services so affected.

5.8 For each Service, the Authority or any Beneficiary shall ascertain whether the Contractor's provision of the Service in question meets any performance criteria as specified in the Specification or, if the criteria are not so specified, meets the standards of a professional provider of the Services. On or before the fifteenth working day of each calendar month during the Contract Period and within 14 days after termination of the Contract, the Authority or any Beneficiary may:

5.8.1 in respect of each of the Services during the preceding calendar month, provide to the Contractor a notice (each called a "Performance Notice") which shall set out a statement of the Authority’s or any Beneficiary's dissatisfaction with the Contractor's performance and provision of the Services;

5.8.2 each Performance Notice issued by the Authority or the Beneficiary shall include a proposed rebate of the Contract Price commensurate to the under-performance of the Contractor as recorded in the Performance Notice;

5.8.3 if the Contractor disputes any matter referred to in any Performance Notice and/or the proposed rebate of the Contract Price, the Contractor may raise this objection with the Authority or the Beneficiary and if this matter is not resolved within 7 days the matter shall be referred to the Dispute Resolution Procedure; and

5.8.4 if the Contractor has not raised any objection to the Performance Notice within 7 days of receipt (or such other period as agreed between the Parties) then that Performance Notice shall be deemed to have been accepted by the Contractor and the rebate on the Contract Price referred to therein shall become immediately effective.

5.9 The Authority and any Beneficiary's rights under Clause 5.8 are without prejudice to any other rights or remedies the Authority or any Beneficiary may be entitled to.

5.10 On request, the Contractor shall submit to the Authority and any Beneficiary progress reports detailing its adherence to the timetable (if any) as set out in the Specification in a format approved by the Authority or any Beneficiary. The submission and acceptance of such reports shall not prejudice any other rights or remedies of the Authority or any Beneficiary under the Contract.

© Crown copyright NHS conditions of contract for the supply of services Page 17 of 132 5.11 If required by the Authority or any Beneficiary, the Parties shall co-operate in sharing information and developing performance measurement criteria with the object of improving the Parties’ efficiency. Any such agreements shall be fully recorded in writing by the Authority or Beneficiary as the case may be.

6 Contract Price and Payment

6.1 In consideration of the Contractor's due and proper performance of its obligations under the Contract, the Contractor may charge the Authority or, as the case may be, any Beneficiary the Contract Price in accordance with this Clause 6.

6.2 The only sums payable by the Authority or any Beneficiary to the Contractor for the provision of the Services shall be the Contract Price. All other costs, charges, fees and expenses of whatever kind arising out of or in connection with the Contract shall be the responsibility of the Contractor.

6.3 In accordance with the Contract, where the Contractor is required to provide Deliverables, the Authority or any Beneficiary shall be entitled to withhold payment of the Contract Price pending receipt and acceptance of the Deliverables in accordance with the Specification.

6.4 Unless otherwise agreed in writing by the Authority or any Beneficiary and the Contractor, within 15 days of the end of each calendar month, the Contractor shall invoice the Authority or, as the case may be, any Beneficiary for any Services provided by the Contractor in that calendar month. Such invoice shall be rendered on the Contractor's own invoice form clearly marked with the Authority’s or the Beneficiary's order number (if any). Invoices must show the period to which they relate and the aspects of the Services for which payment is claimed together with the agreed charging rates and any other details the Authority or the Beneficiary may require. Failure to provide such information will entitle the Authority or the Beneficiary to delay payment of the Contract Price until such information is provided.

6.5 Subject to Clauses 6.3 and 6.6, the Authority or any Beneficiary shall pay any invoice submitted by the Contractor in accordance with Clause 6.4 within 30 days of receipt by the Authority or the Beneficiary of such invoice. The Authority or the Beneficiary shall pay such invoice(s) by BACS (Bank Automated Clearing System) if it so chooses or any alternate means as agreed between the Authority or the Beneficiary and the Contractor.

6.6 The Authority and any Beneficiary shall be entitled to deduct from any monies due or to become due to the Contractor any monies owing to the Authority or the Beneficiary from the Contractor.

6.7 Where the performance of the Contractor does not meet the required standard then a deduction as set out in the Specification or as agreed by the Parties may be made.

© Crown copyright NHS conditions of contract for the supply of services Page 18 of 132 6.8 Except where otherwise stated in the Order, the Contract Price is exclusive of VAT which shall be payable, if applicable, by the Authority or any Beneficiary in addition to such Contract Price. The invoice provided to the Authority or any Beneficiary by the Contractor in accordance with Clause 6.4 shall show the VAT calculations separately.

6.9 The Contractor will keep accurate books and records in relation to the provision of the Services in accordance with sound and prudent financial management. All such books and records shall be made available to the Authority at regular intervals of not less than quarterly.

6.10 In the event of the Authority or any Beneficiary breaching Clause 6.5, the Contractor shall be entitled to charge interest on the outstanding amount owed by the Authority or such Beneficiary in accordance with the Late Payment of Commercial Debts (Interest) Act 1998.

6.11 Subject to Clauses 6.12 and 6.13, the Contract Price shall not be subject to any increase whatsoever by the Contractor during the Contract Period.

6.12 In the event that the Contract is varied under Clauses 22 or 23 in such a way as to affect the Contract Price and if agreement between the Parties cannot be reached on the adjustment to the Contract Price within 3 months both Parties shall jointly act to resolve the dispute in accordance with Clause 24.

6.13 If the adjusted Contract Price is not so agreed or certified until after such variation has taken effect, the Authority or any Beneficiary shall continue to pay the Contractor at the rate current prior to the variation but shall pay to the Contractor or be entitled to recover from the Contractor as the case may be such sum if any as is equal to the difference between the amount which should have been paid in accordance with the adjusted Contract Price and the amount which was actually paid.

6.14 In the event that the Contract ends or is terminated otherwise than at the end of a complete year, the sum payable by the Authority or any Beneficiary under Clause 6 shall be one twelfth of the annual sum which would otherwise have been payable for the complete year for each completed month.

7 Resources

7.1 The Contract Price includes payment in full for all facilities and resources required by the Contractor to provide the Services in accordance with the Contract. Any facilities or resources needed or used by the Contractor to perform the Services shall be provided by the Contractor without additional cost to the Authority or any Beneficiary.

7.2 The Contractor confirms its satisfaction of its abilities and experience in all respects to perform the Services pursuant to the Contract to the reasonable satisfaction of the Authority.

8.1 The Contract shall commence and (subject to any earlier lawful termination) remain in force for the Contract Period.

8.2 The Authority may, by notice in writing, extend the Contract Period, provided that the said notice shall have been given to the Contractor no later than 12 weeks before the end of the Contract Period.

9 Authorised Officers

9.1 Any notice, information or communication given to or made by an Authorised Officer shall be deemed to have been given or made by the Authority.

9.2 The Contractor shall decline from providing the Services to any of the Authority’s or Beneficiary’s staff who are not Authorised Officers.

10 Employees

10.1 The Contractor shall be entirely responsible for the employment and conditions of service of his staff employed in the Contract.

10.2 The Contractor will employ sufficient employees to ensure that all of the Services are provided at all times and in all respects in complete conformity with the Specification. This will include, but not be limited to, the Contractor providing a sufficient reserve of trained and competent staff to provide the Services during staff holidays or absence due to sickness or voluntary absence. In relation to the Services, the Contractor will employ only such persons as are careful, skilled and experienced in the duties required of them, and will ensure that every such person is properly and sufficiently trained and instructed (at the Contractor's expense) and carries out the Services with regard to

10.2.1 the task or tasks that person has to perform;

10.2.2 all relevant provisions of the Contract and the Specification;

10.2.3 all relevant policies, rules, procedures and standards of the Authority and any Beneficiary (including any racial discrimination and equal opportunities policies);

10.2.4 the need for those working in an health service environment to observe the highest standards of hygiene, customer care, courtesy and consideration;

10.2.5 the need to keep confidential all information howsoever acquired whether relating to the Authority or any Beneficiary and its business, or relating to patients, including but not limited to patient identity, clinical conditions and treatment.

© Crown copyright NHS conditions of contract for the supply of services Page 20 of 132 10.3 The Contractor will, when recruiting potential employees for the purpose of the Contract, act in accordance with the Specification.

10.4 The Contractor shall ensure that employees of appropriate levels of experience and expertise perform the Services to achieve cost efficiency.

10.5 The Authority reserves the right to reject staff whom they consider to be unsuitable for the duties proposed. Where staff are rejected the Contractor shall supply alternative staff. In addition, the Authorised Officer may (but not unreasonably or vexatiously) instruct the Contractor to take disciplinary action against or to remove from work in or about the provision of the Services any person employed by the Contractor and the Contractor shall immediately comply with such instruction, and in the case of a removal from work shall, as soon as it is reasonably practicable thereafter provide a substitute.

10.6 The Contractor shall ensure that any employees to whom reference is made by name in the Specification are actively involved in the provision of the Services or are replaced with employees acceptable to the Authorised Officer. The Contractor acknowledges that if it is ever the wish of the Contractor to change the partners and/or employees committed to provide the Services as provided for in the Specification it shall first give notice of such wish to the Authorised Officer explaining the reasons for such wish together with full details of any proposed replacement partner and/or employee. The Authority shall be under no obligation to approve or accept any such replacement. If any of the partners or employees referred to in the Specification cease, in the reasonable opinion of the Authority, to provide and be responsible for the provision of the Services and the quality of those Services then the Authority may terminate the Contract in accordance with Clause 26.1 paying only for the Services provided up to the date of such termination.

10.7 The Contractor shall procure that all potential staff or persons performing any of the Services during the Contract Period who may reasonably be expected in the course of their employment or engagement to have access to children or other vulnerable persons and/or access to persons receiving clinical services and/or medical services:

10.7.1 are questioned concerning their Convictions; and

10.7.2 only in the case of potential staff who may reasonably be expected in the course of their employment to have access to children or other vulnerable persons, obtain standard and enhanced disclosures from the Criminal Records Bureau before the Contractor engages the potential staff or persons in the provision of the Services to the Authority and any Beneficiary. The Contractor shall take all necessary steps to procure that such potential staff or persons obtain standard and enhanced disclosures from the Criminal Records Bureau including, without limitation, the Contractor being registered with the Criminal Records Bureau.

© Crown copyright NHS conditions of contract for the supply of services Page 21 of 132 10.8 The Contractor shall procure that no person who discloses any Convictions upon being questioned about their Convictions in accordance with Clause 10.7.1, or who is found to have any Convictions following receipt of standard and enhanced disclosures from the Criminal Records Bureau in accordance with Clause 10.7.2, or who fails to obtain standard and enhanced disclosures from the Criminal Records Bureau upon request by the Contractor in accordance with Clause 10.7.2 is employed without the Authority's prior written consent.

10.9 The Contractor shall procure that the Authority is kept advised at all times of any member of staff who, subsequent to his/her commencement of employment as a member of staff receives a Conviction or whose previous Convictions become known to the Authority.

10.10 The Contractor shall procure that the Authority is kept advised at all times of any:

10.10.1 disciplinary incident relating to his staff involving visitors, or the Authority’s or any Beneficiary’s staff or property; and

10.10.2 incidence of serious misconduct involving his staff.

10.11 The Contractor shall only employ staff for the purposes of the Contract who:

10.11.1 fulfil any minimum training and qualification requirements of the Authority as set out in the Specification and also all training and qualification requirements that may be deemed necessary by the Authorised Officers, legislation, or any special bodies or associations;

10.11.2 are in good health and have a standard of oral and personal hygiene acceptable to the Authority;

10.11.3 are medically and physically fit in so far as the requirements of the work are concerned.

10.12 The Contractor shall not employ in or about the provision of the Services any person who has suffered from, has signs of, is under treatment for, or who is suffering from any medical condition which is known to, or does potentially place the health of the Authority’s or any Beneficiary’s staff, residents, patients or visitors at risk. In all such cases, the Contractor is required to notify the Authorised Officer of each particular incident. The Contractor may receive and will accept such instruction as to the immediate and future working capability of the affected employee, upon the Authority’s or any Beneficiary’s premises. Such instruction may necessitate the need for further investigation, which shall be the duty and responsibility of the Contractor at his own expense.

© Crown copyright NHS conditions of contract for the supply of services Page 22 of 132 10.13 The Authorised Officer may, but not unreasonably or vexatiously, require any person employed by the Contractor in or about the provision of the Services to be medically examined at any time during their employment.

10.14 Any medical examination or certification of any member of the Contractor’s staff required by the Contract shall be arranged by and shall be at the expense of the Contractor provided always that the Authority shall be entitled at their own expense, to require any medical examination to be carried out by a Medical Practitioner nominated by the Authority.

10.15 The Contractor will comply with the Authority’s policy and procedures on Cross Infection and Notifiable Diseases and will co-operate with and act upon the advice of the Authority’s or any Beneficiary’s Infection Control Representative.

10.16 As a condition of employment in the contract, Contractor’s staff:

10.16.1 shall not corruptly solicit or receive any bribe or other consideration from any person, or fail to account for monies or property received in connection with duties under the Contract assignments

10.16.2 shall not be uncivil to persons encountered in the course of work, or make unnecessary use of authority in connection with the discharge of the Contract assignment instructions;

10.16.3 shall not act in a manner reasonably likely to bring discredit upon the Authority or any Beneficiary;

10.16.4 shall be properly and presentably dressed in such uniform as is detailed in the Specification or agreed between the Parties (“the Contract Uniform”);

10.16.5 shall not wear the Contractor’s uniform, the Contract Uniform or identification, or use his equipment on the Authority’s or any Beneficiary’s premises unless fulfilling the terms of the Contract;

10.16.6 shall maintain proper standards of appearance and deportment whilst at work;

10.16.7 shall not at any time be on duty under the influence of alcohol or drugs;

10.16.8 shall on being charged with any criminal offence, notify the Contractor immediately;

10.16.9 shall not neglect, nor without due and sufficient cause omit, to discharge promptly and diligently a required task within the terms of the Contract;

10.16.10 shall not misuse or abuse the Authority’s or any Beneficiary’s property;

© Crown copyright NHS conditions of contract for the supply of services Page 23 of 132 10.16.11 shall not smoke while on the Authority’s or any Beneficiary’s premises, except in those areas where smoking is expressly permitted.

10.17 The Contractor shall provide its employees with a form of identification that is acceptable to the Authority and which employees shall display on their clothing at all times when they are at the Location.

10.18 The Contractor and his staff shall confine themselves to the locality of their work and shall cause as little interference and disruption as possible with other personnel and activities at the Location.

10.19 The Authority or any Beneficiary shall not be liable for loss of, or damage to, the personal property of Contractor’s staff, howsoever caused.

10.20 It is the joint responsibility of the Contractor and his employees to ensure that the employees supplied to carry out the Services have not worked excessive hours which could prejudice the standards of service. In accordance with the Working Time Regulations 1998 it is the responsibility of the Contractor to keep records of hours worked for each employee.

11 Control and Supervision of Staff

11.1 Any notice, information, instruction or other communication given or made to the Contract Manager shall be deemed to have been given or made to the Contractor.

11.2 The Contract Manager shall be suitably qualified in accordance with the Specification. In addition a work history/biography will be submitted to the Authorised Officer for approval prior to interview.

11.3 The Contractor shall forthwith give notice in writing to the Authorised Officer of the identity of the person appointed as Contract Manager and of any subsequent appointment. Until notice of a subsequent appointment shall have been given the Authority and any Beneficiary shall be entitled to treat as Contract Manager the person last notified to the Authorised Officer as being the Contract Manager.

11.4 The Contractor shall ensure that the Contract Manager, or a competent deputy who is duly authorised to act on his behalf, is available to the Authority and any Beneficiary at all times when any employee of the Contractor is on duty for the provision of the specified Services.

11.5 The Contractor shall inform the Authorised Officer of the identity of any person authorised to act for any period as deputy for the Contract Manager before the start of that period.

11.6 The Contract Manager or his deputy shall consult with the Authorised Officer and such other of the Authority’s or any Beneficiary’s own supervisory staff as may from time to time be specified by the Authorised Officer as often as may

11.7 The Contractor shall provide a sufficient complement of supervisory staff in addition to the Contract Manager, to ensure that the Contractor’s staff engaged in and about the provision of the Services at the Location are adequately supervised and properly perform their duties at all times.

11.8 All persons appointed to managerial and supervisory positions in accordance with the Specification must be to the acceptance of the Authorised Officer who will have the right to veto the appointment of any candidate who is deemed to be unsuitable.

11.9 The Contractor’s staff engaged in and about the provision of the Services shall primarily be under the control and direction of the Contractor’s own supervisory staff but nevertheless while on the Authority’s and any Beneficiary’s premises will obey all reasonable instructions given to them by the Authority’s or any Beneficiary’s supervisory staff in any matter occasioned by the operational needs of the relevant Service or the health, safety or welfare of anyone.

11.10 The Contractor shall ensure that his staff carry out their duties and behave while on the Authority’s or any Beneficiary’s premises in an orderly manner and in as quiet a manner as may reasonably be practicable having regard to the nature of the duties being performed by them. The Contractor’s staff shall not cause any unreasonable or unnecessary disruption to the routines, practices, and procedures of the Authority’s or any Beneficiary’s staff, patients or visitors, or any of the staff of any other contractors.

12 Health and Safety

12.1 While at the Location, the Contractor shall comply, and shall ensure that its employees comply with, the requirements of relevant Health and Safety and other relevant legislation, including regulations and codes of practice issued thereunder, and with the Authority’s and any Beneficiary’s own policies and procedures.

12.2 The Contractor shall at all times maintain a specific Health and Safety at Work policy relating to the employment of his own staff whilst carrying out their duties in relation to the Contract on the Authority’s or any Beneficiary’s premises.

12.3 The Contractor will be required to nominate a Health and Safety Representative to liaise with the Authorised Officer on all Health and Safety matters.

12.4 The Contractor’s staff shall follow a system of accident recording in accordance with the Authority’s or any Beneficiary’s accident recording procedure and the Contractor’s own accident reporting procedures.

12.6 The Contractor shall ensure the co-operation of its employees in all prevention measures designed against fire, or any other hazards, and shall notify the Authority of any change in the Contractor's working practices or other occurrences likely to increase such risks or to cause new hazards.

12.7 The Contractor’s staff shall be trained to recognise situations which involve an actual or potential hazard including:

12.7.1 danger of personal injury to any person on the Authority’s or Beneficiary’s premises and

a) where possible, without personal risk, make safe any such situation; or

b) report any such situation to the Authorised Officer;

12.7.2 fire risks and fire precautions and procedures including attendance at fire lectures/drills in accordance with the Authority’s or any Beneficiary’s policies;

12.7.3 security;

12.7.4 risk management;

12.7.5 major incident;

12.8 The Contractor shall provide such first aid facilities and ensure that his staff abide by such first aid procedures as shall be required by the Authority or any Beneficiary as detailed in the Specification.

12.9 The Contractor shall at any time ensure that the equipment used and procedures operated conform to the Authority’s or any Beneficiary’s Fire Policy as detailed in the Specification.

12.10 The Contractor shall co-operate with the Authority’s or any Beneficiary’s Fire, Security and Safety Advisors and shall comply with their reasonable instructions.

12.11 The Contractor will comply with the Control of Substances Hazardous to Health (COSHH) Regulations (as amended) and COSHH hazard management and control.

13 Location

13.1 Subject to satisfactory agreement between the Parties on price, the Authority reserves the right to increase or reduce the number of Locations under the Contract at any time during the Contract Period.

© Crown copyright NHS conditions of contract for the supply of services Page 26 of 132 13.2 Without prejudice to any other right or remedy the Authority will endeavour to give as much notice as possible of increases or reductions to the number of Locations under the Contract, although a minimum period of time is not specified in these conditions.

13.3 Upon completion of this Contract the Authority and any Beneficiary shall grant a non exclusive and revocable licence to the Contractor to enter upon the Locations for the sole purpose of providing the Services to the Authority and any Beneficiary, subject to the provisions of Clauses 5 and 26, for the term of the Contract. The licence thereby granted shall be subject to the conditions of the Contract and shall not be deemed to create a relationship of Landlord and Tenant as between the Authority or any Beneficiary and the Contractor.

14 Use of Authority Sites

14.1 The Authority and any Beneficiary shall during the Contract Period permit the Contractor to use in connection with the provision of the Services certain Sites at the Location as set out in the Specification.

14.2 The Contractor shall use the Sites only in connection with the provision of the Services and shall ensure that the Contractor’s staff use the Sites only for that purpose.

14.3 The Contractor shall ensure that the Sites have a clean, tidy and professional appearance at all times.

14.4 The permission given to the Contractor to use the said Sites is personal to the Contractor and the Contractor’s staff and shall cease immediately the Contract ceases to be in force. Only the Contractor’s own staff and persons making deliveries to the Contractor in connection with the provision of the Services may enter or use any part of the Sites without the prior written permission of the Authorised Officer.

14.5 For the avoidance of doubt it is hereby declared that the permission to enter and use the said Sites is not the grant of a tenancy of any part of the Sites. The Authority and any Beneficiary retains full possession and control over such Sites at all times and the Contractor shall not receive exclusive possession of, or any estate or interest in, any such Sites.

14.6 The Authority and any Beneficiary reserves the right at all times to permit third parties to use the Sites, subject to the rights granted to the Contractor pursuant to the Contract.

14.7 The Contractor shall keep the said Sites clean, tidy and properly secure.

14.8 The Authority and any Beneficiary will provide a sufficient supply of water, gas and electricity to operate equipment used to provide the Services.

14.9 The Authority and any Beneficiary will arrange for the disposal of refuse from authorised collection points as set out in the Specification.

© Crown copyright NHS conditions of contract for the supply of services Page 27 of 132 14.10 The Contractor will not alter or modify any part of the Sites without the written permission of the Authorised Officer, unless alteration or modification is part of the Services to be provided by the Contractor. If alteration or modification of the Sites is to be provided by the Contractor, Clause 27.4 will apply.

15 Equipment and Materials

15.1 The Contractor shall be responsible for the provision and installation of all equipment and materials used in connection with the Contract except where these are loaned to the Contractor by the Authority or any Beneficiary in accordance with Clause 16 or transferred into the ownership of the Contractor under Clause 15.13 and 15.14.

15.2 Where equipment and materials are supplied by the Authority or any Beneficiary these will be serviced and maintained by the Authority or that Beneficiary.

15.3 The Contract Manager shall forthwith inform the Authorised Officer of any defects appearing in or losses of, or damage, occurring to the Authority’s or any Beneficiary’s equipment. The Contractor shall be liable to pay to the Authority or that Beneficiary the cost of any replacement necessary as a result of loss or damage caused deliberately or negligently by the Contractor’s staff.

15.4 In accordance with the Specification, the Contractor will, at his own expense, install all necessary equipment for the provision of the Services.

15.5 The Contractor shall ensure that all equipment used in connection with the Contract is maintained in good working order in compliance with manufacturer’s instructions and current legislation.

15.6 All equipment and materials used by the Contractor shall comply with latest relevant British Standard or European equivalent specifications where such exist and the Contractor shall upon request furnish the Authorised Officer with evidence to prove that such equipment and materials comply with this condition.

15.7 The Contractor shall:

a) establish effective planned maintenance programmes; and

b) make adequate arrangements for emergency remedial maintenance, to ensure continuity of the Services; and

c) agree all equipment purchases with the Authority; and

d) ensure compliance with all regulations covering the inspection and testing of all equipment used at the Location in the provision of the Services; and

15.8 Any communication or electrical equipment used by the Contractor in connection with the Contract shall not cause any interference with or damage to any equipment used by the Authority or any Beneficiary.

15.9 Any communication or electrical equipment proposed to be used by the Contractor in connection with the Contract shall, at the discretion of the Authority be tested and approved by the Authority before use on the Authority’s or any Beneficiary’s premises.

15.10 Notwithstanding Clause 15.9 the Contractor shall be liable for any damage caused by any communication or electrical equipment used in connection with the Contract.

15.11 The Authority reserves the right to inspect equipment used by the Contractor in or about the provision of the Services at any time and the Contractor shall comply with any directions of the Authorised Officer as to the manner in which such equipment shall be used.

15.12 The Authority or any Beneficiary shall not be responsible, charged or chargeable for any equipment or materials brought on site by the Contractor.

15.13 At the commencement of the Contract all equipment transferred to the Contractor shall be valued by an independent valuer appointed jointly by the Authority and the Contractor. Ownership of this equipment shall be transferred to the Contractor without charge.

15.14 On conclusion of the Contract, all equipment, whether provided by the Contractor or transferred into the ownership of the Contractor by the Authority or any Beneficiary will be re-valued and transferred into the ownership of the Authority or that Beneficiary as set out in the Specification. Where there is any increase or decrease in value of the equipment, this shall be added to or deducted from the Contractor’s final payment. Transfer of the equipment to the Authority or any Beneficiary shall be without charge excepting any change in value.

16 Loan of Authority Equipment

16.1 The Contractor shall satisfy himself that any Loaned Equipment is suitable for the purpose intended.

16.2 The Contractor shall be liable for any damage to any Loaned Equipment caused by misdirection or misuse due to negligence on the part of the Contractor, his servants or agents.

16.3 The Authority or any Beneficiary shall not be liable for any damage to the Loaned Equipment caused by a defect in or faulty operation of the Loaned Equipment.

© Crown copyright NHS conditions of contract for the supply of services Page 29 of 132 16.4 The Authority or any Beneficiary shall have the right to withdraw Loaned Equipment at any time and shall be under no liability whatsoever for failing to lend equipment at any time.

17 Assignment

17.1 The Contractor shall not assign the whole or any part of the Contract without the prior written consent of the Authority.

17.2 Subject to 17.1 if consent to assign is requested from the Authorised Officer:

17.2.1 the Authority may insist upon the production to it (inter alia) of all reasonable information and documentation relevant to

a) the financial liability;

b) competence; and

c) relevant experience of the proposed assignee

d) as reasonable and valid conditions of their consent under Clause 17.1;

17.2.2 the contractor must warrant that the contractor and assignee will fully comply with Clause 20;

17.2.3 the Contractor must engage the most appropriate and qualified assignee to undertake the supply of the Services.

18 Sub-Contractors

18.1 The Contractor shall not sub-contract the supply of any Services without the previous consent in writing of the Authorised Officer (such consent not to be unreasonably withheld).

18.2 Subject to Clause 18.1 if consent to sub-contract is requested from the Authorised Officer:

18.2.1 the Authority may insist upon the production to it (inter alia) of all reasonable information and documentation relevant to

a) the financial liability;

b) competence; and

c) relevant experience of the proposed sub-contractor

as reasonable and valid conditions of their consent under Clause 18.1;

© Crown copyright NHS conditions of contract for the supply of services Page 30 of 132 18.2.2 the contractor must warrant that appropriate and adequate insurance is in place for the life of the sub-contract and that the contractor and sub-contractor will fully comply with Clause 20;

18.2.3 the Contractor must engage the most appropriate and qualified subcontractor to undertake the supply of the Services.

19 Limitation of liability

19.1 Neither Party shall be liable to the other Party for any loss or damage, costs or expenses incurred or suffered by the other Party as a result of any breach of the terms of the Contract, unless the same were in the reasonable contemplation of the Parties at the time when they entered into the Contract.

19.2 Except in the case of death or personal injury caused by negligence, and fraudulent misrepresentation or in other circumstances where liability may not be so limited under any applicable law, the liability of either Party under or in connection with the Contract, whether arising in contract, tort, negligence, breach of statutory duty or otherwise shall not exceed the sum of £5 million in any one Year.

19.3 The Contract Price of the Services under the Contract has been negotiated and agreed on the basis that the Parties may limit their liability to each other as set out in the Contract and the Parties each confirm that they will themselves bear or insure against any loss for which the other Party has limited its liability under the Contract.

20 Insurance

20.1 The Contractor shall insure against its liability under Clause 19.2 with a minimum limit of indemnity of £5 million per annum or such other sum as may be agreed between the Authority and the Contractor in writing. The Contractor shall maintain professional indemnity insurance to cover all liability under the Contract and provide evidence of such professional indemnity insurance as the Authority may reasonably request from time to time.

20.2 The Contractor shall hold employer's liability insurance in respect of the Contractor’s staff in accordance with any legal requirement for the time being in force.

21 Review

21.1 The Contractor shall attend formal, minuted review meetings (each such meeting being a "Review"), as required by the Authorised Officer, to discuss the Authority's levels of satisfaction in respect of the Services provided under the Contract and to agree any necessary action to address areas of dissatisfaction. The Contractor will not obstruct or withhold its agreement to any such necessary action. Such Reviews shall be attended by duly authorised and sufficiently senior employees of both the Authority and the

© Crown copyright NHS conditions of contract for the supply of services Page 31 of 132 Contractor together with any other relevant attendees. The Parties shall agree a standing agenda for such Reviews.

22 Variation of the contract

22.1 Any variation to the terms of the Contract must be recorded in writing and executed by a director or company secretary (if the Contractor is a company) or an authorised signatory of the Contractor (if the Contractor is not a company) and the Authorised Officer. Such record of the variation in question must address all consequential amendments required to be made to the Contract as a result of such variation, including adjustment to the Contract Price.

22.2 Variations will take effect as from the date specified in the signed record of variation and shall not have retrospective effect unless expressly provided for in such record.

22.3 Each record of variation must be dated and sequentially numbered. Each of the Authority and the Contractor will be entitled to an original executed counterpart of the record of variation.

22.4 Save as provided in any such record of variation, the Contract will continue in full force and effect.

23 Variation of the Specification

23.1 The Authority may at any time propose to the Contractor any reasonable variation or addition to the Specification and the Contractor shall not unreasonably withhold or delay its consent to such variation.

23.2 No such variation or addition shall affect the continuation of the Contract.

24 Dispute Resolution Procedure

24.1 During any dispute, including a dispute as to the validity of the Contract, it is mutually agreed that the Contractor shall continue its performance of the provisions of the Contract (unless the Authority or any Beneficiary requests in writing that the Contractor does not do so).

24.2 If a dispute arises between the Authority or any Beneficiary and the Contractor in relation to any matter which cannot be resolved by the Authorised Officer and the Contractor Manager either of them may refer such dispute to the Dispute Resolution Procedure.

24.3 In the first instance each of the Authority or such Beneficiary and the Contractor shall arrange for a more senior representative than those referred to in Clause 24.2 to meet solely in order to resolve the matter in dispute. Such meeting(s) shall be minuted and shall be chaired by the Authority or such Beneficiary (but the chairman shall not have a casting vote). Such meeting(s) shall be conducted in such manner and at such venue (including a

© Crown copyright NHS conditions of contract for the supply of services Page 32 of 132 meeting conducted over the telephone) as to promote a consensual resolution of the dispute in question at the discretion of the chairman.

24.4 If the meeting(s) referred to in Clause 24.3 does not resolve the matter in question then the Parties will attempt to settle it by mediation in accordance with the Centre for Effective Dispute Resolution ("CEDR") Model Mediation Procedure or any other model mediation procedure as agreed by the Parties. To initiate a mediation the Parties may give notice in writing (a "Mediation Notice") to the other requesting mediation of the dispute and shall send a copy thereof to CEDR or an equivalent mediation organisation as agreed by the Parties asking them to nominate a mediator. The mediation shall commence within 28 days of the Mediation Notice being served. Neither Party will terminate such mediation until each of them has made its opening presentation and the mediator has met each of them separately for at least one hour. Thereafter paragraph 14 of the Model Mediation Procedure will apply (or the equivalent paragraph of any other model mediation procedure agreed by the Parties). Neither Party to the mediation will commence legal proceedings against the other until 30 days after such mediation of the dispute in question has failed to resolve the dispute. The Parties will co- operate with any person appointed as mediator providing him with such information and other assistance as he shall require and will pay his costs, as he shall determine or in the absence of such determination such costs will be shared equally.

25 Environmental Considerations

25.1 The Contractor shall comply in all material respects with applicable environmental laws and regulations in force from time to time in relation to the Services. Where the provisions of any such legislation are implemented by the use of voluntary agreements or codes of practice, the Contractor shall comply with such agreements or codes of practices as if they were incorporated into English law subject to those voluntary agreements being cited in tender documentation.

25.2 Without prejudice to the generality of the foregoing, the Contractor shall:

25.2.1 comply with all reasonable stipulations of the Authority or any Beneficiary aimed at minimising packaging in which any products supplied by the Contractor to the Authority or any Beneficiary, as part of the performance, of the Services are supplied;

25.2.2 promptly provide such data as may reasonably be requested by the Authority or any Beneficiary from time to time regarding the weight and type of packaging according to material type used in relation to all products supplied to the Authority or any Beneficiary under or pursuant to the Contract;

25.2.3 comply with all obligations imposed on it in relation to any products supplied to the Authority or any Beneficiary as part of the performance of the Services by the Producer Responsibility

© Crown copyright NHS conditions of contract for the supply of services Page 33 of 132 Obligations (Packaging Waste) Regulations 2007 (or any other equivalent legislation giving effect in any part of the European Economic Area to the Packaging and Packaging Waste Directive 94/62/EC);

25.2.4 label all products supplied to the Authority or any Beneficiary by the Contractor under the Contract and the packaging of those products, to highlight environmental and safety information as required by applicable UK and EU legislation;

25.2.5 unless otherwise agreed with the Authority or any Beneficiary, insofar as any products supplied under the Contract comprise or include electrical or electronic equipment, manage the said equipment and associated consumables at end of life to facilitate recovery, treatment, recycling and provide any information which the Authority or any Beneficiary may reasonably require from time to time regarding the costs of such activity;

25.2.6 promptly provide all such information regarding the environmental impact of any products supplied or used under the Contract as may reasonably be required by the Authority or any Beneficiary to permit informed choices by end users;

25.2.7 where goods are imported in to the UK then for the purposes of the Producer Responsibility Obligations (Packaging Waste) Regulations 2007 the Contractor shall assume the rolled-up obligations for all activities performed outside the United Kingdom in relation to the goods and the packaging which is used for the containment, protection, handling, delivery and presentation of the goods in addition to any other obligations he may have pursuant to the said regulations.

25.3 The Contractor shall meet all reasonable requests by the Authority or any Beneficiary for information evidencing the Contractor’s compliance with the provisions of this Clause.

26 Termination

26.1 The Authority may terminate the Contract (in whole or in part) by serving written notice on the Contractor in any of the following circumstances:-

26.1.1 a material failure (in whole or in part) by the Contractor to perform any material obligation of the Contractor under Clauses 2, 3, 4, 10, 11, 12, 17 18, 20, 22, 25, 29, 3035, 36, 37, 38, 39, 41 and 42 provided that (if capable of remedy) such failure has not been remedied to the Authority's reasonable satisfaction within a period of 30 days following written notice demanding remedy of the failure in question being served by the Authority on the Contractor; or

© Crown copyright NHS conditions of contract for the supply of services Page 34 of 132 26.1.2 the Contractor fails (in whole or in part) to perform any material obligation of the Contractor owed to the Authority or any Beneficiary on more than 3 occasions; or

26.1.3 the Contractor becomes Insolvent or otherwise ceases to be capable of providing the Services; or

26.1.4 the Contractor is in default of any duty of care or any fiduciary or statutory duty owed to the Authority and/or any Beneficiary and/or any patient, employee or agent of the Authority or, as the case may be, any Beneficiary; or

26.1.5 there is a change of ownership or control of the Contractor which, in the reasonable opinion of the Authority will have a material impact on the provision of the Services or the image of the Authority; or

26.1.6 the Contractor purports to assign the Contract in breach of Clause 17; or

26.1.7 the Contractor shall have offered or given or agreed to give to any person any gift or consideration of any kind as an inducement or reward for doing or forbearing to do, or for having done or forborne to do, any action in relation to the obtaining or execution of the Contract or any other contract with the Authority or, as the case may be, any Beneficiary, or for showing or forbearing to show favour or disfavour to any person in relation to the Contract or any other contract with the Authority or, as the case may be, any Beneficiary; or similar acts have been done by any person employed by it or acting on its behalf (whether with or without the knowledge of the Contractor); or

26.1.8 if in relation to the Contract or any other contract with the Authority or, as the case may be, any Beneficiary the Contractor or any person employed by it or acting on its behalf shall have committed any offence under the Prevention of Corruption Acts 1889 to 1916, or shall have given any fee or reward to any officer of the Authority or, as the case may be, Beneficiary which shall have been exacted or accepted by such officer under colour of his office or employment and is otherwise than such officer’s proper remuneration.

26.2 The Authority and any Beneficiary shall be entitled to recover from the Contractor the amount of any Loss resulting from termination under Clause 26.1. For the purpose of this Clause, Loss shall include reasonable cost to the Authority and any Beneficiary of the time spent by its officers in terminating the Contract and in making alternative arrangements for the provision of the Services.

26.3 The Contractor may terminate the Contract in the following circumstance, by giving 6 month’s written notice:

26.3.2 the Contractor has brought the breach of Contract to the attention of the Authorised Officer; and

26.3.3 the Authority or such Beneficiary has not corrected the said breach of Contract within a reasonable period of time.

26.4 The Contractor agrees that upon termination for any reason (under Clause 26.1 or otherwise) or expiry of the Contract it shall not be entitled to make a claim against the Authority or any Beneficiary in relation to costs incurred by the Contractor in providing the Services or costs incurred in acquiring equipment and/or materials used in the provision of the Services or in engaging third parties in connection with the Services whether or not such costs were amortised in the calculation of the Contract Price payable by the Authority or any Beneficiary under the Contract. For the avoidance of doubt, the Contractor will not be restricted from making any claim in respect of the Contract Price to the extent the Contract Price is outstanding and due and payable.

26.5 The Authority and the Contractor agree that termination (in whole or in part) or expiry of the Contract shall not affect either Party's obligations which the Contract provides shall survive the termination or expiry of the Contract or the continuance of the part or parts not terminated where the Contract is terminated in part only.

26.6 Any termination (in whole or in part) of the Contract will not prejudice the rights, obligations and duties of each Party arising prior to such termination taking effect.

27 Arrangements on Termination

27.1 The Authority and the Contractor agree that termination or expiry of the Contract shall not affect either Party's obligations which the Contract provides shall survive the expiration or termination of the Contract.

27.2 After termination or expiry all data, documents and records (whether stored electronically or otherwise) relating in whole or in part to the Services (including any Deliverables which remain to be completed as at the date of termination or expiry) and all other items provided on loan or otherwise to the Contractor by the Authority or, as the case may be, any Beneficiary shall be delivered by the Contractor to the Authority or, as the case may be, any Beneficiary provided that the Contractor shall be entitled to keep copies thereof to the extent that the information contained therein does not relate solely to the Services or to the extent that the Contractor is required by law to maintain copies thereof or to the extent that the Contractor was possessed of such data documents and records prior to the date of the Contract. In addition, the Contractor shall co-operate fully with the Authority or, as the case may be, any Beneficiary during the handover leading to the termination

© Crown copyright NHS conditions of contract for the supply of services Page 36 of 132 of the Contract. This co-operation shall extend to full access to all documents, reports, summaries and any other information required to achieve an effective transition without disruption to routine operational requirements.

27.3 The Contractor shall retain all papers, files, records and vouchers relating to the provision of the Services as provided for under Clause 27.2 for the period of 12 years after the date of the termination of the Contract and thereafter shall not destroy them but deliver them to the Authority or, as the case may be, any Beneficiary.

27.4 Upon termination of the Contract under Clause 26.1, all equipment and materials provided and/or assembled by (or which are in the process of being provided or assembled by) the Contractor or materials and parts of Sites or Locations which are being altered or modified by the Contractor, in accordance with the Contract shall be transferred into the ownership of the Authority or any Beneficiary regardless of whether the assembly of such equipment and materials or the alteration or modification of such Sites or Locations has been completed.

28 Re-tendering and Handover

28.1 Within 21 days of being so requested by the Authority, the Contractor shall provide and thereafter keep updated, in a fully indexed and catalogued format, all the information necessary to enable the Authority to issue invitations to offer for the future provision of the Services, including but not limited to all employee liability information identified in Regulation 11 of TUPE.

28.2 Where, in the opinion of the Authority, TUPE is likely to apply on the termination or expiration of the Contract, the information to be provided by the Contractor under 28.1 shall include, as applicable, accurate information relating to the employees who would be transferred under the same terms of employment under those Regulations, including in particular (but not limited to):

28.2.1 the number of employees who would be transferred, including their names;

28.2.2 in respect of each of those employees, their dates of birth, sex, salary, length of service, hours of work and rates, and any other factors affecting redundancy entitlement, any specific terms applicable to those employees individually and any outstanding claims arising from their employment;

28.2.3 the general terms and conditions applicable to those employees, including Whitley Council provisions, probationary periods, retirement age, periods of notice, current pay agreements and structures, special pay allowances, working hours, entitlement to annual leave, sick leave, maternity and special leave, injury benefit, redundancy rights, terms of mobility, any loan or leasing agreements, and any other relevant collective agreements, facility

© Crown copyright NHS conditions of contract for the supply of services Page 37 of 132 time arrangements, additional employment benefits and any other particulars of employment that an employer is obliged to give to an employee pursuant to Section 1 of the Employment Rights Act 1996;

28.2.4 information of any disciplinary or grievance procedure taken against or by an employee within the previous two years;

28.2.5 information of any court or tribunal case, claim or action brought by an employee against the Contractor within the previous two years and any information that the Contractor has reasonable grounds to believe that an employee may bring any court or tribunal case, claim or action against the Authority or Replacement Contractor arising out of the employee’s employment with the Contractor.

28.3 The Authority shall take all necessary precautions to ensure that the information referred to in Clause 28.1 is given only to Replacement Contractors who have qualified to offer for the future provision of services. The Authority shall require that such Replacement Contractors shall treat that information in confidence, that they shall not communicate it except to such persons within their organisation and to such extent as may be necessary for the purpose of preparing a response to an invitation to offer issued by the Authority and that they shall not use it for any other purpose.

28.4 Subject to Clause 19, the Contractor shall indemnify the Authority against any claim made against the Authority at any time by any person in respect of any liability incurred by the Authority arising from any deficiency or inaccuracy in information, which the Contractor is required to provide under Clause 28.2.

28.5 The Contractor shall allow access to the Sites, in the presence of a representative of the Authority, to any person representing any Replacement Contractor whom the Authority has selected to offer for the future provision of services. For the purpose of such access, where the site is on the Contractor’s premises, the Authority shall give the Contractor seven days’ notice of a proposed visit together with a list showing the names of all persons who will be attending those premises.

28.6 All persons who attend the Contractor’s premises for the purposes of Clause 28.5 shall comply with the Contractor’s security procedures, subject to such compliance not being in conflict with the objective of the visit.

28.7 The Contractor shall co-operate fully with the Authority during the handover arising from the completion or earlier termination of the Contract. This co- operation, during the setting up operations period of the Replacement Contractor, shall extend to allowing full access to, and providing copies of all documents, reports, summaries and other information necessary in order to achieve an effective transition without disruption to the routine operational requirements.

28.8 Within ten working days of being so requested by the Authority, the Contractor shall transfer to the Authority, or any person designated by the Authority, free

© Crown copyright NHS conditions of contract for the supply of services Page 38 of 132 of charge, all computerised filing, recordings, documentation, planning and drawings held on software and utilised in the provision of the services. The transfer shall be made in a fully indexed and catalogued disk format to operate on a proprietary software package identical to that used by the Authority.

29 TUPE

29.1 The Parties hereby acknowledge that, subject to the right of employees under Regulation 4(7) of TUPE, TUPE will operate to transfer each of the Employees to the Contractor on the Commencement Date which shall be the “time of transfer” under TUPE.

29.2 If in relation to any or all of the Employees the transfer of their employment occurs on any date before the Commencement Date, the provisions of Clause 29.1 and this Clause generally will apply to those Employees as if references to the Commencement Date were references to that date.

29.3 If it is determined by a Tribunal or other court of competent jurisdiction or as a result of a change of law that TUPE does not apply at or immediately before the Commencement Date the Contractor shall ensure that it is able to and does use all or any of those who would have been Employees had TUPE applied to the provision of the Services by the Contractor from the Commencement Date on the terms set out in this Clause.

29.4 Where Clause 29.3 applies the relevant Parties shall co-operate generally with a view to securing in a timely and economical manner that, where possible, the employees shall come to be employed by the Contractor.

29.5 Subject to Clause 19, the Contractor shall indemnify and keep indemnified the Authority against any Loss incurred by the Authority connected with or arising from any claim or proceedings by any trade union, elected employee representative, staff association, or Employee made against the Authority in respect of any or all of the Employees or any other employee of the Contractor and which arises from or is connected with any failure by the Contractor to comply with its legal obligations in relation thereto whether under Section 188 of the Trade Union and Labour Relations (Consolidation) Act 1992 or Regulations 11, 13 and/or 14 of TUPE.

29.6 Subject to Clause 19, the Contractor shall indemnify and keep indemnified the Authority against any Loss incurred by the Authority connected with or arising from the contract of employment or any policy applicable to, or any collective agreement in respect of any Employee or of any other person at any time employed by (or engaged as a consultant by) the Contractor made against the Authority at any time for breach of such contract, policy or any such collective agreement, including but not limited to any claims relating to pay, unfair dismissal, statutory or contractual redundancy pay, discrimination on grounds of sex, race, disability, religion or belief, sexual orientation, or age, equal pay, unlawful deductions, loss of earnings, industrial or personal injury or otherwise relating to their employment by the Authority and which results from any act,

© Crown copyright NHS conditions of contract for the supply of services Page 39 of 132 fault or omission of the Contractor while such Employees were or such other person was employed by the Contractor.

29.7 Subject to Clause 19, the Contractor shall indemnify and keep indemnified the Authority against any Loss incurred from any change or proposed change to the terms and conditions of employment of any Employees where such change is or is proposed to be effected following the transfer of any such person pursuant to the Contract and in respect of any Loss incurred by the Authority arising from the employment or proposed employment of any such Employee otherwise than on terms the same as those enjoyed by any such person immediately prior to such transfer.

29.8 Upon the day which is six months before the Termination Date or as soon as the Contractor is aware of the proposed termination of the Contract or the provision by it of the Services the Contractor shall upon the request of the Authority and to the extent permitted by law, supply to the Authority all information required by the Authority as to the terms and conditions of employment and employment history of any employees (including all employee liability information identified in Regulation 11 of TUPE) then assigned by the Contractor to the provision of the Services and shall warrant the accuracy of such information.

29.9 Except with the prior written consent of the Authority, the Contractor shall not vary any terms and conditions of employment of any employee or any policy or collective agreement applicable to any employee then assigned by the Contractor to the provisions of the Services (provided always that this provision shall not affect the right of the Contractor to give effect to any pre- existing contractual obligation to any such employee) nor remove or replace any particular employee so assigned (unless requested by such employee or upon the resignation of such employee in which case the Contractor shall replace such person with another person of similar skills, qualifications and experience) after the Authority has served notice of the termination of the Contract or after the Contractor shall have otherwise become aware of the proposed termination of the Contract or the provision by it of the Services.

29.10 On the termination of the Contract, where there is no transfer pursuant to TUPE such that employees assigned by the Contractor to the provision of the Services do not transfer to a Replacement Contractor, the Contractor shall use reasonable endeavours to procure that the Relevant NHS body or Replacement Contractor as the case may be may use any such employees in the provision of services equivalent to the Services from the date of expiry or termination for a period of up to 12 months thereafter.

29.11 The Contractor shall (save where it would be a criminal offence or otherwise unlawful so to do) in conducting the recruitment for any post which may come to be filled by a new appointee:

29.11.1 question any such person concerning their previous convictions and/or cautions, pending prosecutions, convictions, cautions and binding over orders (including any spent convictions as contemplated by

© Crown copyright NHS conditions of contract for the supply of services Page 40 of 132 Section 1(1) of the Rehabilitation of Offenders Act 1974 by virtue of the exemptions specified in Part II of Schedule 1 of the Rehabilitation of Offenders Act (Exemptions) Order 1975 (SI 1975/1023) or any replacement or amendment to that Order) (“Convictions”); and

29.11.2 require all applicants for employment in such a post to complete an application form in which they are required to disclose all such Convictions and to consent to such details being made available to the Authority; and

29.11.3 in the case of any such applicant who may reasonably be expected in the course of their employment to have substantial access to children are required to complete a police check form; and

29.11.4 in the event that such applicant who discloses any Convictions or who is found to have any Convictions following completion of a police check or who declines or refuses to complete the application form referred to in Clause 29.11.2 above, the Contractor shall not employ such applicant.

29.12 The Contractor shall at all times keep the Authority informed of any employee of the Contractor performing any of the Services who subsequent to his or her commencement of employment with the Contractor receives a Conviction or in respect of whom any previous Convictions become known to the Contractor and if the Authority, acting reasonably, considers that the Conviction has a material bearing upon the suitability of the individual concerned to be engaged in the provision of the Services, such person shall only continue to have access to the persons receiving health services and/or have substantial access to children with the Authority’s prior written consent. The Contractor shall indemnify and keep indemnified the Authority against any Loss arising out of any claim by any person in respect of whom the Authority denies consent to continue to provide Services as a result of such person disclosing or receiving a Conviction.

29.13 The Contractor shall procure that all persons appointed by the Contractor to provide any of the Services shall undergo pre-employment health screening to establish in each case whether such person is medically fit for his or her proposed tasks in the provision of any of the Services, such medical screening to be undertaken at the Contractor’s cost.

29.14 Records of all pre-employment health screenings shall be held by the Contractor and produced for inspection upon request by the Authority and the Contractor shall procure that the individual member of staff concerned has given his or her written consent to such inspection.

29.15 The Contractor shall ensure that all persons appointed to provide any of the Services are medically fit for his or her proposed tasks in the provision of the Services and the Contractor shall indemnify and keep indemnified the

30 Code of Practice on Workforce Matters – PLEASE NOTE THIS CLAUSE IS NO LONGER APPLICABLE

All clauses have been removed 31 Intellectual Property

31.1 Subject to Clause 19, the Contractor agrees to indemnify and keep indemnified the Authority and any Beneficiary against any costs, claims, proceedings, expenses and demands arising from the use, application, supply or delivery of any Deliverable, process, article, matter or thing supplied under the Contract that would constitute or is alleged to constitute any infringement of any person's Intellectual Property Rights.

32 Electronic Product Information

32.1 The Contractor shall provide the Authority or, as the case may be, any Beneficiary the Service Information in such manner and upon such media as agreed between the Contractor and the Authority or, as the case may be, any Beneficiary from time to time for the sole use by the Authority and any Beneficiary.

32.2 The Contractor warrants that the Service Information is complete and accurate as at the date upon which it is delivered to the Authority or, as the case may be, any Beneficiary and that the Service Information does not contain any data or statement which gives rise to any liability on the part of the Authority or, as the case may be, any Beneficiary following publication of the same in accordance with this Clause 32.

32.3 In the event the Service Information ceases to be complete and accurate, the Contractor shall promptly notify the Authority or, as the case may be, any Beneficiary in writing of any modification or addition to or any inaccuracy or omission in the Service Information.

32.4 The Contractor grants the Authority or, as the case may be, any Beneficiary a non-exclusive royalty free licence in perpetuity to use and exploit the Service Information and any Intellectual Property therein for the purpose of illustrating the range of goods and services (including, without limitation, the Services) available pursuant to the Authority or any Beneficiary contracts from time to time. No right to illustrate or advertise the Product Information is granted to the Contractor by the Authority or any Beneficiary as a consequence of the licence conferred by this Clause 32.4 or otherwise under the terms of this Contract.

32.5 The Authority or, as the case may be, any Beneficiary may reproduce for its sole use the Service Information provided by the Contractor in the Authority's catalogue and/or any Beneficiary's catalogue from time to time which shall be

© Crown copyright NHS conditions of contract for the supply of services Page 42 of 132 made available on the National Health Service internal communications network in electronic format or made available on the Authority's external website and/or any Beneficiary's external website or any other electronic media of the Authority or any Beneficiary (as the case may be) from time to time.

32.6 Before any publication of the Service Information (electronic or otherwise) is made by the Authority or, as the case may be, any Beneficiary, the Authority or, as the case may be, any Beneficiary will submit a copy of the relevant sections of the Authority's catalogue or any Beneficiary's catalogue (as the case may be) to the Contractor for approval, such approval not to be unreasonably withheld or delayed. For the avoidance of doubt the Contractor shall have no right to compel the Authority or any Beneficiary to exhibit the Product Information in any product catalogue as a result of the approval given by it pursuant to this Clause 32.6 or otherwise under the terms of this Contract.

32.7 If requested in writing by the Authority or, as the case may be, any Beneficiary, the Contractor and the Authority or, as the case may be, any Beneficiary shall forthwith negotiate in good faith an agreement to use the Electronic Trading Systems.

32.8 Subject to Clauses 19 and 32.9, the Contractor agrees to indemnify and keep indemnified the Authority and/or any Beneficiary against any liability, loss, costs, expenses, claims or proceedings whatsoever arising out of or in connection with any statement relating to the goods and services (including, without limitation, the Services) or information or material on or description of the goods and services (including, without limitation, the Services) provided by or on behalf of the Contractor which is included in the Authority's catalogue or any Beneficiary's catalogue from time to time (as the case may be) or any associated material produced by the Authority or any Beneficiary (as the case may be) for the purpose of illustrating the range of goods and services (including, without limitation, the Services) available pursuant to the Authority or Beneficiary contracts from time to time.

32.9 The Contractor shall not be required to indemnify or keep indemnified the Authority and/or the Beneficiary against any liability, loss, costs, expenses, claims or proceedings whatsoever arising under Clause 32.8 as a result of the Authority or Beneficiary's wilful or negligent misrepresentation of any statement relating to the goods and services (including, without limitation, the Services) or information or material on or description of the goods and services (including, without limitation, the Services) provided by or on behalf of the Contractor which is included in the Authority's catalogue or any Beneficiary's catalogue from time to time (as the case may be) or any associated material produced by the Authority or any Beneficiary (as the case may be) for the purpose of illustrating the range of goods and services (including, without limitation, the Services) available pursuant to the Authority or Beneficiary contracts from time to time.

33.1 If requested by the Authority or any Beneficiary, the Contractor shall provide the Authority or, as the case may be, any Beneficiary with statements giving accurate and complete details of the quantity and value of the Services provided by the Contractor to the Authority pursuant to the Contract. The frequency, format and level of detail to be included in such statements shall be as specified by the Authority in the Order (or, if no such description is set out in or attached to the Order, as set out in or attached to any documentation inviting the Contractor to tender for the appointment to provide the Services, including any documentation issued, or made available, to the Contractor by any Beneficiary).

33.2 The Contractor shall keep at its normal place of business detailed, accurate and up to date records of the quantity and value of the Services provided by it to any Authority or, as the case may be, any Beneficiary, on or after the date of the Contract and pursuant to the Contract together with accurate details of the identity of the Authority or, as the case may be, any Beneficiary to which such Services were provided. Subject to any other auditing process being agreed between the Authority or, as the case may be, any Beneficiary and the Contractor in writing, the Authority or, as the case may be, any Beneficiary shall be entitled by prior appointment to enter the Contractor’s normal place of business during normal office hours and to inspect such records in order to verify whether any statement supplied by the Contractor to the Authority or, as the case may be, any Beneficiary pursuant to Clause 33.1 is accurate and complete.

34 Audit and Accounts

34.1 For the purpose of:

34.1.1 the examination and certification of the Beneficiary’s accounts; or

34.1.2 any examination pursuant to section 6(1) of the National Audit Act 1983 or any re-enactment thereof of the economy, efficiency and effectiveness with which the Beneficiary has used its resources,

34.2 the Comptroller and Auditor General and the Beneficiary or its auditors may examine such documents as he may reasonably require which are owned, held or otherwise within the control of the Contractor and may require the Contractor to produce such oral or written explanation as he considers necessary. The Contractor acknowledges that it will fully cooperate with any counter fraud policy or investigation, whether carried out by the NHS Counter Fraud and Security Management Service, or any equivalent body, successor or function, at any time. For the avoidance of doubt it is hereby declared that the carrying out of an examination under Section 6(3)(d) of the National Audit

© Crown copyright NHS conditions of contract for the supply of services Page 44 of 132 Act 1983 or any re-enactment thereof in relation to the Contractor is not a function exercisable under this contract.

35 Confidentiality

35.1 In respect of any Confidential Information it may receive from the other party (“the Discloser”) and subject always to the remainder of this Clause 35, each party (“the Recipient”) undertakes to keep secret and strictly confidential and shall not disclose any such Confidential Information to any third party, without the Discloser’s prior written consent provided that:

35.1.1 the Recipient shall not be prevented from using any general knowledge, experience or skills which were in its possession prior to the commencement of the Contract;

35.1.2 the provisions of this Clause 35 shall not apply to any Confidential Information which:-

(a) is in or enters the public domain other than by breach of the Contract or other act or omissions of the Recipient;

(b) is obtained by a third party who is lawfully authorised to disclose such information; or

(c) is authorised for release by the prior written consent of the Discloser; or (d) the disclosure of which is required to ensure the compliance of the Authority or (as the case may be) any Beneficiary with the Freedom of Information Act 2000 (the FOIA).

35.2 Nothing in this Clause 35 shall prevent the Recipient from disclosing Confidential Information where it is required to do so by judicial, administrative, governmental or regulatory process in connection with any action, suit, proceedings or claim or otherwise by applicable law or, where the Contractor is the Recipient, to the Contractor's immediate or ultimate holding company provided that the Contractor procures that such holding company complies with this Clause 35 as if any reference to the Contractor in this Clause 35 were a reference to such holding company.

35.3 The Contractor authorises the Authority and any Beneficiary to disclose the Confidential Information to such person(s) as may be notified to the Contractor in writing by the Authority from time to time to the extent only as is necessary for the purposes of auditing and collating information so as to ascertain a realistic market price for the Goods supplied in accordance with the Contract, such exercise being commonly referred to as "benchmarking". The Authority and any Beneficiary shall use all reasonable endeavours to ensure that such person(s) keeps the Confidential Information confidential and does not make use of the Confidential Information except for the purpose for which the disclosure is made. The Authority and any Beneficiary shall not without good reason claim that the lowest price available in the market is the realistic market price.

35.4 The Contractor acknowledges that the Authority and Beneficiaries are or may be subject to the FOIA. The Contractor notes and acknowledges the FOIA and both the respective Codes of Practice on the Discharge of Public Authorities' Functions

© Crown copyright NHS conditions of contract for the supply of services Page 45 of 132 and on the Management of Records (which are issued under section 45 and 46 of the FOIA respectively) and the Environmental Information Regulations 2004 as may be amended, updated or replaced from time to time. The Contractor will act in accordance with the FOIA, these Codes of Practice and these Regulations (and any other applicable codes of practice or guidance notified to the Contractor from time to time) to the extent that they apply to the Contractor's performance under the Contract.

35.5 The Contractor agrees that:

35.5.1 without prejudice to the generality of Clause 35.2, the provisions of this Clause 35 are subject to the respective obligations and commitments of the Authority and any Beneficiary (as the case may be) under the FOIA and both the respective Codes of Practice on the Discharge of Public Authorities' Functions and on the Management of Records (which are issued under section 45 and 46 of the FOIA respectively) and the Environmental Information Regulations 2004;

35.5.2 subject to Clause 35.5.3, the decision on whether any exemption applies to a request for disclosure of recorded information is a decision solely for the Authority or a Beneficiary (as the case may be);

35.5.3 where the Authority or a Beneficiary is managing a request as referred to in Clause 35.5.2, the Contractor shall co-operate with the Authority or Beneficiary making the request and shall respond within five (5) working days of any request by it for assistance in determining how to respond to a request for disclosure.

35.6 The Contractor shall and shall procure that its sub-contractors shall:

35.6.1 transfer any request for information, as defined under section 8 of the FOIA, to the Authority or a Beneficiary as soon as practicable after receipt and in any event within five (5) working days of receiving a request for information;

35.6.2 provide the Authority or a Beneficiary with a copy of all information in its possession or power in the form that the Authority or a Beneficiary requires within five (5) working days (or such other period as the Authority or a Beneficiary may specify) of the Authority or a Beneficiary requesting that Information; and

35.6.3 provide all necessary assistance as reasonably requested by the Authority or a Beneficiary to enable the Authority or a Beneficiary to respond to a request for information within the time for compliance set out in section 10 of the FOIA.

35.7 The Authority or Beneficiary (as the case may be) may consult the Contractor in relation to any request for disclosure of the Contractor's Confidential Information in accordance with all applicable guidance.

35.8 The Parties, including a Beneficiary, acknowledge that, except for any information which is exempt from disclosure in accordance with the provisions of the FOIA, the content of this Contract is not Confidential Information. The Authority or Beneficiary shall be responsible for determining in its absolute discretion whether any of the

35.9 Notwithstanding any other term of this Contract, the Contractor hereby gives his consent for the Authority or the Beneficiary to publish the Contract in its entirety, including from time to time agreed changes to the Contract, to the general public. 35.10 The Authority or the Beneficiary may consult with the Contractor to inform its decision regarding any redactions but the Authority or the Beneficiary shall have the final decision in its absolute discretion. 35.11 The Contractor shall assist and cooperate with the Authority or the Beneficiary to enable the Authority or the Beneficiary to publish this Contract.

35.12 This Clause 35 shall remain in force without limit in time in respect of Confidential Information which comprises Personal Data or which relates to a patient, his or her treatment and/or medical records. Save as aforesaid and unless otherwise expressly set out in the Contract, this Clause 35 shall remain in force for a period of 3 years after the termination or expiry of this Contract.

35.13 In the event that the Contractor fails to comply with this Clause 35, the Authority reserves the right to terminate the Contract by notice in writing with immediate effect.

35.14 The parties acknowledge that, except for any information which is exempt from disclosure in accordance with the provisions of the FOIA, the content of this Contract is not Confidential Information. The Authority shall be responsible for determining in its absolute discretion whether any of the content of the Contract is exempt from disclosure in accordance with the provisions of the FOIA. Notwithstanding any other term of this Contract, the Contractor hereby gives his consent for the Authority to publish the Contract in its entirety, (but with any information which is exempt from disclosure in accordance with the provisions of the FOIA redacted) including from time to time agreed changes to the Agreement, to the general public.

36 Data Protection

36.1 The Contractor shall comply with the Data Protection Act 1998 ("the 1998 Act") and any other applicable data protection legislation. In particular the Contractor agrees to comply with the obligations placed on the Authority and any Beneficiary by the seventh data protection principle ("the Seventh Principle") set out in the 1998 Act, namely:

36.1.1 to maintain technical and organisational security measures sufficient to comply at least with the obligations imposed on the Authority and any Beneficiary by the Seventh Principle;

36.1.2 only to process Personal Data for and on behalf of the Authority and any Beneficiary, in accordance with the instructions of the Authority or such Beneficiary and for the purpose of performing the Services in accordance with the Contract and to ensure compliance with the 1998 Act;

© Crown copyright NHS conditions of contract for the supply of services Page 47 of 132 36.1.3 to allow the Authority to audit the Contractor's compliance with the requirements of this Clause 36 on reasonable notice and/or to provide the Authority with evidence of its compliance with the obligations set out in this Clause 36.

36.2 Subject to Clause 19, the Contractor agrees to indemnify and keep indemnified the Authority and any Beneficiary against all claims and proceedings and all liability, loss, costs and expenses incurred in connection therewith by the Authority and any Beneficiary as a result of any claim made or brought by any individual or other legal person in respect of any loss, damage or distress caused to that individual or other legal person as a result of the Contractor's unauthorised processing, unlawful processing, destruction of and/or damage to any Personal Data processed by the Contractor, its employees or agents in the Contractor's performance of the Contract or as otherwise agreed between the Parties.

36.3 Both Parties agree to use all reasonable efforts to assist each other to comply with the 1998 Act. For the avoidance of doubt, this includes the Contractor providing the Authority and any Beneficiary with reasonable assistance in complying with subject access requests served on the Authority and any Beneficiary under Section 7 of the 1998 Act and the Contractor consulting with the Authority and any Beneficiary prior to the disclosure by the Contractor of any Personal Data in relation to such requests.

37 The Human Rights Act 1998

37.1 The Contractor shall, and shall use reasonable endeavours to ensure that its employees or agents and/or sub-contractors shall, at all times, act in a way which is compatible with the Convention rights within the meaning of Section 1 of the Human Rights Act 1998.

37.2 Subject to Clause 19, the Contractor agrees to indemnify and keep indemnified the Authority and any Beneficiary against all loss, costs, proceedings or damages whatsoever arising out of or in connection with any breach by the Contractor of its obligations under Clause 37.1.

38 Warranty

38.1 The Contractor warrants to the Authority that it has all necessary corporate standing and authorisation to enter into and be bound by the terms of the Contract. At all times in connection with the Contract, the Contractor shall be an independent contractor and nothing in the Contract shall create a relationship of agency or partnership or a joint venture as between the Contractor and the Authority or, as the case may be, any Beneficiary and accordingly the Contractor shall not be authorised to bind the Authority or, as the case may be, any Beneficiary.

39.1 The Contractor shall not incur any liabilities on behalf of the Authority or, as the case may be, any Beneficiary; or, make any representations or give any warranty on behalf of the Authority or, as the case may be, any Beneficiary; or, enter into any contract or obligation on behalf of the Authority or, as the case may be, any Beneficiary.

40 Agency

40.1 The Contractor acknowledges that the Authority may have placed the Order pursuant to a Framework Agreement established by a Beneficiary for the Authority.

40.2 In such cases, the Beneficiary or, as the case may be, Beneficiaries which established the Framework Agreement shall only be liable for any Order placed under such Framework Agreement if the Order was placed on the Contractor by the Beneficiary or, as the case may be, Beneficiaries.

40.3 In all other instances, the Authority has placed the Order on the Contractor as principal and the Beneficiary or, as the case may be, Beneficiaries which established the Framework Agreement as agent for the Authority shall have no liability in respect thereof.

41 Inducements to Purchase

41.1 The Contractor shall not offer to the Authority or any of its employees or agents or, as the case may be, any Beneficiary or any of its employees or agents as a variation of the Contract, or as an agreement collateral to it, any advantage other than a cash discount against the Contract Price or training of the employees of the Authority or, as the case may be, any Beneficiary in connection with the Services.

42 General

42.1 Save as required by law and/or the requirements of any relevant stock exchange and Clause 32, no publicity shall be made by any of the Parties relating to any matter in connection with the Contract without the prior written consent of the other Party.

42.2 The Contractor shall from time to time upon the request of the Authority, execute any additional documents and do any other acts or things which may reasonably be required to implement the provisions of the Contract.

42.3 Any provision of the Contract which is held to be invalid or unenforceable in any jurisdiction shall be ineffective to the extent of such invalidity or unenforceability without invalidating or rendering unenforceable the remaining provisions hereof and any such invalidity or unenforceability in any jurisdiction shall not invalidate or render unenforceable such provisions in any other jurisdiction.

© Crown copyright NHS conditions of contract for the supply of services Page 49 of 132 42.4 The Contractor acknowledges and agrees that it has not relied on any representation, warranty or undertaking (whether written or oral) in relation to the subject matter of the Contract and therefore irrevocably and unconditionally waives any rights it may have to claim damages against the Authority for any misrepresentation (whether made carelessly or not) or for breach of any warranty unless the representation relied upon is set out in the Contract or unless such representation was made fraudulently.

42.5 The failure by the Authority, the Contractor or, as the case may be, any Beneficiary to insist upon the strict performance of any provision, term or condition of the Contract or to exercise any right or remedy consequent upon the breach thereof shall not constitute a waiver of any such breach or any subsequent breach of such provision, term or condition.

42.6 Each Party shall bear its own expenses in relation to the preparation, execution and implementation of the Contract including all costs legal fees and other expenses so incurred.

42.7 The Contractor warrants represents and undertakes to the Authority that there are no pending or threatened actions or proceedings before any court or administrative agency which would materially adversely affect the financial condition, business or operations of the Contractor and that there are no material contracts existing to which the Contractor is a party which prevent it from entering into the Contract; and that the Contractor has satisfied itself as to the nature and extent of the risks assumed by it under the Contract and gathered all information necessary to perform its obligations under the Contract and all other obligations assumed by it.

42.8 The rights and remedies provided in the Contract are cumulative and not exclusive of any rights or remedies provided by the general law, or by any other contract or document. In this provision "general law" includes the law of a country other than England, and "right" includes any power, privilege, remedy, or proprietary or security interest.

43 Third Party Rights

43.1 The Authority and the Contractor acknowledge that they have entered into the Contract for the benefit of each of the Beneficiaries and each of the Third Party Beneficiaries. Accordingly, the Authority and the Contractor agree that (in addition to the Authority's right to enforce the Contract) each of the Beneficiaries and each of the Third Party Beneficiaries may enforce any term of the Contract.

43.2 Save as provided in Clause 43.1 of the Contract, a person who is not a Party to the Contract shall have no rights pursuant to the Contracts (Rights of Third Parties) Act 1999 to enforce any term of the Contract.

43.3 All or any of the provisions of the Contract may be rescinded or varied by the Parties in their entirety or in part without the consent of or the need to give any notice to any person not a Party to it.

© Crown copyright NHS conditions of contract for the supply of services Page 50 of 132 43.4 The Contractor agrees that it will not raise as a defence or set off against any claim brought against it by any Beneficiary or any Third Party Beneficiary any matter which would have been available to the Contractor by way of defence or set off if proceedings had been brought against the Contractor by the Authority or by way of counterclaim against such of the Beneficiaries or Third Party Beneficiaries if such Beneficiary or Third Party Beneficiary had been a Party to the Contract.

44 Third Party Beneficiaries

44.1 In the event that any Third Party Beneficiary wishes to enforce its rights under Clause 43.1 the following provisions shall apply:

44.1.1 the Third Party Beneficiaries shall have the same rights as the Beneficiaries under the Contract and shall comply with all the terms of the Contract which apply to the Beneficiaries;

44.1.2 the Third Party Beneficiaries acknowledge that the Contract is for use within the NHS and accordingly agree to exercise their rights under the Contract only in relation to the provision of goods and/or services to the Authority or any of the Beneficiaries and not for any other purpose whatsoever. In exercising their rights under the Contract the Third Party Beneficiaries shall at all times treat all information concerning the Contract with the strictest confidence and in accordance with Clause 35;

44.1.3 the Third Party Beneficiaries shall not enter into any obligations in the name of the Authority or any Beneficiary and shall not make any representations or give any warranties on behalf of the Authority or any Beneficiary;

44.1.4 where Services are ordered by any Third Party Beneficiary the Contractor agrees that it shall supply such Services to such Third Party Beneficiary and invoices for the Services supplied to such Third Party Beneficiary shall be issued by the Contractor to, and in the name of, such Third Party Beneficiary and such Third Party Beneficiary shall be liable for settlement thereof;

44.1.5 the Authority shall not be liable to any Third Party Beneficiary for any acts or omissions of the Contractor or for any loss, damage or other expenses incurred or suffered by any Third Party Beneficiary as a result of such Third Party Beneficiary exercising its rights under the Contract;

44.1.6 each Third Party Beneficiary undertakes to indemnify and keep indemnified the Authority and any Beneficiary from and against all costs, claims, demands, liabilities, damages, losses and expenses (including all legal expenses) incurred or suffered by the Authority or any Beneficiary:

© Crown copyright NHS conditions of contract for the supply of services Page 51 of 132 a) arising out of or in connection with any act or omission of the Third Party Beneficiary or any breach of any term of the Contract by the Third Party Beneficiary;

b) as a result of any claim, loss, injury, damage, expense or delay suffered or incurred by the Contractor or any third party arising directly or indirectly from or in any way connected with the acts or omissions of the Third Party Beneficiary in enforcing its rights under the Contract, whether wilful, reckless, fraudulent, negligent, dishonest or otherwise;

and the Third Party Beneficiary shall at its own expense take out and maintain adequate insurance in respect of such liabilities and provide evidence of such insurance as the Authority may reasonably request from time to time;

44.1.7 in the event of any dispute:

a) between the Contractor and any Third Party Beneficiary relating to any act or omission of such Third Party Beneficiary or any breach of any term of the Contract by such Third Party Beneficiary;

b) between the Authority and any Third Party Beneficiary relating to the supply of goods and/or services by the Third Party Beneficiary to the Authority or any Beneficiary;

the Authority reserves the right to suspend such Third Party Beneficiary’s rights under the Contract until such dispute has been resolved;

44.1.8 if the Contractor makes a claim against any Third Party Beneficiary for any act or omission of such Third Party Beneficiary or any breach of the Contract by such Third Party Beneficiary the Contractor agrees that it shall not include the Authority or any Beneficiary as a party to any proceedings against such Third Party Beneficiary;

44.1.9 the Authority shall notify any Third Party Beneficiary which is removed from the list set out in Schedule 1 and such Third Party Beneficiary shall immediately cease to place Orders under the Contract.

45 Equality and Non-discrimination

45.1 The Contractor shall not:

45.1.1 discriminate directly or indirectly or by way of victimisation or harassment against any person on racial grounds within the meaning of the Race Relations Act 1976 (as amended) (“the 1976 Act”) contrary to Part II (Discrimination in the Field of Employment) and/or Part III (Discrimination in Other Fields) of the 1976 Act;

45.2 The Contractor shall notify the Authority immediately of any investigation of or proceedings against the Contractor under the 1976 Act and shall cooperate fully and promptly with any requests of the person or body conducting such investigation or proceedings, including allowing access to any documents or data required, attending any meetings and providing any information requested. 45.3 The Contractor shall indemnify the Authority against all costs, claims, charges, demands, liabilities, damages, losses and expenses incurred or suffered by the Authority arising out of or in connection with any investigation conducted or any proceedings brought under the 1976 Act due directly or indirectly to any act or omission by the Contractor, its agents, employees or sub-contractors.

45.4 The Contractor shall impose on any sub-contractor obligations substantially similar to those imposed on the Contractor by this Clause 45.

45.5 In addition to its obligations under this clause 45 relating to race equality, the Contractor shall:

45.5.1 ensure that it complies with all current employment legislation and in particular, does not unlawfully discriminate within the meaning of the Race Relations Act 1976 (as amended), the Equal Pay Act 1970, the Sex Discrimination Act 1975 (as amended), the Disability Discrimination Act 1995 (as amended), the Part Time Workers (Prevention of Less Favourable Treatment) Regulations 2000, the Fixed Term Employees (Prevention of Less Favourable Treatment) Regulations 2002, the Equality Act 2006, the Employment Equality (Religion or Belief) Regulations 2003, the Employment Equality (Sexual Orientation) Regulations 2003, the Equality Act (Sexual Orientation) Regulations 2007, the Employment Equality (Sex Discrimination) Regulations 2005, the Employment Equality (Age) Regulations 2006, or any other relevant legislation relating to discrimination in the employment of employees for the purpose of providing the Services. The Contractor shall take all reasonable steps (at its own expense) to ensure that any employees employed in the provision of the Services do not unlawfully discriminate within the meaning of this clause 45.5 and shall impose on any subcontractor obligations substantially similar to those imposed on the Contractor by this Clause 45.5; and

45.5.2 in the management of its affairs and the development of its equality and diversity policies, the Contractor shall co-operate with the Authority in light of the Authority’s obligations to comply with statutory equality duties. The Contractor shall take such steps as the Authority considers appropriate to promote equality and diversity, including race equality, equality of opportunity for disabled people, gender equality, and equality relating to religion and belief, sexual orientation and age in the provision of the Services.

46 Notices

46.1 Any notice to be given under the Contract shall either be delivered personally, sent by facsimile or sent by first class recorded delivery post (airmail if

© Crown copyright NHS conditions of contract for the supply of services Page 53 of 132 overseas) or electronic mail. The address for service of each Party shall be its registered office or such other address as either Party may previously have notified to the other Party in writing. A notice shall be deemed to have been served:

46.1.1 if personally delivered, at the time of delivery;

46.1.2 if sent by facsimile at the time of transmission;

46.1.3 if posted, at the expiration of 48 hours or (in the case of airmail seven days) after the envelope containing the same was delivered into the custody of the postal authorities; and

46.1.4 if sent by electronic mail, a telephone call is made to the recipient warning the recipient that an electronic mail message has been sent to him (as evidenced by a contemporaneous note of the Party sending the notice) and a hard copy of such notice is also sent by first class recorded delivery post (airmail if overseas) on the same day as that on which the electronic mail is sent.

46.2 In proving such service it shall be sufficient to prove that personal delivery was made, or that the envelope containing such notice was properly addressed and delivered into the custody of the postal authority as prepaid first class, recorded delivery or airmail letter (as appropriate) or that the facsimile was transmitted on a tested line or that the correct transmission report was received from the facsimile machine sending the notice as the case may be.

47 Force Majeure

47.1 No Party shall be entitled to bring a claim for a breach of obligations under the Contract by the other Party or incur any liability to the other Party for any Loss or damages incurred by that party to the extent that a Force Majeure Event occurs and it is prevented from carrying out obligations by that event of force majeure.

47.2 In the occurrence of a Force Majeure Event, the Affected Party shall notify the other Party as soon as practicable. The notification shall include details of the Force Majeure Event, including evidence of its effect on the obligations of the Affected Party and any action proposed to mitigate its effect.

47.3 As soon as practicable, following such notification, the Parties shall consult with each other in good faith and use all reasonable endeavours to agree appropriate terms to mitigate the effects of the Force Majeure Event and facilitate the continued performance of the Contract.

48 Law

48.1 The Contractor submits to the jurisdiction of the English courts and agrees that the Contract is to be governed and construed according to English law.

© Crown copyright NHS conditions of contract for the supply of services Page 54 of 132 © Crown copyright NHS conditions of contract for the supply of services Page 55 of 132 Schedule 1- Third Party Beneficiaries

July 2008

© Crown copyright NHS sup conditions of contract relating to info security Page 57 of 132 Page DEFINITIONS AND INTERPRETATION...... 3 GENERAL...... 3 AUDITS...... 3 STAFFING SECURITY...... 3 AUTHORITY DATA...... 3 PROTECTION OF PERSONAL DATA...... 3 FREEDOM OF INFORMATION...... 3 CONFIDENTIALITY...... 3 WARRANTY...... 3 SECURITY REQUIREMENTS...... 3 SCHEDULE 1...... 3 INTRODUCTION...... 3 PRINCIPLES OF SECURITY...... 3 SECURITY PLAN...... 3 AUDIT AND TESTING...... 3 COMPLIANCE WITH ISO/IEC 27001...... 3 BREACH OF SECURITY...... 3 APPENDIX 1...... 3 APPENDIX 2...... 3 PURPOSE OF THIS SCHEDULE...... 3 DEVELOPMENT OF BCDR PLAN...... 3 PART A - GENERAL PRINCIPLES AND REQUIREMENTS...... 3 PART B - BUSINESS CONTINUITY ELEMENT - PRINCIPLES AND CONTENTS...... 3 PART C - DISASTER RECOVERY ELEMENT - PRINCIPLES AND CONTENTS...... 3 REVIEW AND AMENDMENT OF THE BCDR PLAN...... 3 TESTING OF THE BCDR PLAN...... 3 INVOCATION OF THE BUSINESS CONTINUITY AND DISASTER RECOVERY PLAN...... 3

© Crown copyright NHS sup conditions of contract relating to info security Page 58 of 132 1. DEFINITIONS AND INTERPRETATION Unless the context otherwise requires the following expressions shall have the meanings set out below.

"Agreement" subject to clause 2 of these Supplementary Conditions, the General Conditions and these Supplementary Conditions; “Authority” the health service body that is a party to the Agreement; "Authority Confidential Information" all Personal Data and any information, however it is conveyed, that relates to the business, affairs, developments, trade secrets, know-how, personnel, and suppliers of the Authority, including all intellectual property rights, together with all information derived from any of the above, and any other information clearly designated as being confidential (whether or not it is marked "confidential") or which ought reasonably be considered to be confidential; "Authority Data" (a) the data, text, drawings, diagrams, images or sounds (together with any database made up of any of these) which are embodied in any electronic, magnetic, optical or tangible media, and which are: (i) supplied to the Contractor by or on behalf of the Authority; or (ii)which the Contractor is required to generate, process, store or transmit pursuant to this Agreement; or (b) any Personal Data for which the Authority is the Data Controller; "Authority System" the Authority's computing environment (consisting of hardware, software and/or telecommunications networks or equipment) used by the Authority or the Contractor in connection with this Agreement which is owned by or licensed to the Authority by a third party and which interfaces with the Contractor System or which is necessary for the Authority to receive the Services; "BCDR Plan" any plan [prepared pursuant to schedule 2 (Business Continuity and Disaster Recovery Provisions)/set out in schedule 2 (Business Continuity and Disaster Recovery Provisions)], as may be amended from time to time; "Breach of Security" the occurrence of unauthorised access to or use of the any of the Authority’s premises, the Sites, the Services, the Contractor System or any

© Crown copyright NHS sup conditions of contract relating to info security Page 59 of 132 information and communications technology or data (including the Authority's Data) used by the Authority or the Contractor in connection with this Agreement;

"Business Continuity Plan" has the meaning set out in paragraph 17.3.2 of schedule 2 (Disaster Recovery and Business Continuity Provisions);

"Charges" the charges for the provision of the Services set out in the General Conditions; "Commercially Sensitive Information" the information identified by the Contractor as “commercially sensitive information”, comprising the information of a commercially sensitive nature relating to the Contractor, its intellectual property rights or its business or which the Contractor has indicated to the Authority that, if disclosed by the Authority, would cause the Contractor significant commercial disadvantage or material financial loss; "Confidential Information" the Authority's Confidential Information and/or the Contractor's Confidential Information; "Contracting Authority" any contracting authority as defined in Regulation 5(2) of the Public Contracts (Works, Services and Supply) (Amendment) Regulations 2000 other than the Authority; “Contractor” means the person who under this Agreement undertakes to supply the goods and/or services to the Authority as provided for in the Agreement. Where the Contractor is an individual or partnership, the expression shall include the personal representatives of that individual or of the partners;

"Contractor Personnel" all employees, agents, consultants and contractors of the Contractor and/or of any Sub- contractor;

"Contractor System" the information and communications technology system used by the Contractor in performing the Services including any software, the hardware, computer and telecoms devices and equipment supplied by the Contractor or its Sub-contractors (but not hired, leased or loaned from the Authority) for the provision of the Services and related cabling (but excluding the Authority System); "Contractor's Confidential any information, however it is conveyed, that Information" relates to the business, affairs, developments, trade secrets, know-how, personnel and suppliers of the Contractor, including intellectual

© Crown copyright NHS sup conditions of contract relating to info security Page 60 of 132 property rights, together with all information derived from the above, and any other information clearly designated as being confidential (whether or not it is marked as "confidential") or which ought reasonably to be considered to be confidential, including the Commercially Sensitive Information; "Crown Body" any department, office or agency of the Crown; "Data Controller" shall have the same meaning as set out in the Data Protection Act 1998; "Data Processor" shall have the same meaning as set out in the Data Protection Act 1998; "Data Protection Legislation" the Data Protection Act 1998, the EU Data Protection Directive 95/46/EC, the Regulation of Investigatory Powers Act 2000, the Telecommunications (Lawful Business Practice) (Interception of Communications) Regulations 2000 (SI 2000/2699), the Electronic Communications Data Protection Directive 2002/58/EC, the Privacy and Electronic Communications (EC Directive) Regulations 2003 and all applicable laws and regulations relating to processing of personal data and privacy, including where applicable the guidance and codes of practice issued by the Information Commissioner;

"Data Subject" shall have the same meaning as set out in the Data Protection Act 1998;

"Default" any breach of the obligations of the relevant party (including but not limited to fundamental breach or breach of a fundamental term) or any other default, act, omission, negligence or statement of the relevant party, its employees, servants, agents or Sub-contractors in connection with or in relation to the subject- matter of this Agreement and in respect of which such party is liable to the other; "Disaster Recovery Plan" has the meaning set out in paragraph 17.3.3 of schedule 2 (Disaster Recovery and Business Continuity Provisions);

"Disaster Recovery Services" the disaster recovery [and/or business continuity] services (as the context may require) to be provided by the Contractor pursuant to schedule 2 (Disaster Recovery and Business Continuity Provisions);

"Disaster Recovery System" the system identified by the Contractor in [ ] which shall be used for the purpose of delivering

"Disaster Recovery" the process of restoration of the Service by the provision of the Disaster Recovery Services;

"Disaster" the occurrence of one or more events which, either separately or cumulatively, mean that the Services, or a material part of it will be unavailable for a period of [ ] or which is reasonably anticipated will mean that the Services or a material part will be unavailable for that period;

"Environmental Information the Environmental Information Regulations 2004 Regulations" together with any guidance and/or codes of practice issued by the Information Commissioner or relevant Government Department in relation to such regulations;

"FOIA" the Freedom of Information Act 2000 and any subordinate legislation made under this Act from time to time together with any guidance and/or codes of practice issued by the Information Commissioner or relevant Government Department in relation to such legislation;

“General Conditions” the general conditions of contract applying to the agreement between the Authority and the Contractor; "General Principles" has the meaning set out in paragraph 17.3.1 of schedule 2 (Disaster Recovery and Business Continuity and Disaster Recovery Provisions);

"Good Industry Practice" the exercise of that degree of skill, care, prudence, efficiency, foresight and timeliness as would be expected from a leading company within the relevant industry or business sector; "ICT Environment" the Authority System and the Contractor System; “IT Security Officers” shall have the same meaning as set out in the Manual of Protective Security; "Information" has the meaning given under section 84 of the Freedom of Information Act 2000; “ Information Assurance the HMG Information Assurance Standards Standards” issued by the Cabinet Office as a supplement to the Manual of Protective Security; "Law" any applicable law, statute, bye-law, regulation, order, regulatory policy, guidance or industry code, rule of court or directives or requirements of any Regulatory Body, delegated or

© Crown copyright NHS sup conditions of contract relating to info security Page 62 of 132 subordinate legislation or notice of any Regulatory Body; "Malicious Software" any software program or code intended to destroy, interfere with, corrupt, or cause undesired effects on program files, data or other information, executable code or application software macros, whether or not its operation is immediate or delayed, and whether the malicious software is introduced wilfully, negligently or without knowledge of its existence; “ Manual of Protective the Cabinet Office Manual of Protective Security Security” (available from the Cabinet Office Security Policy Division); "Personal Data" shall have the same meaning as set out in the Data Protection Act 1998; "Process" has the meaning given to it under the Data Protection Legislation but, for the purposes of this Agreement, it shall include both manual and automatic processing; “Protectively Marked” shall have the meaning as set out in the Manual of Protective Security; "Regulatory Bodies" those government departments and regulatory, statutory and other entities, committees and bodies which, whether under statute, rules, regulations, codes of practice or otherwise, are entitled to regulate, investigate, or influence the matters dealt with in this Agreement or any other affairs of the Authority and "Regulatory Body" shall be construed accordingly; "Related Service Provider" any person who provides services to the Authority in relation to [the subject matter of this Agreement] from time to time which persons include without limit as at the date of the contract to which these Supplementary Conditions apply [ ];

"Request for Information" a request for information or an apparent request under the Code of Practice on Access to Government Information, FOIA or the Environmental Information Regulations; "Security Plan" the Contractor's security plan prepared pursuant to paragraph 3 of schedule 1 (Security Requirements and Plan) an outline of which is set out in Appendix 1 of schedule 1 (Security Requirements); "Security Policy" the Authority's security policy annexed to schedule 1 (Security Requirements and Plan) as updated from time to time;

© Crown copyright NHS sup conditions of contract relating to info security Page 63 of 132 "Security Tests" shall have the meaning set out in paragraph 4.1 of schedule 1 (Security Requirements and Plan);

"Services" any and all of the services to be provided by the Contractor under this Agreement; "Site" any premises from which the Services are provided or from which the Contractor manages, organises or otherwise directs the provision or the use of the Services or where any part of the Contractor System is situated or where any physical interface with the Authority System takes place; "Staff Vetting Procedures" the Authority's procedures and departmental policies for the vetting of personnel whose role will involve the handling of information of a sensitive or confidential nature or the handling of information which is subject to any relevant security measures, including, but not limited to, the provisions of the Official Secrets Act 1911 to 1989; "Sub-contract" any contract or agreement or proposed contract or agreement between the Contractor and any third party whereby that third party agrees to provide to the Contractor the Services or any part thereof or facilities or services necessary for the provision of the Services or any part thereof or necessary for the management, direction or control of the Services or any part thereof; "Sub-contractor" the third party with whom the Contractor enters into a Sub-contract or its servants or agents and any third party with whom that third party enters into a Sub-contract or its servants or agents; "Supplementary Conditions" the clauses of these Supplementary Conditions together with the schedules and annexes to them;

"UK" the United Kingdom; and "Working Day" any day other than a Saturday, Sunday or public holiday in England and Wales.

2.2. Any provision of the General Conditions which provides that the General Conditions shall be the entire agreement between the parties (or any provision with an equivalent intent) shall not apply in respect of these Supplementary Conditions, which where stated to apply to a contract shall be deemed to form part of the contract together with the General Conditions.

2.3. Except where expressly varied or deleted by these Supplementary Conditions, all terms of the General Conditions are confirmed and shall remain in force, save that in the event of any conflict between these Supplementary Conditions and the General Conditions the provisions of these Supplementary Conditions shall prevail. For the avoidance of doubt, save as provided in this clause 2.2, the schedules and annexes to these Supplementary Conditions shall not replace any similarly numbered schedules and annexes to the General Conditions.

2.4. In these Supplementary Conditions, unless the context otherwise requires, terms defined in the General Conditions shall have the same meaning in these Supplementary Conditions.

2.5. These Supplementary Conditions shall remain in force until termination or expiry of the relevant contract to which the General Conditions apply and thereafter where provided in the terms of these Supplementary Conditions.

2.6. These Supplementary Conditions shall be governed by and construed in accordance with English law and each party hereby irrevocably submits to the non-exclusive jurisdiction of the English Courts.

3. AUDITS

3.2. Except where an audit is imposed on the Authority by a Regulatory body, the Authority may, not more than twice in any year and for a period of 12 months following the expiry or termination of this Agreement, conduct an audit for the following purposes:

3.2.1. to review the integrity, confidentiality and security of the Authority Data; and

3.2.2. to review the Contractor's compliance with the Data Protection Act 1998, the Freedom of Information Act 2000 in accordance with clauses 6 (Protection of Personal Data) and 7 (Freedom of Information) and any other legislation applicable to the Services.

3.3. The Authority shall use its reasonable endeavours to ensure that the conduct of each audit does not unreasonably disrupt the Contractor or delay the provision of the Services.

3.4. Subject to the Authority's obligations of confidentiality, the Contractor shall on demand provide the Authority (and/or its agents or representatives) with all reasonable co- operation and assistance in relation to each audit, including:

3.4.1. all information requested by the Authority within the permitted scope of the audit;

© Crown copyright NHS sup conditions of contract relating to info security Page 65 of 132 3.4.2. reasonable access to any Sites controlled by the Contractor and to any equipment used (whether exclusively or non-exclusively) in the performance of the Services;

3.4.3. access to the Contractor System; and

3.4.4. access to Contractor Personnel.

3.5. The Authority shall endeavour to (but is not obliged to) provide at least [15] Working Days notice of its intention to conduct an audit.

3.6. The parties agree that they shall bear their own respective costs and expenses incurred in respect of compliance with their obligations under this clause, unless the audit identifies a material Default by the Contractor in which case the Contractor shall reimburse the Authority for all the Authority's reasonable costs incurred in the course of the audit.

3.7. If an audit identifies that:

3.7.1. the Contractor has failed to perform its obligations under this Agreement in any material manner, the parties shall agree and implement a remedial plan. If the Contractor's failure relates to a failure to provide any information to the Authority about the Charges, proposed Charges or the Contractor's costs, then the remedial plan shall include a requirement for the provision of all such information;

3.7.2. the Authority has overpaid any Charges, the Contractor shall pay to the Authority the amount overpaid within [20] Working Days. The Authority may deduct the relevant amount from the Charges if the Contractor fails to make this payment; and

3.7.3. the Authority has underpaid any Charges, the Authority shall pay to the Contractor the amount of the under-payment [less the cost of audit incurred by the Authority if this was due to a Default by the Contractor in relation to invoicing] within [20] Working Days.

4. STAFFING SECURITY

4.2. The Contractor shall comply with the Staff Vetting Procedures in respect of all Contractor Personnel employed or engaged in the provision of the Services. The Contractor confirms that all Contractor Personnel employed or engaged by the Contractor at the date of the contract to which these Supplementary Conditions apply were vetted and recruited on a basis that is equivalent to and no less strict than the Staff Vetting Procedures.

4.3. The Contractor shall provide training on a continuing basis for all Contractor Personnel employed or engaged in the provision of the Services in compliance with the Security Policy and Security Plan.

5. AUTHORITY DATA

5.2. The Contractor shall not delete or remove any proprietary notices contained within or relating to the Authority Data.

© Crown copyright NHS sup conditions of contract relating to info security Page 66 of 132 5.3. The Contractor shall not store, copy, disclose, or use the Authority Data except as necessary for the performance by the Contractor of its obligations under this Agreement or as otherwise expressly authorised in writing by the Authority.

5.4. To the extent that Authority Data is held and/or processed by the Contractor, the Contractor shall supply that Authority Data to the Authority as requested by the Authority in the format specified by the Authority.

5.5. The Contractor shall take responsibility for preserving the integrity of Authority Data and preventing the corruption or loss of Authority Data

5.6. The Contractor shall perform secure back-ups of all Authority Data and shall ensure that up-to-date back-ups are stored off-site in accordance with the BCDR Plan. The Contractor shall ensure that such back-ups are available to the Authority at all times upon request and are delivered to the Authority at no less than [insert period] monthly intervals.

5.7. The Contractor shall ensure that any system on which the Contractor holds any Authority Data, including back-up data, is a secure system that complies with the Security Policy.

5.8. If the Authority Data is corrupted, lost or sufficiently degraded as a result of the Contractor's Default so as to be unusable, the Authority may:

5.8.1. require the Contractor (at the Contractor's expense) to restore or procure the restoration of Authority Data to the extent and in accordance with the requirements specified in schedule 2 (Business Continuity and Disaster Recovery Provisions) and the Contractor shall do so as soon as practicable but not later than [insert period]; and/or

5.8.2. itself restore or procure the restoration of Authority Data, and shall be repaid by the Contractor any reasonable expenses incurred in doing so to the extent and in accordance with the requirements specified in schedule 2 (Business Continuity and Disaster Recovery Provisions).

5.9. If at any time the Contractor suspects or has reason to believe that Authority Data has or may become corrupted, lost or sufficiently degraded in any way for any reason, then the Contractor shall notify the Authority immediately and inform the Authority of the remedial action the Contractor proposes to take.

6. PROTECTION OF PERSONAL DATA

6.2. With respect to the parties' rights and obligations under this Agreement, the parties agree that the Authority is the Data Controller and that the Contractor is the Data Processor.

6.3. The Contractor shall:

6.3.1. Process the Personal Data only in accordance with instructions from the Authority (which may be specific instructions or instructions of a general nature as set out in this Agreement or as otherwise notified by the Authority to the Contractor during the term of this Agreement);

© Crown copyright NHS sup conditions of contract relating to info security Page 67 of 132 6.3.2. Process the Personal Data only to the extent, and in such manner, as is necessary for the provision of the Services or as is required by Law or any Regulatory Body;

6.3.3. implement appropriate technical and organisational measures to protect the Personal Data against unauthorised or unlawful processing and against accidental loss, destruction, damage, alteration or disclosure. These measures shall be appropriate to the harm which might result from any unauthorised or unlawful Processing, accidental loss, destruction or damage to the Personal Data and having regard to the nature of the Personal Data which is to be protected;

6.3.4. take reasonable steps to ensure the reliability of any Contractor Personnel who have access to the Personal Data;

6.3.5. obtain prior written consent from the Authority in order to transfer the Personal Data to any Sub-contractors or members of the Contractor’s group of companies for the provision of the Services;

6.3.6. ensure that all Contractor Personnel required to access the Personal Data are informed of the confidential nature of the Personal Data and comply with the obligations set out in this clause 6;

6.3.7. ensure that none of Contractor Personnel publish, disclose or divulge any of the Personal Data to any third party unless directed in writing to do so by the Authority;

6.3.8. notify the Authority (within [five] Working Days) if it receives:

6.3.8.1. a request from a Data Subject to have access to that person's Personal Data; or

6.3.8.2. a complaint or request relating to the Authority's obligations under the Data Protection Legislation;

6.3.9. provide the Authority with full cooperation and assistance in relation to any complaint or request made, including by:

6.3.9.1. providing the Authority with full details of the complaint or request;

6.3.9.2. complying with a data access request within the relevant timescales set out in the Data Protection Legislation and in accordance with the Authority's instructions;

6.3.9.3. providing the Authority with any Personal Data it holds in relation to a Data Subject (within the timescales required by the Authority); and

6.3.9.4. providing the Authority with any information requested by the Authority;

6.3.10. permit the Authority (subject to reasonable and appropriate confidentiality undertakings), to inspect and audit, in accordance with clause 3 (Audits), the Contractor's data Processing activities (and/or those of its agents, subsidiaries and Sub-contractors) and comply with all reasonable requests or

© Crown copyright NHS sup conditions of contract relating to info security Page 68 of 132 directions by the Authority to enable the Authority to verify and/or procure that the Contractor is in full compliance with its obligations under this Agreement;

6.3.11. provide a written description of the technical and organisational methods employed by the Contractor for processing Personal Data (within the timescales required by the Authority); and

6.3.12. not Process Personal Data outside the European Economic Area without the prior written consent of the Authority and, where the Authority consents to a transfer, to comply with:

6.3.12.1. the obligations of a Data Controller under the Eighth Data Protection Principle set out in Schedule 1 of the Data Protection Act 1998 by providing an adequate level of protection to any Personal Data that is transferred; and

6.3.12.2. any reasonable instructions notified to it by the Authority.

6.4. The Contractor shall comply at all times with the Data Protection Legislation and shall not perform its obligations under this Agreement in such a way as to cause the Authority to breach any of its applicable obligations under the Data Protection Legislation.

7. FREEDOM OF INFORMATION

7.2. The Contractor acknowledges that the Authority is subject to the requirements of the Code of Practice on Government Information, FOIA and the Environmental Information Regulations and shall assist and cooperate with the Authority to enable the Authority to comply with its Information disclosure obligations.

7.3. The Contractor shall and shall procure that its Sub-contractors shall:

7.3.1. transfer to the Authority all Requests for Information that it receives as soon as practicable and in any event within [two] Working Days of receiving a Request for Information;

7.3.2. provide the Authority with a copy of all Information in its possession, or power in the form that the Authority requires within [five] Working Days (or such other period as the Authority may specify) of the Authority's request; and

7.3.3. provide all necessary assistance as reasonably requested by the Authority to enable the Authority to respond to the Request for Information within the time for compliance set out in section 10 of the FOIA or regulation 5 of the Environmental Information Regulations.

7.4. The Authority shall be responsible for determining in its absolute discretion and notwithstanding any other provision in this Agreement or any other agreement whether the Commercially Sensitive Information and/or any other Information is exempt from disclosure in accordance with the provisions of the Code of Practice on Government Information, FOIA or the Environmental Information Regulations.

7.5. In no event shall the Contractor respond directly to a Request for Information unless expressly authorised to do so by the Authority.

© Crown copyright NHS sup conditions of contract relating to info security Page 69 of 132 7.6. The Contractor acknowledges that (notwithstanding the provisions of clause 8) the Authority may, acting in accordance with the Department of Constitutional Affairs’ Code of Practice on the Discharge of the Functions of Public Authorities under Part 1 of the Freedom of Information Act 2000 (“the Code”), be obliged under the FOIA, or the Environmental Information Regulations to disclose information concerning the Contractor or the Services:

7.6.1. in certain circumstances without consulting the Contractor; or

7.6.2. following consultation with the Contractor and having taken their views into account;

7.6.3. provided always that where 8.6.1 applies the Authority shall, in accordance with any recommendations of the Code, take reasonable steps, where appropriate, to give the Contractor advanced notice, or failing that, to draw the disclosure to the Contractor’s attention after any such disclosure.

7.7. The Contractor shall ensure that all Information is retained for disclosure and shall permit the Authority to inspect such records as requested from time to time.

7.8. The Contractor acknowledges that the Commercially Sensitive Information is of indicative value only and that the Authority may be obliged to disclose it in accordance with clause 8.6.

8. CONFIDENTIALITY

8.2. Except to the extent set out in this clause or where disclosure is expressly permitted elsewhere in this Agreement, each party shall:

8.2.1. treat the other party's Confidential Information as confidential [and safeguard it accordingly]; and

8.2.2. not disclose the other party's Confidential Information to any other person without the owner's prior written consent.

8.3. Clause 8.1 shall not apply to the extent that:

8.3.1. such disclosure is a requirement of Law placed upon the party making the disclosure, including any requirements for disclosure under the FOIA, Code of Practice on Access to Government Information or the Environmental Information Regulations pursuant to clause 7 (Freedom of Information);

8.3.2. such information was in the possession of the party making the disclosure without obligation of confidentiality prior to its disclosure by the information owner;

8.3.3. such information was obtained from a third party without obligation of confidentiality;

8.3.4. such information was already in the public domain at the time of disclosure otherwise than by a breach of this Agreement; or

8.3.5. it is independently developed without access to the other party's Confidential Information.

© Crown copyright NHS sup conditions of contract relating to info security Page 70 of 132 8.4. The Contractor may only disclose the Authority's Confidential Information to the Contractor Personnel who are directly involved in the provision of the Services and who need to know the information, and shall ensure that such Contractor Personnel are aware of and shall comply with these obligations as to confidentiality.

8.5. The Contractor shall not, and shall procure that the Contractor Personnel do not, use any of the Authority's Confidential Information received otherwise than for the purposes of this Agreement.

8.6. [At the written request of the Authority, the Contractor shall procure that those members of the Contractor Personnel identified in the Authority's notice signs a confidentiality undertaking prior to commencing any work in accordance with this Agreement.]

8.7. Nothing in this Agreement shall prevent the Authority from disclosing the Contractor's Confidential Information:

8.7.1. to any Crown Body or any other Contracting Authority. All Crown Bodies or Contracting Authorities receiving such Confidential Information shall be entitled to further disclose the Confidential Information to other Crown Bodies or other Contracting Authorities on the basis that the information is confidential and is not to be disclosed to a third party which is not part of any Crown Body or any Contracting Authority;

8.7.2. to any consultant, contractor or other person engaged by the Authority or any person conducting an Office of Government Commerce gateway review;

8.7.3. for the purpose of the examination and certification of the Authority's accounts; or

8.7.4. for any examination pursuant to Section 6(1) of the National Audit Act 1983 of the economy, efficiency and effectiveness with which the Authority has used its resources.

8.8. The Authority shall use all reasonable endeavours to ensure that any government department, Contracting Authority, employee, third party or Sub-contractor to whom the Contractor's Confidential Information is disclosed pursuant to clause 8.6 is made aware of the Authority's obligations of confidentiality.

8.9. Nothing in this clause 8 shall prevent either party from using any techniques, ideas or know-how gained during the performance of the Agreement in the course of its normal business to the extent that this use does not result in a disclosure of the other party's Confidential Information or an infringement of intellectual property rights.

9. WARRANTY

9.2. The Contractor warrants, represents and undertakes for the duration of the term of this Agreement that all personnel used to provide the Services will be vetted in accordance with Good Industry Practice, the Security Policy and any standards that the parties agree apply to the Services.

10. SECURITY REQUIREMENTS

10.2. The Contractor shall comply, and shall procure the compliance of the Contractor Personnel, with the Security Policy and the Security Plan and the Contractor shall

10.3. The Authority shall notify the Contractor of any changes or proposed changes to the Security Policy.

10.4. If the Contractor believes that a change or proposed change to the Security Policy will have a material and unavoidable cost implication to the Services it may request a change to the Agreement in accordance with any procedures set out in the General Conditions. In doing so, the Contractor must support its request by providing evidence of the cause of any increased costs and the steps that it has taken to mitigate those costs. Any change to the Charges shall then be agreed in accordance with the procedures for agreeing changes set out in the General Conditions.

10.5. Until and/or unless a change to the Charges is agreed by the Authority pursuant to clause 10.3 the Contractor shall continue to perform the Services in accordance with its existing obligations.

10.6. Malicious Software

10.7. The Contractor shall, as an enduring obligation throughout the term of this Agreement, use the latest versions of anti-virus definitions available [from an industry accepted anti-virus software vendor] to check for and delete Malicious Software from the ICT Environment.

10.8. Notwithstanding clause 10.5, if Malicious Software is found, the parties shall co- operate to reduce the effect of the Malicious Software and, particularly if Malicious Software causes loss of operational efficiency or loss or corruption of Authority Data, assist each other to mitigate any losses and to restore the Services to their desired operating efficiency.

10.9. Any cost arising out of the actions of the parties taken in compliance with the provisions of clause 10.6 shall be borne by the parties as follows:

10.9.1. by the Contractor where the Malicious Software originates from any software proprietary to the Contractor, including software which is or will be used by the Contractor for the purposes of providing the Services, (“Contractor Software”) or the Authority Data (whilst the Authority Data was under the control of the Contractor); and

10.9.2. by the Authority if the Malicious Software originates from any software owned by or licensed to the Authority (including software which is or will be used by the Contractor for the purposes of providing the Services but excluding any Contractor Software) or the Authority Data (whilst the Authority Data was under the control of the Authority).

RELATING TO INFORMATION SECURITY

SCHEDULE 1

SECURITY REQUIREMENTS AND PLAN

11.2. This schedule covers:

11.2.1. principles of security for the Contractor System, derived from the Security Policy, including without limitation principles of physical and information security;

11.2.2. [wider aspects of security relating to the Service];

11.2.3. the creation of the Security Plan;

11.2.4. audit and testing of the Security Plan;

11.2.5. conformance to ISO/IEC:27002 (Information Security Code of Practice) and ISO/IEC 27001 (Information Security Requirements Specification) (Standard Specification); and

11.2.6. Breaches of Security.

12. PRINCIPLES OF SECURITY

12.2. The Contractor acknowledges that the Authority places great emphasis on confidentiality, integrity and availability of information and consequently on the security of the Sites and the security for the Contractor System. The Contractor also acknowledges the confidentiality of Authority Data.

12.3. The Contractor shall be responsible for the security of the Contractor System and shall at all times provide a level of security which:

12.3.1. is in accordance with Good Industry Practice and Law;

12.3.2. complies with the Security Policy;

12.3.3. meets any specific security threats to the Contractor System; and

12.3.4. complies with ISO/IEC27002 and ISO/IEC27001 in accordance with paragraph 15 of this schedule.

12.4. Without limiting paragraph 12.3, the Contractor shall at all times ensure that the level of security employed in the provision of the Services is appropriate to maintain the following at acceptable risk levels (to be defined by the Authority):

12.4.1. loss of integrity of Authority Data;

12.4.2. loss of confidentiality of Authority Data;

12.4.3. unauthorised access to, use of, or interference with Authority Data by any person or organisation;

12.4.4. unauthorised access to network elements, buildings, [the Authority’s premises,] [the Sites,] and tools used by the Contractor in the provision of the Services;

© Crown copyright NHS sup conditions of contract relating to info security Page 74 of 132 12.4.5. use of the Contractor System or Services by any third party in order to gain unauthorised access to any computer resource or Authority Data; and

12.4.6. loss of availability of Authority Data due to any failure or compromise of the Services.

13. SECURITY PLAN

13.2. Introduction

13.2.1. The Contractor shall develop, implement and maintain a Security Plan to apply during the term of this Agreement (and after the end of the term of this Agreement (as applicable)) which will be approved by the Authority, tested, periodically updated and audited in accordance with this schedule.

13.2.2. A draft Security Plan provided by the Contractor as part of its bid is set out in Appendix 1.

13.3. Development

13.3.1. Within 20 Working Days after the date of the contract to which these Supplementary Conditions apply and in accordance with paragraph 13.5 (Amendment and Revision), the Contractor will prepare and deliver to the Authority for approval the full and final Security Plan which will be based on the draft Security Plan set out in Appendix 1.

13.3.2. If the Security Plan is approved by the Authority it will be adopted immediately. If the Security Plan is not approved by the Authority the Contractor shall amend it within [10] Working Days of a notice of non-approval from the Authority and re-submit to the Authority for approval. The parties will use all reasonable endeavours to ensure that the approval process takes as little time as possible and in any event no longer than [15] Working Days (or such other period as the parties may agree in writing) from the date of its first submission to the Authority. If the Authority does not approve the Security Plan following its resubmission, the matter will be resolved in accordance with any procedures for resolving disputes set out in the General Conditions. No approval to be given by the Authority pursuant to this paragraph 13.3.2 of this schedule may be unreasonably withheld or delayed. However any failure to approve the Security Plan on the grounds that it does not comply with the requirements set out in paragraphs 13.2.1 to 13.4.5 shall be deemed to be reasonable.

13.4. Content

13.4.1. The Security Plan will set out the security measures to be implemented and maintained by the Contractor in relation to all aspects of the Services and all processes associated with the delivery of the Services and shall at all times comply with and specify security measures and procedures which are sufficient to ensure that the Services comply with:

13.4.1.1. the provisions of this schedule (including the principles set out in paragraph 2);

13.4.1.2. the provisions of the General Conditions relating to security;

13.4.1.4. the data protection compliance guidance produced by the Authority;

13.4.1.5. the minimum set of security measures and standards required where the system will be handling Protectively Marked or sensitive information, as determined by the Manual of Protective Security (available from the Cabinet Office Security Policy Division (COSPD));

13.4.1.6. any other extant national information security requirements and guidance, as provided by IT Security Officers; and

13.4.1.7. [appropriate ICT standards for technical countermeasures which are included in the Contractor System.]

13.4.2. The references to standards, guidance and policies set out in paragraph 13.4.1 shall be deemed to be references to such items as developed and updated and to any successor to or replacement for such standards, guidance and policies, from time to time.

13.4.3. In the event of any inconsistency in the provisions of the above standards, guidance and policies, the Contractor should notify the Authority's representative of such inconsistency immediately upon becoming aware of the same, and the Authority's representative shall, as soon as practicable, advise the Contractor which provision the Contractor shall be required to comply with.

13.4.4. The Security Plan will be structured in accordance with ISO/IEC27002and ISO/IEC27001, cross-referencing if necessary to other schedules of this Agreement which cover specific areas included within that standard.

13.4.5. The Security Plan shall be written in plain English in language which is readily comprehensible to the staff of the Contractor and the Authority engaged in the Services and shall not reference any other documents which are not either in the possession of the Authority or otherwise specified in this schedule.

13.5. Amendment and Revision

13.5.1. The Security Plan will be fully reviewed and updated by the Contractor annually, or from time to time to reflect:

13.5.1.1. emerging changes in Good Industry Practice;

13.5.1.2. any change or proposed change to the Contractor System, the Services and/or associated processes;

13.5.1.3. any new perceived or changed threats to the Contractor System; and

13.5.1.4. any reasonable request by the Authority

13.5.2. The Contractor will provide the Authority with the results of such reviews as soon as reasonably practicable after their completion and amend the Security Plan at no additional cost to the Authority.

© Crown copyright NHS sup conditions of contract relating to info security Page 76 of 132 13.5.3. Any change or amendment which the Contractor proposes to make to the Security Plan (as a result of an Authority request or change to the Services) or otherwise shall be subject to any procedures for agreeing changes to the contract set out in the General Conditions and shall not be implemented until approved in writing by the Authority.

14. AUDIT AND TESTING

14.2. The Contractor shall conduct tests of the processes and countermeasures contained in the Security Plan ("Security Tests") on an [annual] basis or as otherwise agreed by the parties. The date, timing, content and conduct of such Security Tests shall be agreed in advance with the Authority.

14.3. The Authority shall be entitled to send a representative to witness the conduct of the Security Tests. The Contractor shall provide the Authority with the results of such tests (in a form approved by the Authority in advance) as soon as practicable after completion of each Security Test.

14.4. Without prejudice to any other right of audit or access granted to the Authority pursuant to this Agreement, the Authority shall be entitled at any time and without giving notice to the Contractor to carry out such tests (including penetration tests) as it may deem necessary in relation to the Security Plan and the Contractor's compliance with and implementation of the Security Plan. The Authority may notify the Contractor of the results of such tests after completion of each such test. Security Tests shall be designed and implemented so as to minimise the impact on the delivery Services. If such tests impact adversely on its ability to deliver the Services to the agreed Service Levels, the Contractor shall be granted relief against any resultant under-performance for the period of the tests.

14.5. Where any Security Test carried out pursuant to paragraphs 14.3 or 14.4 above reveals any actual or potential security failure or weaknesses, the Contractor shall promptly notify the Authority of any changes to the Security Plan (and the implementation thereof) which the Contractor proposes to make in order to correct such failure or weakness. Subject to the Authority's approval in accordance with paragraph 13.5.3, the Contractor shall implement such changes to the Security Plan in accordance with the timetable agreed with the Authority or, otherwise, as soon as reasonably possible. For the avoidance of doubt, where the change to the Security Plan to address a non-compliance with the Security Policy or security requirements, the change to the Security Plan shall be at no additional cost to the Authority. For the purposes of this paragraph 14, a weakness means a vulnerability in security and a potential security failure means a possible breach of the Security Plan or security requirements.

15. COMPLIANCE WITH ISO/IEC 27001

15.2. [The Contractor shall obtain independent certification of the Security Plan to ISO 27001 as soon as reasonably practicable and will maintain such certification for the duration of the Agreement.]

15.3. [If certain parts of the Security Policy do not conform to good industry practice as described in ISO 27002 and, as a result, the Contractor reasonably believes that its certification to ISO 27001 would fail in regard to these parts, the Contractor shall

© Crown copyright NHS sup conditions of contract relating to info security Page 77 of 132 promptly notify the Authority of this and the Authority in its absolute discretion may waive the requirement for certification in respect of the relevant parts.]

15.4. The Contractor shall carry out such regular security audits as may be required by the British Standards Institute in order to maintain delivery of the Services in compliance with security aspects of ISO 27001 and shall promptly provide to the Authority any associated security audit reports and shall otherwise notify the Authority of the results of such security audits.

15.5. If it is the Authority's reasonable opinion that compliance with the principles and practices of ISO 27001 is not being achieved by the Contractor, then the Authority shall notify the Contractor of the same and give the Contractor a reasonable time (having regard to the extent of any non-compliance and any other relevant circumstances) to become compliant with the principles and practices of ISO 27001. If the Contractor does not become compliant within the required time then the Authority has the right to obtain an independent audit against these standards in whole or in part.

15.6. If, as a result of any such independent audit as described in paragraph 15.5 the Contractor is found to be non-compliant with the principles and practices of ISO 27001 then the Contractor shall, at its own expense, undertake those actions required in order to achieve the necessary compliance and shall reimburse in full the costs incurred by the Authority in obtaining such audit.

16. BREACH OF SECURITY

16.2. Either party shall notify the other immediately upon becoming aware of any Breach of Security including, but not limited to an actual, potential or attempted breach, or threat to, the Security Plan.

16.3. Upon becoming aware of any of the circumstances referred to in paragraph 16.2, the Contractor shall:

16.3.1. immediately take all reasonable steps necessary to:

16.3.1.1. remedy such breach or protect the Contractor System against any such potential or attempted breach or threat; and

16.3.1.2. prevent an equivalent breach in the future.

16.3.1.3. Such steps shall include any action or changes reasonably required by the Authority. In the event that such action is taken in response to a breach that is determined by the Authority acting reasonably not to be covered by the obligations of the Contractor under this Agreement, then the Contractor shall be entitled to refer the matter for agreement in accordance with any procedures for handling contract change set out in the General Conditions; and

16.3.2. as soon as reasonably practicable provide to the Authority full details (using such reporting mechanism as may be specified by the Authority from time to time) of such actual, potential or attempted breach and of the steps taken in respect thereof.

Outline Security Plan

Security Policy

NHS SUPPLEMENTARY CONDITIONS OF CONTRACT

RELATING TO INFORMATION SECURITY

SCHEDULE 2

BUSINESS CONTINUITY AND DISASTER RECOVERY PROVISIONS

17.2. This schedule sets out the Authority's requirements for ensuring continuity of the business processes and operations supported by the Services in circumstances of Service disruption or failure and for restoring the Services through business continuity and as necessary disaster recovery procedures. It also includes the requirement on the Contractor to develop, review, test, change, and maintain a BCDR Plan in respect of the Services.

17.3. The BCDR Plan shall be divided into three parts:

17.3.1. Part A which shall set out general principles applicable to the BCDR Plan ("General Principles").

17.3.2. Part B which shall relate to business continuity ("Business Continuity Plan"); and

17.3.3. Part C which shall relate to disaster recovery ("Disaster Recovery Plan"); and

17.4. The BCDR Plan shall detail the processes and arrangements which the Contractor shall follow to ensure continuity of the business processes and operations supported by the Services following any failure or disruption of any element of the Services and the recovery of the Services in the event of a Disaster.

18. DEVELOPMENT OF BCDR PLAN

18.2. The BCDR Plan shall unless otherwise required by the Authority in writing, be based upon and be consistent with the provisions of paragraphs 19, 4and 21 of this schedule 2 (Business Continuity and Disaster Recovery Provisions).

18.3. The Contractor shall ensure that its Sub-contractors' disaster recovery and business continuity plans are integrated with the BCDR Plan.

19. PART A - GENERAL PRINCIPLES AND REQUIREMENTS

19.2. The BCDR Plan shall:

19.2.1. set out how the business continuity and disaster recovery elements of the Plan link to each other;

19.2.2. provide details of how the invocation of any element of the BCDR Plan may impact upon the operation of the Services [and any services provided to the Authority by a Related Service Provider];

19.2.3. contain an obligation upon the Contractor to liaise with the Authority and (at the Authority's request) any Related Service Provider with respect to issues concerning business continuity and disaster recovery where applicable;

19.2.4. detail how the BCDR Plan links and interoperates with any overarching and/or connected disaster recovery or business continuity plan of the Authority and any of its other Related Service Providers as notified to the Contractor by the Authority from time to time;

© Crown copyright NHS sup conditions of contract relating to info security Page 81 of 132 19.2.5. contain a communication strategy including details of an incident and problem management service [and advice and help desk facility which can be accessed via multi-channels (including but without limitation a web-site (with FAQs), e-mail, phone and fax) for both portable and desk top configurations, where required by the Authority;]

19.2.6. contain a risk analysis, including:

19.2.6.1. failure or disruption scenarios and assessments and estimates of frequency of occurrence;

19.2.6.2. identification of any single points of failure within the Services and processes for managing the risks arising therefrom;

19.2.6.3. identification of risks arising from the interaction of the Services with the services provided by a Related Service Provider; and

19.2.6.4. a business impact analysis (detailing the impact on business processes and operations) of different anticipated failures or disruptions;

19.2.7. provide for documentation of processes, including business processes, and procedures;

19.2.8. set out key contact details (including roles and responsibilities) for the Contractor (and any Sub-Contractors) and for the Authority;

19.2.9. identify the procedures for reverting to "normal service";

19.2.10. set out method(s) of recovering or updating data collected (or which ought to have been collected) during a failure or disruption to ensure that there is no more than [ ] of data loss and to preserve data integrity;

19.2.11. identify the responsibilities (if any) that the Authority has agreed it will assume in the event of the invocation of the BCDR Plan; and

19.2.12. [provide for the provision of technical advice and assistance to key contacts at the Authority as notified by the Authority from time to time to inform decisions in support of the Authority’s business continuity plans.]

19.3. The BCDR Plan shall be designed so as to ensure that:

19.3.1. the Services are provided in accordance with the Agreement at all times during and after the invocation of the BCDR Plan;

19.3.2. the adverse impact of any Disaster, service failure, or disruption on the operations of the Authority is minimal as far as reasonably possible;

19.3.3. it complies with the relevant provisions of ISO/IEC17799:2000, BS15000 (as amended) and all other industry standards from time to time in force; and

19.4. The BCDR Plan must be upgradeable and sufficiently flexible to support any changes to the Services or to the business processes facilitated by and the business operations supported by the Services.

19.5. The Contractor shall not be entitled to any relief from its obligations under the Service Levels or to any increase in the Charges to the extent that a Disaster occurs as a consequence of any breach by the Contractor of this Agreement.

20. PART B - BUSINESS CONTINUITY ELEMENT - PRINCIPLES AND CONTENTS

20.2. The Business Continuity Plan shall set out the arrangements that are to be invoked to ensure that the business processes and operations facilitated by the Services remain supported and to ensure continuity of the business operations supported by the Services including but not limited to and unless the Authority expressly states otherwise in writing:

20.2.1. the alternative processes, (including business processes), options and responsibilities that may be adopted in the event of a failure in or disruption to the Services; and

20.2.2. the steps to be taken by the Contractor upon resumption of the Services in order to address any prevailing effect of the failure or disruption including a root cause analysis of the failure or disruption.

20.3. The Business Continuity Plan shall address the various possible levels of failures of or disruptions to the Services and the services to be provided and the steps to be taken to remedy to the different levels of failure and disruption. The Business Continuity Plan shall also clearly set out the conditions and/or circumstances under which the Disaster Recovery Plan is invoked.

21. PART C - DISASTER RECOVERY ELEMENT - PRINCIPLES AND CONTENTS

21.2. The Disaster Recovery Plan shall be designed so as to ensure that upon the occurrence of a Disaster the Contractor ensures continuity of the business operations of the Authority supported by the Services following any Disaster or during any period of service failure or disruption with, as far as reasonably possible, minimal adverse impact.

21.3. The Disaster Recovery Plan shall only be invoked upon the occurrence of a Disaster.

21.4. The Disaster Recovery Plan shall include the following:

21.4.1. the technical design and build specification of the Disaster Recovery System;

21.4.2. details of the procedures and processes to be put in place by the Contractor and any Sub-contractor in relation to the Disaster Recovery System and the provision of the Disaster Recovery Services and any testing of the same including but not limited to the following:

21.4.2.2. backup methodology and details of the Contractor's approach to data back-up and data verification;

21.4.2.3. identification of all potential disaster scenarios;

21.4.2.4. risk analysis;

21.4.2.5. documentation of processes and procedures;

21.4.2.6. hardware configuration details;

21.4.2.7. network planning including details of all relevant data networks and communication links;

21.4.2.8. invocation rules;

21.4.2.9. Service recovery procedures;

21.4.2.10. steps to be taken upon Service resumption to address any prevailing effect of the Service failure or disruption;

21.4.3. any applicable service levels with respect to the provision of Disaster Recovery Services and details of any agreed relaxation upon the Service Levels during any period of invocation of the Disaster Recovery Plan;

21.4.4. details of how the Contractor shall ensure compliance with security standards ensuring that compliance is maintained for any period during which the Disaster Recovery Plan is invoked;

21.4.5. access controls (to any disaster recovery sites used by the Contractor or any Sub-contractor in relation to its obligations pursuant to this schedule); and

21.4.6. testing and management arrangements.

22. REVIEW AND AMENDMENT OF THE BCDR PLAN

22.2. The Contractor shall review part or all of the BCDR Plan (and the risk analysis on which it is based):

22.2.1. on a regular basis and as a minimum once every six calendar months;

22.2.2. within three calendar month of the BCDR Plan (or any part) having been invoked pursuant to paragraph 24 of this schedule; and

22.2.3. where the Authority requests any additional reviews (over and above those provided for in paragraphs 22.2.1 and 22.2.2 of this schedule) by notifying the Contractor to such effect in writing, whereupon the Contractor shall conduct such reviews in accordance with the Authority's written requirements. The costs of both parties for any such additional reviews will be met by the Authority.

© Crown copyright NHS sup conditions of contract relating to info security Page 84 of 132 22.3. Each review pursuant to paragraph 22.2 of the BCDR Plan shall be a review of the procedures and methodologies set out in the BCDR Plan and shall assess their suitability having regard to any change to the Services or any underlying business processes and operations facilitated by or supported by the Services which have taken place since the later of the original approval of the BCDR Plan or the last review of the BCDR Plan and shall also have regard to any occurrence of any event since that date (or the likelihood of any such event taking place in the foreseeable future) which may increase the likelihood of the need to invoke the BCDR Plan. The review shall be completed by the Contractor within the period required by the BCDR Plan or if no such period is required within such period as the Authority shall reasonably require. The Contractor shall, within20 Working Days of the conclusion of each such review of the BCDR Plan, provide to the Authority a report ("Review Report") setting out:

22.3.1. the findings of the review;

22.3.2. any changes in the risk profile associated with the Services; and

22.3.3. the Contractor's proposals ("Contractor's Proposals") for addressing any changes in the risk profile and its proposals for amendments to the BCDR Plan following the review detailing the impact (if any and to the extent that the Contractor can reasonably be expected to be aware of the same) that the implementation of such proposals may have on any services or systems provided by a third party.

22.4. The Contractor shall as soon as is reasonably practicable after receiving the Authority's approval of the Contractor's Proposals (having regard to the significance of any risks highlighted in the Review Report) effect any change in its practices or procedures necessary so as to give effect to the Contractor's Proposals. Any such change shall be at the contractor's expense unless it can be reasonably shown that the changes are required because of a material change to the project’s risk profile.

23. TESTING OF THE BCDR PLAN

23.2. The Contractor shall test the BCDR Plan on a regular basis (and in any event not less than [once] in every year). Subject to paragraph 23.3, the Authority may require the Contractor to conduct additional tests of some or all aspects of the BCDR Plan at any time where the Authority considers it necessary, including where there has been any change to the Services or any underlying business processes, or on the occurrence of any event which may increase the likelihood of the need to implement the BCDR Plan.

23.3. If the Authority requires an additional test of the BCDR Plan it shall give the Contractor written notice and the Contractor shall conduct the test in accordance with the Authority's requirements and the relevant provisions of the BCDR Plan. The Contractor's costs of the additional test shall be borne by the Authority unless the BCDR Plan fails the additional test in which case the Contractor's costs of that failed test shall be borne by the Contractor.

23.4. Following each test, the Contractor shall send to the Authority a written report summarising the results of the test and shall promptly implement any actions or remedial measures which the Authority considers to be necessary as a result of those tests.

© Crown copyright NHS sup conditions of contract relating to info security Page 85 of 132 23.5. The Contractor shall undertake and manage testing of the BCDR Plan in full consultation with the Authority and shall liaise with the Authority in respect of the planning, performance, and review, of each test, and shall comply with the reasonable requirements of the Authority in this regard. Each test shall be carried out under the supervision of the Authority or its nominee.

23.6. The Contractor shall ensure that any use by it or any Sub-contractor of "live" data in such testing is first approved with the Authority. Copies of live test data used in any such testing shall be (if so required by the Authority) destroyed or returned to the Authority on completion of the test.

23.7. The Contractor shall, within [20 Working Days] of the conclusion of each test, provide to the Authority a report setting out:

23.7.1. the outcome of the test;

23.7.2. any failures in the BCDR Plan (including the BCDR Plan's procedures) revealed by the test; and

23.7.3. the Contractor's proposals for remedying any such failures.

23.8. Following each test, the Contractor shall take all measures requested by the Authority, (including requests for the re-testing of the BCDR Plan) to remedy any failures in the BCDR Plan and such remedial activity and re-testing shall be completed by the Contractor, at no additional cost to the Authority, by the date reasonably required by the Authority and set out in such notice.

23.9. For the avoidance of doubt, the carrying out of a test of the BCDR Plan (including a test of the BCDR Plan’s procedures) shall not relieve the Contractor of any of its obligations under this schedule 2 or otherwise.

23.10. The Contractor shall also perform a test of the BCDR Plan as part of the commissioning of any new project.

24. INVOCATION OF THE BUSINESS CONTINUITY AND DISASTER RECOVERY PLAN

24.2. In the event of a complete loss of service or in the event of a Disaster, the Contractor shall immediately invoke the BCDR Plan (and shall inform the Authority promptly of such invocation). In all other instances the Contractor shall only invoke or test the BCDR Plan with the prior consent of the Authority

NHS Blood and Transplant (NHSBT) Supplementary Conditions of Contract for the Supply of Services

NHSBT0426/S/SP PPM North

These Conditions will apply to all framework agreements and/or contracts awarded by or on behalf of National Blood Service (NBS), Organ Donation and Transplatation (ODT) and any other operating divisions of NHSBT referred to within the invitation to tender.

For the purposes of these Conditions, any reference to Contract will be deemed to apply equally to contracts and framework agreements.

The Contracting Authority will be NHSBT (hereinafter referred to as the Authority).

1. Price Variation and Review

1.1 All prices under this Contract shall remain fixed for Contract term. Thereafter, prices may be subject to price variation.

1.2 Any variation in the Contract price must be requested in writing a minimum of three months prior to the anniversary date of the Agreement. Either party may request a price variation.

1.3 The Contractor will be required to provide the Authority with satisfactory evidence of increased costs which it has incurred or will incur and which are beyond its reasonable control in order to substantiate any request for a price increase.

1.4 The Authority shall not consider any request for a price increase that exceeds the percentage increase in the Consumer Price Index (CPI) for the twelve-month period immediately preceding the request for the price review. The Authority reserves the right to accept or reject any such request, at its sole discretion.

1.5 “Consumer Price Index” or “CPI” means the General Index of Consumer Prices which is published in the United Kingdom by the Office for National Statistics or, if the same ceases to be published, then the index which the Authority determines to be the most comparable to it.

1.6 No changes to prices will take place without the written consent of the Authority.

of 132 1.7 There is no provision under this contract for fuel price increases

2. Termination of Agreement.

2.1 The Authority may in addition to its rights under any other provision of the Contract, terminate the Contract at any time by giving one months notice in writing to the Contractor. Upon the expiration of the notice the contract shall terminate without prejudice to the rights of the parties accrued to the date of termination.

3. Timing

3.1 Time shall be of the essence with regard to the obligations of the contractor under the contract.

4. Supplier Audits.

4.1 The Authority reserves the right to undertake supplier quality audits which may cover technical, financial and commercial aspects of the Contract. Such audits may involve Authority representatives visiting the Contractor’s, and if appropriate the Contractor’s suppliers’, premises. Written notice of the proposed audit and the scope of the audit will be provided to the Contractor by the Authority.

4.2 In accordance with GMP and EC Law, the regulator is able to undertake a GMP audit or inspection of the Contractor in so far as that Contractor is a supplier of goods and/or services to the Authority.

5. Environmental Issues.

The Contractor shall periodically be required to complete an environmental questionnaire, as requested by the Authority.

The Contractor must provide an assessment of the environmental impacts associated with delivering the contract and how these impacts will be managed during the execution of the contract and notify the Authority of any changes to the provided information.

6. Disability Discrimination Act

Suppliers to the Authority must comply with the Disability Discrimination Act 2005 (as amended) and must report on compliance with this Act and any subsequent Act, as required, during the contract period.

7. Expenses

All expenses emanating from this contract should be approved in advance and in writing by the project manager or other NHSBT nominated representative. Such expenses include any travelling (only if appropriate) meals allowance, night allowance and incidental expenses.

All expenses should be in line with the Subsistence Allowances published by the NHS under Agenda for Change (terms and conditions handbook).

Please consult your contact in Procurement should you require a copy of these.

of 132 8. Ownership of NHSBT records and audit trails

NHSBT records and audit trails held by the service provider remain in the ownership of NHSBT and shall be released to NHSBT at no additional cost upon expiration or termination of the contract

The service provider will provide the details held for NHSBT records in an agreed electronic format at no additional cost upon expiration or termination of the contract.

of 132

SUPPLEMENTARY CONDITIONS OF CONTRACT

These Conditions are supplementary to the National Health Service Conditions of Contract for the Supply of Services

“Tenderers’ attention is drawn to the provisions of the European Acquired Rights Directive EC 77/187 (henceforth referred to as EARD) and TUPE. It is the view of the Authority that TUPE may apply to the transfer of the Contract from the present Contractor to a new one, giving the present Contractor’s staff (and possibly also any staff employed by present subcontractors) the right to transfer to the employment of the successful tenderer on the same terms and conditions. The above does not apply to the self employed.

Tenderers are advised to form their own view on whether TUPE applies, obtaining their own legal advice as necessary.

To assist this process the Authority is seeking workforce details from the present contractor. This information will be supplied to you on request, on the basis that you treat all such information as strictly confidential; that you do not disclose it except to such people in your organisation, and to such extent, as is strictly necessary for the preparation of your tender; and that you do not use it for any other purpose.

The Authority will use reasonable endeavours to obtain TUPE information from the incumbent supplier, which will be available on request to all tenderers, however the tenderer must satisfy themselves that the information is complete and correct. The NBS accepts no liability in this information or its application.

The successful Contractor will be required to indemnify the Authority against all possible claims under TUPE.

It is a further requirement that the successful tenderer will pass on details of their own workforce towards the end of the Contract so that this information can be passed to other bona fide tenderers, to assess their obligations under TUPE in the event of a subsequent transfer.”

Should details of any increases to salary etc. which may affect tenderers’ offers fail to be provided during the tender process, the Authority will not be liable for any such increases. The contractor shall be responsible for any payments to staff in the event of such increases which have failed to be identified.

GAD CERTIFICATION

When a body employs people who were compulsorily transferred from the public sector under TUPE, it is required to provide these employees access to a pension scheme that provides benefits of equivalent value to the benefits which the employees would have had had they not transferred.

of 132 It is therefore a requirement for tenderers to provide a Pension Scheme which holds a Government Actuary’s Department (GAD) Certificate. It is a condition for contract award that a Certificate is held by the successful tenderer.

of 132 Signature Page

This agreement is made the ……………… day of ………………2013 between NHS Blood and Transplant hereinafter referred to as “The Authority” of the one part and MITIE Technical Facilities Management hereinafter called “The Contractor” of the other part.

Whereas the Authority desires to engage the Contractor to provide certain services to The Authority.

And whereas the Contractor has submitted to the Authority a tender for the provision of such services which the Authority has accepted.

For and on behalf of: For and on behalf of:

NHS Blood and Transplant MITIE Technical Facilities Management Authorised Signatory: Authorised Signatory:

Name: Name:

Title: Title:

Date: Date:

Witnessed by: Witnessed by:

Name: Name:

Title: Title:

Date: Date:

of 132 Schedule A: Contract Requirements

SPECIFICATION FOR THE PROVISION OF PLANNED PREVENTATIVE MAINTENANCE CONTRACT REF: NHSBT0426/S/SP Northern Region

NHSBT0189/190 v1 Page 93 of 132 Document 6

Provision of Planned Preventative Maintenance – Northern Region

Tender reference:

Specification for Mechanical, Electrical, Building Maintenance, Reactive Services & Minor Works Projects.

Section Title 1.0 Overview 2.0 Definitions 3.0 Variation of Conditions 4.0 Scope of Contract 5.0 Emergency Call Out & On Call Cover 6.0 Specification 6.1 Statutory Obligations 6.2 Specialist Testing 6.3 CAFM Management System 6.4 Mobilisation Period & Asset Condition Surveys 6.5 Building, Electrical, Mechanical & Catering Maintenance Tasks 6.6 Asset List 6.7 Maintenance of Assets 6.8 Manufacturers Instructions 6.9 Thermal Imaging 6.10 Fixed Wiring Inspection & Testing 6.11 Testing of Portable Appliances 6.12 Plant Shutdown & Disruption of Services 6.13 Spares & Consumables 6.14 Records Overview 6.14.1 Records General 6.14.2 Records Detailed 6.15 Performance monitoring (SLA & KPI’s) 7.0 Use of Specialist NHSBT Approved Contractors 8.0 Use of Specialist Approved Sub-Contractors 9.0 Liaison with Other Bodies – NHSBT Specialist Contractors Trusts & Landlords 10.0 Equipment on loan 11.0 Contract Management and Client Team 12.0 Instructions to the Contractor 13.0 Site Visits 14.0 Contract Variations 15.0 Removal and Addition of New Sites 16.0 Health & Safety 16.1 Permits to Work 16.1.2 Authority to Work

NHSBT0426/S/SP 280912 Page 94 of 132 16.2 Fire Safety 16.3 NHSBT Site Rules for Contractors 16.4 Induction & Training 16.5 Staff 17.0 Price and payment 18.0 Defects Liability Period 19.0 General Information

App’x 1 Pidion BIP600 Handheld computer

NHSBT0426/S/SP 280912 Page 95 of 132 NHS Blood and Transplant (NHSBT)

Specification for Mechanical, Electrical, Building Maintenance, Reactive Services & Minor Works Projects.

1.0 Overview

Contractors who provide goods or services to NHSBT must understand the critical nature of the work undertaken by NHSBT. Failure to meet the contract requirements can impact on the collection of Blood and Tissue Products and transplant services from Donors, the testing or processing of the Blood and Tissue Products. Stock levels can be measured in days and even hours, therefore a continuous flow of Blood and Tissue Product and transplant services to NHSBT is critical if it is to meet the demand of hospitals for the treatment of Patients.

By its nature, the work undertaken by NHSBT has a very direct impact on Patient Lives and is often life saving in nature – the effective operational delivery of this Maintenance Contract plays an essential part in ensuring the continuity of services on which NHSBT rely.

The Contractor should be aware that a key element of the contract is ensuring that NHSBT remains compliant with statutory requirements and with working to Good Manufacturing Practice (GMP) in keeping with working in a pharmaceutical environment together with all other relevant details as noted in the paragraphs set out below.

The purpose of this Specification is to give a clear understanding of the proposed requirements and the expected outcomes of the service. NHS Blood and Transplant (NHSBT) is a pharmaceutical manufacturer and distributor and it is obliged to adhere to European legislation relating to GMP and demonstrate stringent levels of control in order to satisfy the requirements of the Medicines and Healthcare products Regulatory Agency (MHRA). This Specification is intended to highlight the important role that the appropriate level of maintenance and attendance to reactive works plays in the contribution towards this key NHSBT business commitment.

The standards identified in this Specification shall be read in conjunction with statutory requirements for all aspects of the Contract. It is the Contractor’s responsibility to ensure that they have a clear understanding of the complexity of the service and the delivery requirements.

The maintenance of the mechanical, electrical services and related services within NHSBT’s premises provides a suitable environment for the Products and Services which relate to MHRA and GMP requirements together with the general requirements for both staff and the public. This results in a high degree of importance in ensuring that all necessary environmental conditions including temperature & humidity requirements are controlled within the agreed parameters together with the provision of reliable electrical installations.

The Contractor should be aware that compliance with such stringent requirements includes a high degree of regulation, conformance with procedures, and provision of a full audit trail. Examples of such procedures will include prompt action in closing out Quality Incidents (QI’s), carrying out Corrective

NHSBT0426/S/SP 280912 Page 96 of 132 Actions within agreed timescales and as necessary utilising Root Cause Analysis. The performance of the Contractor will be measured throughout the contract period via regular reporting, monthly reports through to Key Performance Indicators (KPI’s). Liquidated Damages for poor performance will be stringently applied. If other Contractors are used to undertake works to remedy deficiencies in the service, NHSBT reserves the right to charge the maintenance Contractor for the all the works.

All Contractors will be required to undertake training this will include a half day long Blood Tour for Site Engineers, Supervisor level staff. All Contractor’s staff and Subcontractors working on the contract will require GMP Awareness training which will take no more than one hour. They must attend the training course before they start on site. The contractor is to allow for this requirement in the tender response which is to include for the Labour time only and associated travel costs – the cost of providing the courses is down to NHSBT. This will be provided by Estates & Facilities (E&F) throughout the length of the contract, for all new staff and Subcontractors before they start work on site.

The Contractor shall not be limited in their ability to be innovative and to deliver a quality service with demonstrated value for money benefits.

The contract will be for Building, M&E and associated Specialist services as may be defined, which will include Reactive and Minor Works Projects.

The Northern Region covers:

 Northern Principle Sites: – Manchester, Liverpool, Leeds, Sheffield and Newcastle. Due to the on going strategy reviews NHSBT reserves the right to add or remove sites. There are several other minor satellite sites and remote office locations within the region comprising Donor Suites, Warehouses and Team Base building locations. (See attached Schedule F). Separate costs will need to be identified for all the various sites.

2.0 Definitions

NHSBT means the Health Authority placing the contract. Health Authority means a Health Authority, Special Health Authority or NHS Trusts, as the case may be.

The contract means the agreement concluded between the NHSBT and the Contractor, including all specifications, plans, drawings and other documents incorporated or referred to therein.

The Contractor means the person who by the contract undertakes to supply the services to NHSBT as provided for in the contract. The Contractor also includes Sub- contractors working on behalf of the Contractor.

The contract price means the price exclusive of value added tax that is payable to the Contractor by NHSBT under the contract for the full and proper performance by the Contractor of its part of the contract.

The goods means all goods, materials or articles that the Contractor is required under the contract to supply in connection with the services.

NHSBT0426/S/SP 280912 Page 97 of 132 The services means the services and the goods that the Contractor is required to supply under the contract.

The NHSBT representative means the person appointed by NHSBT and notified in writing to the Contractor to act as the representative of NHSBT for all purposes connected with the contract, or the authorised representative of such a person.

Personal data has the same meaning as in section 1(3) of the Data Protection Act 1984.

3.0 Variation of conditions – (See attached Terms and Conditions)

All quotations must be provided within a maximum 10 days from receipt of NHSBT request.

4.0 Scope of Contract

The contract will include the provision of a dedicated competent and suitably experienced Contract Manager; the time allocation for this resource will be reviewed formally in conjunction with NHSBT to agree the percentage allocation dedicated to the contract, which in Year One will be 100%. By agreement this will then result in savings on a cost share basis.

Supervisory Resource will be made available to interact as necessary to ensure the smooth and effective operation of the contract.

Suitable qualified and experienced Site Engineers will be provided as a dedicated resource at principal sites as defined under clause 1.0 above.

Mobile engineering services for the execution of planned preventative, reactive and statutory maintenance to all electrical mechanical installations and building services (Contractor to review Asset Lists and Task Sheets) including a wide range of building controls systems, heating, ventilation, plumbing, electrical, catering, cooling equipment, building services together with grounds maintenance across the NHSBT property portfolio. The contract will also include an element of Minor Works Projects.

NHSBT reserves the rights to approve all staff working on the contract. Any Contractor’s staff or Subcontractor’s staff who do not meet NHSBT requirements must be removed off site when requested.

The list of items below is indicative of the scope of works to be undertaken by the Contractor for this contract and is not exhaustive:-

 HVAC  BMS Systems  Electrical including HV  Fire and equipment alarms  Fire Fighting Equipment  Gas Suppressant installations  Gas service and detection  Generators  Loading bay doors, auto-doors and shutters  Switchgear maintenance & LV Distribution up to and including local distribution boards.

NHSBT0426/S/SP 280912 Page 98 of 132  PAT & thermal imaging  Mechanical services and Heating services: Including pumps, heating appliances, calorifiers, distribution system including steam & condensate and controls.  Domestic Hot & Cold Water Systems:  Lifts: Includes release of trapped passengers.  Refrigeration plant  Car parking barriers  Lamp cleaning  Attendance to Statutory Examinations  External & Internal plumbing: Including sanitary ware, above and below ground drainage and guttering systems, gullies, interceptors.

Planned Maintenance

The contract is to include all maintenance for plant existing in the building, with the exception of specialist items the Contractor shall be responsible for employing necessary competent Engineers and Subcontractors where appropriate and shall be totally responsible to ensure that they carry out the works in accordance with the terms of the contract and specification.

Reactive Works

Additionally, the contract is to support the region with a Reactive service working to agreed service levels through local E&F staff. The Reactive service may also include Minor New Works as agreed and resultant works identified following investigations or PPM visits.

Minor Works / Project Works

The Contractor may be requested to undertake Minor Works / Project Works on any NHSBT site. Some works may need to be tendered and may typically range from the replacement of individual items of plant and equipment through to refurbishment of office areas and Laboratories including partitioning works, new flooring and ceilings, external works and fencing, etc. The Contractor shall also be required to support such works where isolations of services etc are required.

Where a quotation / tender is requested, a full and detailed breakdown of costs into the constituent individual elements of Labour / Plant / Materials / Subcontractors / Hired Items shall be provided including all associated ‘mark-ups’ which shall be in accordance with the terms of this contract.

Furthermore, the Contractor will obtain quotes from Specialist Subcontractors, ensuring best value for money, where directed and make these available to NHSBT where, if the work proceeds, the Contractor will be entitled to the appropriate ‘mark- up’ as defined by the contract.

A Programme of Works will be required where requested and it will be the responsibility of the Contract Manager to ensure the works are co-ordinated with NHSBT, and the Maintenance Engineers as required. Reports on progress will be given as a minimum as part of the routine Monthly Reports and any variations will be costed and agreed in writing with NHSBT.

A 12 month Defects Maintenance Period will apply to the Project Works.

NHSBT0426/S/SP 280912 Page 99 of 132 NHS Trusts/Shared sites

Some sites are associated with other parties and services such as steam and electricity are provided by the associated Third Parties. The demarcation point for maintenance is to be considered to be the isolation point (valves, switches, secondary circuits etc) where the service enters the area for which NHSBT has responsibility. If in doubt, check with NHSBT.

Specialist Subcontractors

NHSBT require the Contractor to employ specialist Subcontractors to carry out the specific elements of work. The Contractor is to have ‘back to back’ contracts with their Subcontractors so that the Subcontractor is working to the same Specification and performance criteria as the Contractor - (See section 9.0). Copies of these contracts must be presented to NHSBT within 2 months of the start of the contract.

The Contractor must visit the sites at the time of tendering to establish the full extent of the works. NHSBT will not accept any claim for lack of knowledge.

5.0 Emergency Call Out & On Call Cover

The Contractor will be expected to provide an emergency call-out service. The emergency service is to cover all sites 24 hours per day and 365 days of the year. The emergency response time shall not exceed the stipulated response period from logged phone call to attendance on site. (The response times are as defined in clause 6.15). The Contractor must ensure, as far as is reasonably discernable, that the appropriately qualified Operative or Specialist is made available to respond to the initial call.

NHSBT staff availability during out of normal hour’s call-outs is limited and it is therefore essential that all staff employed by the Contractor for this service have reasonable site knowledge and are competent to attend any breakdown of the plant listed in the plant schedules. They should be aware of the location of plant rooms, access points, and location of all associated information on site, and main service runs and isolation points.

If the out of hours call-out is not a matter which can be easily rectified or made safe without potential consequential effects on the building or Products, the Contractor’s Representative will be required to telephone an NHSBT Representative within one (1) hour of arrival on site and inform them of the cause of the fault, if known, its effect on the building, its likely further effect and estimated time to rectify.

From the information provided the NHSBT Duty Manager may set in motion National Emergency Planning Procedures.

The Contractor’s Representative will be required to leave a full report sheet for the NHSBT Representative for all incidents. The report should indicate the actions taken and recommendations. Such reports apply to all works carried out for NHSBT and should be provided within an agreed period.

The Contractor shall identify separately costs for the out of hour’s management of critical alarms via remote monitoring to allow early rectification of faults.

NHSBT0426/S/SP 280912 Page 100 of 132 6.0 Specification

The Contractor shall provide Site Engineers for Maintenance, Reactive & Project Works for Main Blood Centres – See Schedule F. The Contractor is reminded that Reactive Works are not necessarily restricted to mechanical and electrical works. Mobile Engineers will be required to serve sites other than the Main Blood Centre sites.

The works shall be carried out at the locations detailed in Schedule F.

6.1 Statutory Obligations

The Contractor shall be responsible for ensuring that all plant and equipment is maintained in accordance with NHSBT Tabs Computer Aided System with any of the statutes, by-laws or other laws and regulations. These shall include, but not be limited to, Healthcare Technical Memorandums (HTM’s), NHS Advice Notes, NHS Guidance Notes, Health & Safety legislation encompassing COSHH, Electricity at Work Regulations and other amendments to legislation as applicable.

In addition, should the Contractor be of the opinion that any of the installations, systems, equipment, plant and materials used do not comply with such statutes, by- laws, laws and regulations, the Contractor shall inform NHSBT and/or NHSBT’s Representative immediately of its views and shall comply with any instruction or decision of NHSBT. In this respect the Contractor will be deemed to be the ‘duty holder’ in compliance with the Electricity at Work Regulations.

The Contractor shall be responsible for an element of programming and partnership and timely attendance to all Statutory Inspections, liaising with relevant representatives and/or insurance inspectors who will be nominated by NHSBT on matters concerning any Statutory Building Services installations. The Contractor shall be responsible for ensuring that all their employees and Subcontractors carry out works strictly in accordance with Health and Safety, COSSH, Electricity at Work regulations etc. The Contractor shall be in attendance at all such visits to strip down any and all plant associated with such inspections (for the provision of insurance purposes etc) and shall restore any and all plant back to operational conditions upon completion of any inspection. In executing this service, the Contractor must ensure that NHSBT is compliant at all times with all statutory obligations, including during periods of emergency shut down requirements. Any comments or recommendations passed by the Inspectorate shall be noted by the Contractor and passed on immediately to NHSBT Representative and must be resolved within any stipulated timescale required either by the Inspector or NHSBT.

 The Contractor shall be responsible for ensuring that all their employees and Subcontractors carry out any work strictly in accordance with Health & Safety, COSHH, Electricity at Work, Asbestos Regulations and all other legislation, by- laws and amendments.

 The Contractor shall submit a copy of their Health & Safety procedures, risk assessments and method statements before undertaking any activities within the building or its boundary.

NHSBT0426/S/SP 280912 Page 101 of 132 6.2 Specialist Testing

Any statutory and specialist testing shall be undertaken by the Contractor or their Subcontractors. Availability of test certification for specific buildings and tasks, including the next test date where known, are available at each main site location for review.

The test shall cover all the requirements of the appropriate Statutory Instruments and Regulations. The following list outlines the type of tests required. The Contractor shall determine the extent of the tests as the list is not to be treated as comprehensive.

 5 yearly IEE Fixed Wiring Testing and Inspections  Statutory examination of Lifts and lifting equipment  Fire Safety  SaFED examination for lifts  Window cleaning eye bolts  Permanent access equipment  Pressure systems  Chlorination certificates  Lightning Protection

NHSBT shall utilise specialist Contractors or Consultants to provide independent inspection services on installations and services including but not limited to the following:-

 Water services installations in respect of L8

 Statutory inspection of equipment and installations falling under the Pressure Systems Safety Regulations-(Note that the Contractor shall include in the Tender Return for providing a Lift Rescue Service)

 Internal Ductwork inspection

 Statutory inspection of lifting equipment

 Fire Safety Specialist

 Asbestos

These specialists are not responsible for the maintenance of this equipment, this is the responsibility of the Contractor and the Contractor will be required to liaise as necessary with these specialists to allow such independent inspections being carried out as necessary. This may include but not limited to demonstrating & preparing equipment / vessels for inspection and restoring to full operation after inspection ensuring compliance at all times.

The Contractor will also be responsible for completing as necessary any logbook entries / documentation, which may be, provided by others i.e. water logbook.

Water logbooks provided by the NHSBT specialist will be located at a suitable agreed location on each NHSBT site and the Contractor is responsible for ensuring that all relevant entries and certificates are provided within these logbooks to provide a full audit trail of works / tests carried out on such systems.

NHSBT0426/S/SP 280912 Page 102 of 132 6.3 CAFM Management Systems

The NHSBT Computer Aided E&F Management (CAFM) software package (Tabs) operates throughout the whole country. The Contractor and NHSBT’s administrator will be expected to explore areas which can improve the management of the contract to the mutual benefit of both the Contractor and NHSBT.

The Contractor is to use the Tabs database for all PPM and Reactive Works. The Contractor’s CAFM system is not to be used to monitor NHSBT PPM activities.

The Contractor must confirm in writing that they are prepared to use the Tabs information as the primary source of information / database relating to the performance of the contract.

The Contractor’s staff will be expected to use NHSBT IT infrastructure to manage and utilise NHSBT CAFM system for the planning, management and close out of Planned and Reactive tasks.

6.4 Mobilisation Period & Asset Condition Surveys

The Contractor must access all sites other than a Main Blood Centre site through the E&F Office associated with that satellite site, as not all remote sites are manned during normal working hours and access is therefore restricted. The Contractor shall within the mobilisation period review all assets and provide a dilapidation report complete with photographic evidence for all major equipment and plant detailing the condition, future life expectancy complete with any other relevant comments.

The costs for carrying out the condition surveys, is to be included within the tender sum. Within 90 days of contract commencement, the Contractor is to visit all of the NHSBT properties included within the contract and carry out the initial maintenance visits. At the same time the Contractor will carry out an accurate and detailed survey of the properties to establish the accuracy of the Asset Schedules, and fully detail the condition of the assets issuing a report. Costings for any remedial works shall be included within the report. The report detailing the condition of the assets and costs for remedial works is to be submitted prior to the end of this period and updated and submitted annually upon each anniversary of the contract.

Major plant will include but not necessarily limited to switchgear, air handling units, fan systems, boiler plant, chillers, split system chillers/heat pump units, pumps, tanks, controls, lifting equipment, hot water generation plant & specialist equipment.

NHSBT have a Critical Plant list that needs to be maintained to ensure we can produce products to support the core operation. Critical Plant will be identified as either Category 1 or Category 2 by the NHSBT representative and relates mainly to installations supporting GMP operations and the core activities of the Client organisation.

No Critical Plant PPM plant inspection must be missed; all inspections must be undertaken as scheduled.

NHSBT0426/S/SP 280912 Page 103 of 132 6.5 Building, Mechanical, Electrical & Catering Maintenance Tasks

See attached schedules.

Schedule B NHSBT Mechanical Tasks Schedule C NHSBT Electrical Tasks Schedule D NHSBT Catering Tasks Schedule E NHSBT Specialist Task

6.6 Asset List

The PPM schedule has been produced using existing plant and equipment Asset List, which by their nature, as subject to change as Project Work is undertaken on the sites or items of plant and equipment are replaced due to failure or life cycle renewal.

Schedules of Tasks are listed in section 6.5 and appended to this Specification

 The Asset Lists indicate the overall parameters of the premises content. The Contractor shall provide accurate and comprehensive (or verify following interim Contractor updates) asset schedules of all equipment within the premises appertaining to this Specification, within three months of appointment with a formal requirement for the asset register to then be reviewed and updated on a regular basis with NHSBT.

See PPM Asset Schedules.

Schedule K Leeds and Associated Satellite Sites Schedule L Liverpool and Associated Satellite Sites Schedule M Manchester and Associated Satellite Sites Schedule N Newcastle and Associated Satellite Sites Schedule O Sheffield and Associated Satellite Sites

 All equipment and plant has been identified and individually labelled in a manner to suit NHSBT requirements. It will be the Contractor’s responsibility to give advice on any additional labelling.

6.7 Maintenance of Assets

It is the policy of the NHSBT to ensure the safe operation of buildings and equipment for Staff, Donors and Visitors. Building and Equipment maintenance is key to delivering the organisation’s operational objectives

The NHSBT policy is to maintain all their properties and assets to satisfy statutory and best practice requirements, to prevent unnecessary breakdowns that may affect the core business, improve asset efficiency and comply with legislation and landlords lease requirements to which end all maintenance activities must be completed in line with the NHSBT maintenance policy MPD120 and SOP 440, see schedules P & Q.

The Contractor shall include within their tender the maintenance of all such ancillary equipment associated with the entire heating and ventilation systems, this includes but is not limited to all Building Management Systems (BMS), as identified in the site asset registers, the Contractor will allow for all specialist Subcontractor costs and maintenance visits for such equipment. The Contractor must maintain each BMS at

NHSBT0426/S/SP 280912 Page 104 of 132 each site as recommended by the manufacturer, the task within schedule C (E9) only giving indicative information to what is required to be carried out.

Various assets identified on the Asset Lists are detailed in groups, including but not limited to pipe work and ductwork, which may themselves include pipeline valves, strainers, volume control dampers, etc. A site visit is recommended to evaluate such items. It is the Contractor's responsibility to satisfy themselves in respect of the above matters and it should be noted that no subsequent claim based upon lack of knowledge of a site will be accepted. The Contractor shall also note that some equipment is identified without any reference to interconnecting or ancillary components, including but not limited to:-

 Remote/External Controllers associated with plant and equipment  Integral Controls within plant and equipment

Where Maintenance Tasks relate to pipe work, valves and insulation for items of plant and equipment it is deemed that the related distribution and interconnection systems items, both internal and external to the sites, are included in the tasks. This includes but is not limited to:-

 Safety Valves  Pressure gauges  Temperature gauges  Expansion loops/bellows  Auto/manual air vents

The above is not exhaustive but used for indicative purposes only

Where there is a discrepancy of maintenance frequencies between the Asset Schedules and Maintenance Tasks, the Task Sheet should take precedence in the first instance (and subject to manufacturing instructions).

Where the Maintenance Tasks refer in general to `check` ` examine` `inspect`, the Contractor is to report and carry out any remedial works as required by the contract or in other situations report abnormalities. The Contractor shall report any required remedial works without delay.

Where, due to inadequate maintenance, spares or mal-operation of plant, equipment or installation, and a service is unavailable, the Contractor shall immediately inform NHSBT and within 24 hours of unavailability. It is the Contractor’s responsibility to provide an adequate temporary service at the Contractor’s own expense.

The Contractor will not be held responsible for repairs to plant and equipment that can be demonstrated to be as a result of vandalism or misuse. NHSBT will fully reimburse the Contractor for repairs carried out in such cases.

It is the sole responsibility of the Contractor to undertake analysis, replenish chemicals, ensure correct dosage and adjust dosage controls. The Contractor shall note that NHSBT will engage an independent Consultant to audit the water systems but this will not absolve the Contractor from their responsibilities.

NHSBT0426/S/SP 280912 Page 105 of 132 6.8 Manufacturers Instructions

The Contractor shall check and bring to the attention of NHSBT representative any requirements of the relevant equipment manufacturers instructions were the maintenance tasks / intervals are different to the maintenance tasks / intervals as set out in the NHSBT schedules.

In situations where manufacturing instructions / recommendations exceed the tasks or frequencies as stated in the tender document, the recommendations of such manufacturer’s instructions and / or GMP shall be brought to the attention of the NHSBT Representative.

6.9 Thermal Imaging

The Contractor shall provide within the schedules accompanying the Form of Tender a cost for the undertaking of annual thermal imaging and provision of a related comprehensive report at all properties. The assets to which thermal imaging will apply are main electrical switchgear LV and HV, all electrical distribution boards, electrical sub distribution systems, electrical control panels and heating, ventilating and air conditioning control panels.

6.10 Fixed Wiring Inspection & Testing

A list of properties requiring 5 year Electrical testing is shown in schedule F. The Contractor shall provide within the schedules accompanying the tender, a cost for the undertaking of fixed wiring inspection and testing in accordance with the requirements set out by the NICEIC and the provision of a related, comprehensive report and test certificate for all properties. The Contractor must be conversant with the specific requirements of NHSBT in so much that there can be no disruption to Main Blood Centre operations or any impacts with regard to Good Manufacturing Practice , thus the majority of testing will be completed out of hours and will be subject to detailed planning and risk assessments which must be signed off by E&F

10% of all Laboratory lighting will be subject to a 100% test and inspection. This rationale is subject to the outcome of the results of the tests noted above.

The Contractor is to provide a method statement with their tender of how they intend to undertake the fixed wiring inspection and testing process when requested.

6.11 Testing of Portable Appliances

The testing of portable appliances shall be carried out at each of the properties in accordance with the frequencies laid out in NHSBT MPD for Electrical Safety (See schedule S – note this schedule refers to older NHSBT terminology and requires a revision update, but for the purposes of this contract, the principles remain unchanged) with the asset schedules and maintenance tasks. The asset schedule H indicates the current number of appliances against which the Contractor shall include costs in their tender for testing but the actual remuneration to the Contractor will be on a unit cost/cost per number of appliances actually tested basis. The test results are to be provided in both hard and electronic copy formats or via a web portal.

NHSBT0426/S/SP 280912 Page 106 of 132 6.12 Plant Shutdowns & Disruption of Services

The Contractor shall be responsible for arranging out of normal hours working in order to carry out planned preventative maintenance tasks that may be disruptive to NHSBT’s operation. The cost of any out of hours work shall be included in the annual lump sum.

Out of hours shutdowns will relate to critical equipment / operations and would include but not necessarily limited to: -

 Electrical and mechanical services serving critical plant and equipment/GMP areas  Chlorination’s  Clean rooms  Relevant drainage Due to the interconnections of various Plant and sensitivity of inoperability, no plant (assets) shall be shut down, isolated or disconnected without prior approval of the NHSBT Representative responsible for that site location. The NHSBT Representative should be provided with notice in advance of such shutdowns in line with agreed notice periods.

The Contractor is advised that NHSBT has specific Management Process Descriptions (MPD’s and SOP’s) to control any planned shutdowns or outages for the purposes of Maintenance, Repairs or Projects which can impact on any NHSBT operation or process, which is NOT limited to areas under the control of GMP. Copies of such documentation will be available to be viewed by the Contractor.

Unless there has been prior written agreement from the NHSBT Representative, no plant, specifically where this has an impact on Good Manufacturing Process, the end user and/or the business, is to be put into an inoperable state without agreement with NHSBT Representative. This will include examples such as the removal of fuses, isolation of plant, equipment, air handling units. Any such agreement will take into account availability of standby plant and site operational status/requirements and will usually be determined via Method Statements/ Operational Risk Assessment. There are to be no system outages attributable to inadequate maintenance or operational errors on behalf of the Contractor or its Subcontractors.

6.13 Spares & Consumables

The Contractor shall during the mobilisation period collect details of all spares required to ensure that NHSBT sites can be maintained with minimum disruption to service. The Contractor shall also make NHSBT aware of any equipment where spares would be difficult to obtain. In addition to the spares requirement as identified by NHSBT, NHSBT will also make the Contractor aware of any specific spares that are deemed necessary. All spares shall be kept in suitable / agreed locations and a complete up to date list of such spares shall be maintained. New spares shall be ordered ASAP i.e. when such spares are utilised on site.

The Contractor should be aware that the main Blood Centres and other specific premises are critical to the operation of NHSBT and that all practical means must be in place including provision of spares to ensure disruption to services is kept at a minimum. The Contractor must advise NHSBT on how their supply chain operates throughout their organisation.

NHSBT0426/S/SP 280912 Page 107 of 132 The Contractor will make adequate provision for the supply and installation/use of consumable materials and equipment to ensure the optimum efficiency and effectiveness of the assets at all times. Consumables will include:

 Oils and grease  Cleaning materials and equipment

The Contractor will make provision within the tender costs for all service consumable materials, equipment and tools in accordance with the maintenance specification.

For clarification the following are not classed as consumables and will be subject to reimbursement from NHSBT:-

 Filters  Lamps

The Contractor is to manage the areas in which spares and consumables are stored and to ensure that these areas are always kept in a clean and tidy condition with the items that may be required for emergencies easily accessible.

6.14 Records: Overview

All Contractors records will be subject to separate audits including NHSBT Quality Assurance Department (Self Audit), MHRA and NHSBT Representative Department. Please note this is indicative and may include other accrediting / auditing authorities as required.

The Contractor will be required to complete documentation issued by NHSBT to enable NHSBT records to be kept up to date. The Contractor shall provide NHSBT with such reports as are required, including the Monthly Report, while also making NHSBT aware of any necessary changes to the Asset List. It is emphasised that these Monthly Reports are important to NHSBT and will be expected to be made available in a timely and regular manner a minimum of three working days in advance of the periodic meetings - (see example Schedule J).

The Contractor will attend regular monthly meetings with NHSBT and to be represented by staff of an appropriate level of responsibility within the Contractor’s organisation. A formal quarterly review will take place with the Regional Manager, an Annual Review will be undertaken between NHSBT representatives and the Contractor on or about the anniversary of the contract award.

The Annual Review will include but not limited to the following sections / headings:-

 Production of overview report  Office audit  H&S  QA  Complaints  Performance  Finance  Innovation

NHSBT0426/S/SP 280912 Page 108 of 132 6.14.1 Records: General

Drawings, Manuals & PPM Records: all available Services Record Documentation including drawings and manuals in NHSBT’s possession shall be made freely available to the Contractor for use in maintaining the Building Services, with the condition that it remains on site at all times as the property of NHSBT.

The Contractor shall provide NHSBT with updates and information on a monthly basis to allow for the update all drawings and manuals. In this respect the updating shall comprise of amendments to the documentation clearly and accurately highlighted. All such records shall be kept on site and remains the property of NHSBT.

The Contractor should utilise a Management / Quality system that ensures the efficient and smooth running of the contract together with a full audit trail of all activities.

A programme chart indicating on a weekly basis for the full Contract Period, the service intervals of all plant, to enable all concerned to assess the labour materials requirements of site and identify the tasks to be performed and dates of site visits planned, and to include the attendance of Statutory Representatives and Insurance Inspectors who’s notifications will be NHSBT’s responsibility.

NHSBT site log book shall be maintained on site in a suitable agreed location and should be completed by the Service Engineer. The logbook is to include all Specialist Sub-Contractor’s maintenance visits and the Contractors Risk Assessments and COSHH details.

6.14.2 Records: Detailed

On remote sites the service sheets should be completed and returned to the relevant E&F office.

Copy of a typical logbook is available for inspection. Log books will be provided by NHSBT.

On departure from the premises the Contractor’s staff shall leave a service report to be attached to the weekly PPM schedules with the E&F Department/E&F Representative. The report must include details of the work or PPM completed and what remedial action is required. A list of tasks requiring detailed paperwork is shown in schedule K.

The Contractor shall be responsible for ensuring all electronic and Engineer’s paper worksheets are completed to the requirements of Good Manufacturing Practice. All records must be clearly legible and fully describe any actions taken and the status of the plant and equipment as it has been left. The Contractor will also be responsible for the management and correct completion of all site log books.

The Contractor will also be responsible for the completion of site fire, water and hygiene log-books and any other relevant records which may be required to ensure NHSBT remains compliant with both Statutory and Good Manufacturing Practice requirements.

NHSBT0426/S/SP 280912 Page 109 of 132 Tippex® or other paper correction fluid must not be used to change any records or documentation - All worksheets must be completed using blue or black ink, any amendments must be initialled.

Within the 12 months of the start of the contract, electronic handheld technology will be introduced by NHSBT to manage the contract and record relevant details.

The Contractor will liaise with NHSBT and procure 15 No handheld pocket PCs for the region which will be compatible with the Tabs Computer Aided System. The handheld pocket PC’s will become the property of NHSBT and will be retained by NHSBT at the end of the contract without further charge (Refer to Schedule R). The Contractor will allow for the costs of maintenance of the units for the duration of the contract and will replace any damaged or lost units at their expense.

6.15 Performance monitoring (SLA & KPI’s)

NHSBT will ensure they provide all necessary IT/computer equipment for the resident Site Engineer on the relevant sites for the successful operation and management of the contract. Telephone connection shall be provided by NHSBT.

NHSBT will undertake site inspections to review the performance of the Contractor / Contract.

‘Close-Out’ of Calls: the Contractor must make due allowance for ensuring timely close out of calls in accordance with NHSBT requirements.

An email link will be made available for the Site Engineers and all monthly reporting is to be in hard copy and electronic format.

The Service Level Agreement for responses to Reactive maintenance calls will be as follows:-

Priority Classification Response Time Response Time Investigate and make safe within 1 hour of notification, telephone, call/fax. Restore/repair or provide temporary alternative Facilities 1 within 4 hours of making safe. i.e. Immediate GMP Impact, GMP /H&S /BC Emergency Callouts Health and Safety / Business Critical – Immediate response. Investigate and restore / repair or provide temporary alternative 2 Facilities, no later than the next working day of notification. Health and Safety / Low Risk / Room Equipment - Layout Investigate and restore / repair or provide temporary alternative 3 Facilities, within 72 hours of notification. General Service Requests, Departmental Moves. Investigate and restore / repair or provide temporary alternative 4 Facilities, within one week of notification of telephone.

PPM only for remote sites. PPM on remote sites must be 5 completed within two weeks of the specified PPM date

NHSBT0426/S/SP 280912 Page 110 of 132 Investigate and restore / repair or provide temporary alternative 6 Facilities within one month of notification.

NHSBT, as part of its normal operating procedures, will undertake performance measuring, including audits of the properties within the contract, at such times as it is deemed necessary, and with or without notice to the Contractor to ensure satisfactory performance of the Contractor. Where the Contractor is given notice of the audits, the Contractor is to make available their Operatives to open up plant as required for NHSBT’s inspection.

7.0 Use of Specialist NHSBT Approved Contractors

Some plant is key to the operation of the site and will continue to be maintained by Specialist Contractors, directly appointed by NHSBT. There will be occasions when the Specialist Contractor will require interface support from the Maintenance Contractor. See Appendix A for details.

Any Subcontractor within this contract, appointed by the Contractor is to fully comply with NHSBT requirements in respect of Health & Safety.

The Contractor will be made aware that on specific buildings / installations / equipment warranties may exist which must be taken into account when attending to repairs. NHSBT will make the Contractor aware of such warranties and will agree the processes relevant to carrying out planned maintenance, reactive repairs and emergency repairs. The Contractor shall ensure that all relevant staff are aware that such arrangements may be in place. Such warranties may include specific equipment, complete installations and building fabric/roofing. The Contractor should be aware that in order to comply with the warranty arrangements, they may be requested to engage a Specialist Contractor to undertake maintenance for the duration of the Warranty or Defects Maintenance Period.

8.0 Use of Contractor Approved Sub-Contractors

NHSBT may require or the Contractor may choose to employ Specialist Subcontractors to carry out the specific elements of work. The Contractor must have ‘back to back’ contracts with their Subcontractors so that the Subcontractor is working to the same performance criteria as the Contractor. Current subcontractors are listed in schedule G, the contractor is to identify all proposed subcontractors in schedule G1.

 Thermal imaging

 Roller shutter doors

 Lifts

 Generators

 Chillers Main Plant (not DX systems)

NHSBT0426/S/SP 280912 Page 111 of 132  Clean Room AHU (Leeds and Sheffield)

 Car Park Barriers

 BMS controls - The on site operator will be allowed day to day access to the system but the servicing will be carried out by specialist contractor

 Water Purification

 Fire Alarms installation

 Catering equipment It is a key contract criterion of the contract, that the Subcontractors attending remote sites away from the main centres attend site on the same day as the visiting Contractor’s engineers.

Any Subcontractor within this contract, appointed by the Contractor is to fully comply with NHSBT requirements in respect of Health & Safety. (NHSBT would prefer Contractors who are registered through Safecontractor or Constructionline)

A comprehensive list of any proposed subcontracted works and Contractors used must be provided with the tender return. Any changes to the Subcontractors must be agreed with NHSBT during the currency of the contract. The Subcontractors must not in turn sub-let their works without the express agreement of NHSBT.

9.0 Liaison with Other Bodies – NHSBT Specialist Contractor & NHS Trusts & Landlords

The Contractor must work in partnership with NHSBT Contractors when carrying out the following maintenance tasks

 Security Group 4

 Water Hygiene Water Scientific

 Fire Safety Tenos

 Asbestos Safer Spaces

 Pressure Vessels Zurich (Insurance)

 Lifting Equipment Zurich (Insurance)

 Liquid Nitrogen Air Products

It should be noted that on a number of sites services such as steam are generated and provided by the adjacent Trust – the Contractor must allow for liaison and agreement of works in these instances.

10.0 Equipment on loan

If the Contractor agrees to provide replacement equipment on temporary loan while the services are being carried out on NHSBT’s own equipment, such loan shall be

NHSBT0426/S/SP 280912 Page 112 of 132 deemed to be a contract for the hire of goods as defined by section 6 of the Supply of Goods and Services Act.

11.0 Contract Management and Client Team

This contract will be administered by the NHSBT Representative Department. This is structured nationally with a Head of E&F and three Regional and one National Technical E&F Manager. Each region has a number of Area Managers and Deputies along with a small support team based at each of the main Centres.

It will be the Contractor’s responsibility to establish if TUPE applies to any of the existing Engineers working for the current Contractor working for NHSBT.

12.0 Instructions to the Contractor

Where requested by the NHSBT Representative to attend site for reasons other than Planned Preventative Maintenance, for example a call out to a breakdown or fault, the Contractor shall accept and act upon the verbal request which will be followed by written confirmation or purchase order in due course.

The Contractor shall not take instructions from any other NHSBT department.

13.0 Site Visits

It is the Contractor’s responsibility to visit all the main blood Centres and a representative sample of other site types during the tender period. Specific dates will be set by NHSBT to ensure all site visits are completed at the same time.

Contractors should ensure that they are made aware of the details of the site / demise.

14.0 Contract Variations

NHSBT may wish to vary from time to time the frequency or number of inspections for particular plant items. The Contractor will be notified by NHSBT in writing of the variations required, at which point, the Contractor will respond to NHSBT within five working days, the cost adjustments that will be to the basic price of the Contract.

All variations to the basic price of the Contract will be pro-rata on a monthly basis by the number of complete months that have passed since the last anniversary of the Contract. A variation will only be introduced when the 52-week planner is updated. All documentation will require version / date control.

Amendments to Asset List: the contract shall allow for additions or omissions of equipment from the Asset List to take account of asset changes. The contract will also allow for NBSBT to make any relevant plant/equipment changes within sites.

The Contractor will be responsible for advising NHSBT Representative of asset amendments and will agree with NHSBT variations to the contract to take into account these changes.

The Contractor shall within the tender return propose a pricing mechanism to detail how variations to assets will be calculated.

NHSBT0426/S/SP 280912 Page 113 of 132 Where new assets are to be added to the contract the Contractor must ensure that the assets are maintained / inspected at the correct time, taking into account the relevant maximum interval between inspections / maintenance.

NHSBT0426/S/SP 280912 Page 114 of 132 15.0 Removal and Addition of New Sites

The contract shall allow for additions or omissions of equipment from the Asset List to take account of NHSBT acquiring new sites or disposal of sites. The contract will also allow for NHSBT to make any relevant plant/equipment changes within sites.

The Contractor will be responsible for advising the NHBST Representative to allow them to update the Asset List to reflect these changes and will agree with NHSBT variations to the contract to take into account changes, which would include the addition or disposal of sites and their relevant assets.

Where new sites / assets are to be added to the contract the Contractor must ensure that the assets are maintained / inspected at the correct time, taking into account the relevant maximum interval between inspections / maintenance.

16.0 Health & Safety

NHSBT operates in a strict risk based health and safety environment and in carrying out the contract works the Contractor shall be responsible for and strictly comply with all safety, health and welfare measures required under or by virtue of the provisions of any enactment or regulations or working rules or codes of practice and any re- enactments thereof of NHSBT or of any industry associated with the contract works. The Contractor shall provide as part of the contract Risk Assessments, Method Statements and COSHH data sheets/registers relating for all maintenance tasks no later than one month from the commencement of the contract for each relevant site and for project works extra to contract, prior to project commencement. The Contractor will ensure that all doors, ducts, cupboards giving access to electrical, mechanical or other equipment will be kept locked unless work is being carried out and the Contractor will carry out periodic inspections, as part of the PPM schedule, to ensure that all such areas are free of waste materials, chemicals and other goods which should not be stored in such places.

The Contractor shall include within the contract sum for the removal and disposal of all consumable materials/equipment which would include lamps, filters, oils, redundant equipment, etc.

16.1 Permits to Work

NHSBT operates a ‘Permit to Work’ / ‘Authority to Work’ system; however, the Contractor is to produce their own Permit to Work system for use at the properties for their or their Contractor’s areas of responsibility. The format and operation of which shall be agreed with NHSBT. The permits are to include but not be limited to:-

 Restricted Areas  Confined Spaces  Roof Access  Fire Alarm / Extinguishment Isolation  HV Working  Hot Working  Pressure Vessels

Live Working will not be allowed on HV/LV installations

NHSBT0426/S/SP 280912 Page 115 of 132 The Contractor’s Operatives, Visitors and Subcontractors will comply strictly with the conditions imposed by Permits to Work. Under no circumstances will hot work be allowed without the specific agreement of the NHSBT Representative and appropriate precautions being taken to avoid fire and false fire alarms.

16.1.2 Authority to Work (AtW)

All works within GMP area or where work may interfere with others NHSBT will issue an AtW.

16.2 Fire Safety

The Contractor shall ensure that Employees or Subcontractors comply with NHSBT Fire Safety Management Plan (FSMP).

All combustible refuse shall always be collected and removed from the site as soon as practicable.

If at any time the Contractor, their Employees and Subcontractors should notice anything that they consider could be a potential fire risk, they must report this immediately to the NHSBT.

The Contractor shall strictly comply with any regulations which govern the storage of explosive, petrol or other materials brought on to the site.

The Contractor’s Employees and Subcontractors must familiarise themselves with the procedures to be followed in the event of a fire alarm being raised on the Site and if required must attend training lectures.

The Contractor will be required to liaise from time to time with NHSBT’s nominated Fire Specialist.

Contractors who work permanently on site must complete NHSBT Fire Training Tracker to ensure awareness of the dangers of fire, the precautionary measures to be taken and the action to be taken in the event of fire.

16.3 NHSBT Site Rules for Contractors

See attached NHSBT site rules - schedule T.

16.4 Induction & Training

The tenderer shall allow within their tender costs for the time and travel for their Employees involved in the Contract to attend NHSBT GMP inductions at each of the sites the week before the contract starts. All Contractors and Subcontractors must attend a GMP training course before they start work. The Contractor will not be allowed to work on site without the GMP certificate.

All key staff working on behalf of the Contractor and related to the contract must attend NHSBT ‘Blood Centre Tour’ and emergency procedures for Contractors during the first three months of the contract and thereafter as deemed necessary.

NHSBT0426/S/SP 280912 Page 116 of 132 16.5 Staff

The Contractor will be required to include in their return for the provision of the Site Engineers to be based on all Main Blood Centres as noted in Section 6.0. All site (resident) engineers must be direct employees of the contractor and all staff whilst working on any NHSBT property are subject to the same rules of conduct for NHSBT staff.

All work associated with the Contract shall be performed by suitably experienced & qualified personnel, who are well versed in their trade. In addition to which, they must be able to demonstrate a knowledge and awareness of potential hazards and risks that may present themselves in the course of their work, taking measures, as necessary, to prevent the hazard potential being realised. Engineers must be competent and qualified in their trade e.g. electricians must be qualified to perform work in compliance with the IEE 17th Edition (BS7671) Regulations, Gas Engineers must be qualified Gas Safe Engineers etc,.

The Contractor will be required to provide NHSBT with a current list of Engineers and their competence to work on specific plant. Certificates of competence for each Engineer will be required to be presented before the contract commences. The Contractor should be working towards the use of staff/engineers carrying Skill Cards for all relevant staff working on the contract.

NHSBT reserves the right to refuse access to the site to any person and to remove the Individual from the Contract or Subcontractor employed by the Contractor. In this event the Contractor shall be obliged to replace the same with a suitably qualified person or Subcontractor that meets with the approval of NHSBT.

The Site Engineers are to be employed as site specific and to work normal working hours (determinable by site operating conditions), this will usually comprise of five days a week and must be capable of undertaking all routine PPM activities. When not employed on PPM work the Engineer is to be employed by the E&F Manager on Reactive tasks as specified.

The Site Engineer must not be employed by the Contractor on any work other than the PPM and relevant Reactive works. Minor Works and Projects are to be carried out by other staff. The Contractor is to provide sickness cover over three days and holiday cover for the Site Engineer and such costs should be included in the Tender Return. The Site Engineer must be able to demonstrate effective and full use of their working day and be able to show a proactive approach. If a Handyman requires assistance the Site Engineer is to assist as required by the NHSBT representative.

The Contractor is to include for any “two man” PPM tasks within their tender price.

Space will be made available by E&F which will include a desk, chair and filing cabinet and an email link for the Engineer to facilitate good communications on the contract.

The Site Engineer must also be capable of co-ordinating visits from colleagues and Subcontractors. A mobile phone is to be provided by the Contractor for the exclusive use of the Site Engineer.

The Contractor’s Employees, Visitors and Subcontractors can use the toilets, showers and restaurant while working at NHSBT by arrangement with the E&F Representative. Dirty work clothing will not be allowed in the restaurant at any time.

NHSBT0426/S/SP 280912 Page 117 of 132 Any abuse of the buildings will result in the Engineer’s withdrawal from site and the Contractor will have to make alternative welfare arrangements.

While on the premises of NHSBT the Contractor shall comply, and shall ensure that its staff comply, with the requirements of the Health and Safety at Work Act 1974 and other relevant legislation, including regulations and codes of practice issued hereunder, and with NHSBT’s own policies and procedures.

All Contractor’s or Subcontractor’s staff shall report to the E&F Office or agreed Authorised Representative on arrival and departure from the premises. Contractors must ensure that they sign in as required at the various NHSBT premises and that E&F are aware of their presence on site.

The Contractor shall cause as little interference as possible with other activities on the premises.

The Contractor shall instruct their staff about fire risks and remind them not to smoke on any NHSBT premises.

NHSBT acknowledges its responsibilities to the Contractor and its staff under the Health and Safety at Work Act 1974 and COSHH (Chemicals or Other Substances Hazardous to Health) 1994.

The Contractor must satisfy the requirements of the Rehabilitation of Offenders Act 1974.

The Contractor will be responsible for immediately notifying NHSBT of any incident which requires the help or attention of any emergency service. In the event of NHSBT not being immediately available then the Contractor shall contact the relevant service without delay and notify the nature of the incident and the steps taken to alleviate the effect of the incident to NHSBT without delay. A written report shall be provided within 24 hours to NHSBT which shall include a statement by each of the Contractor’s personnel involved.

In the interests of security, all Contractors’ personnel will carry a Contractor identity card incorporating a recent photograph and will produce it on reasonable demand. NHSBT will also provide security passes for permanent based staff and mobile staff who are working permanently on the contract.

The Contractor and their employees will comply with all reasonable security requirements including search of bags and packages, which might be imposed from time to time. This may also include personal body searches.

The Contractor shall ensure the full compliance with current Rules, Regulations and Edicts relating to Safety of Personnel, Safety of Work Practices, and Single Working/Lone working.

The Contractor will ensure that all Contractor’s and Subcontractor’s personnel are provided with clean and tidy protective clothing, including safety equipment; overalls will bear the Contractor’s name, all cost to be deemed included within the Contract Price.

The Contractor’s staff when on site will comply with NHSBT’s emergency procedure. They will attend at the agreed assembly point on hearing the fire alarm and will assist

NHSBT0426/S/SP 280912 Page 118 of 132 NHSBT’s staff in directing the emergency services, on matters within their field, e.g. isolation points etc.

The Contractor’s Operatives shall not bring onto site children or others who are not employed by the Contractor.

Details of current Site Engineer Posts:

Site Contractor Operatives Leeds 1 Resident with vehicle & 1 Mobile Engineer with vehicle (East of Pennines region) Liverpool 2 Resident Engineers with site vehicle Newcastle 1 Resident Engineer Manchester 2 Resident Engineers with site vehicle Sheffield 2 Resident Engineers

17.0 Price and payment

Pricing schedules are included separately and will be required to be costed separately for all sites.

The tender return will need to include all costs, and be split to show:-

 Costs for PPM tasks which occur at periods in excess of one year (i.e. 2 Yearly and 3 Yearly). Please note that the cost for periodic chlorination’s (schedule U) are to be provided as a separate cost for NHSBT to confirm if such works are to be carried out by the Contractor.

 Hourly Rate Schedule A which includes Labour rates for both in and out of hours, materials, plant and subcontract on-cost, call out rates, etc. travel time is deemed to be included within any call outs.

(Note abortive costs where relevant and in respect of site visits shall be agreed with the NHSBT representative and shall only be chargeable in situations were the contractor is not at fault)

The contract price for the services shall be final and all inclusive and without prejudice to the generality of the foregoing includes all labour charges, spare parts, travelling and other costs and expenses incurred by the Contractor unless otherwise stated. Consumables/Materials will be charged at trade prices including all Contractor’s immediate and cumulative/retrospective discounts plus the Contractor’s on cost.

An invoice shall be rendered on the Contractor’s own invoice form to NHSBT clearly marked with NHSBT’s order number to an agreed format.

NHSBT may choose to pay the contract price to the Contractor, by BACS (Bank Account Clearing System) if NHSBT so chooses, by monthly instalments in arrears

NHSBT0426/S/SP 280912 Page 119 of 132 (unless otherwise stated) provided that the invoice specified in condition 24 has been received.

Additional works above the contract price i.e. fixed wire testing will be paid within one month of NHSBT agreeing the invoices and on the basis of the works being complete and on receipt of relevant completion certificates.

Whenever, under the contract, any sum of money shall be recoverable from or payable by the Contractor the same may be deducted from any sum then due or which at any time thereafter may become due to the Contractor under the contract or under any other contract with NHSBT.

The following shall apply to the Key Performance Indicator measures for the contract. The table indicates the minimum acceptable limits and shall be measured on a ‘calendar month’ basis.

For all GMP/ Critical Plant PPM KPI 100% Overall Performance KPI 85% and above Any single instance of failure to meet either of the criteria noted above will result in a deduction of 5% of the total monthly contract value for the month in which the failure was noted.

Additionally, should the KPI overall performance fall below 70%, the full value of the total monthly contract value will be withheld until all the works are completed or the overall contract performance exceeds the minimum acceptable level – the value of any non recoverable tasks will be deducted.

18.0 Defects Liability Period

All new items of plant and equipment extra to the equipment schedule put into operation before the completion of the Contract must be maintained as directed by NHSBT’s Representative. The Contractor shall be fully conversant with items of plant and equipment which are under the manufacturer’s warranties, and in order not to nullify any warranties, items of plant requiring maintenance shall be strictly in accordance with manufacturer’s recommendations.

Should the Contractor find during their routine maintenance an item of plant they consider defective, they should notify NHSBT in writing. The defects liability period is for typically 12 months commencing from the completion of the applicable Contract, however this is subject to individual contract conditions i.e. Procure 21 etc may have a period of 24 months.

Should the Contractor replace any item of plant or equipment, the defects liability period is typically 12 months commencing from practical completion of those works, however this is subject to manufacturers warranties, or any prevailing or specific contract conditions at that time.

All major servicing recommended by the manufacturer for the length of the warranty period within the first year of the Contract on new equipment may be carried out by the manufacturer or an approved agent on all equipment.

NHSBT0426/S/SP 280912 Page 120 of 132 19.0 General Information

Payment

Planned Maintenance

The Contractor will submit monthly invoices for each main blood centre their associated premises within 10 working days of the end of the month being invoiced equivalent to 1/12th of the lump sum. NHSBT will make payment within 30 working days; however, the payment of the lump sum may be subject to random auditing of the planned preventative maintenance programme as detailed within the tender documentation.

Reactive and Minor works

The Contractor will submit monthly invoices for each main blood centre, their associated premises on the completion of remedial works within 8 weeks of the remedial work being completed. The Contractor must demonstrate in each case that they have taken full provision of the inclusive elements (if appropriate), of the contract terms and conditions. NHSBT will reject any invoices for remedial works that are received after 8 weeks of the completion date.

Information

The following information can be viewed during the site visits in the tender period:-

 H&S policies and procedures  GMP Induction training 1 to 3 modules  Relevant MPD’s and SOP’s  Computer Aided E&F Management Information System (TABS)

Quality Assurance System

It is the intention of NHSBT to audit and inspect any Quality Assurance Systems to ISO 9001.

The Contractor must confirm in writing that he is aware of this intention and agrees to this condition

Signature ...... …. Designation ...... …. For and on Behalf of ...... …. Address...... …...... …...

Date……………………

NHSBT0426/S/SP 280912 Page 121 of 132 Appendix 1 – Pidion BIP600 Handheld Computer

NHSBT0426/S/SP 280912 Page 122 of 132 Schedule B: Contract Period

1ST JUNE 2013 – 31ST MAY 2016 with the option to extend for a further two, one year periods

NHSBT0426/S/SP 280912 Page 123 of 132 Schedule C: Contract Price

Please note that this Schedule has been redacted and is considered exempt from disclosure under the Freedom of Information Act Section 43 Commercial Interests.

NHSBT0426/S/SP 280912 Page 124 of 132 Schedule D: Terms of Offer

NHS BLOOD AND TRANSPLANT (NHSBT)

TERMS OF OFFER

Attachment 06

Invitation to Offer for Contract for the Provision of Planned Preventative Maintenance - Northern Region Contract Reference NHSBT0426/S/SP

1. INFORMATION AND CONFIDENTIALITY

1.1 Information supplied to Offerors as part of the procurement exercise is supplied in good faith. However Offerors must satisfy themselves as to the accuracy of such information and no responsibility is accepted for any loss or damage of whatever kind or howsoever caused, arising from the use by Offerors of such information, unless such information has been supplied fraudulently by the Authority

1.2 All information supplied to Offerors by the Authority in connection with this procurement exercise shall be regarded as confidential. By submitting an offer the Offeror agrees to be bound by the obligation to preserve the confidentiality of all such information.

1.3 This invitation and its accompanying documents shall remain the property of NHSBT and must be returned on demand.

2. Freedom of Information Act 2000

2.1 The Freedom of Information Act 2000 (FOIA) applies to the Authority. 2.2 Offerors should be aware of the Authority’s obligations and responsibilities under the FOIA to disclose, on request, recorded information held by the Authority. Information provided by Offerors in connection with this procurement exercise, or with any Contract that may be awarded as a result of this exercise, may therefore have to be disclosed by the Authority in response to such a request, unless the Authority decides that one of the statutory exemptions under the FOIA applies. The Authority may also include certain information in the publication scheme, which it maintains under the FOIA. 2.3 In certain circumstances, and in accordance with the Code of Practice issued

NHSBT0426/S/SP 280912 Page 125 of 132 under section 45 of the FOIA or the Environmental Information Regulations 2004, the Authority may consider it appropriate to ask Offerors for their views as to the release of any information before a decision on how to respond to a request is made. In dealing with requests for information under the FOIA, the Authority must comply with a strict timetable and the Authority would, therefore, expect a timely response to any such consultation within five working days. 2.4 If Offerors provide any information to the Authority in connection with this procurement exercise, or with any Contract that may be awarded as a result of this exercise, which is confidential in nature and which an Offeror wishes to be held in confidence, then Offerors must clearly identify in their offer documentation the information to which Offerors consider a duty of confidentiality applies. Offerors must give a clear indication, which material is to be considered confidential and why you consider it to be so, along with the time period for which it will remain confidential in nature. The use of blanket protective markings such as “commercial in confidence” will no longer be appropriate. In addition, marking any material as “confidential” or equivalent should not be taken to mean that the Authority accepts any duty of confidentiality by virtue of such marking. Please note that even where an Offeror has indicated that information is confidential, the Authority may be required to disclose it under the FOIA if a request is received.

2.5 The Authority cannot accept that trivial information or information which by its very nature cannot be regarded as confidential should be subject to any obligation of confidence.

2.6 In certain circumstances where information has not been provided in confidence, the Authority may still wish to consult with Offerors about the application of any other exemption such as that relating to disclosure that will prejudice the commercial interests of any party.

2.7 The decision as to which information will be disclosed is reserved to the Authority, notwithstanding any consultation with you.

3. PRICE

3.1 Prices must be submitted using the Offer Schedule and must remain open for acceptance for 120 days from the closing date for receipt of tenders.

3.2 The Authority shall not be bound to order any of the articles referred to in the attached documents nor to accept or pay for any articles other than those ordered.

4. OFFER DOCUMENTATION AND SUBMISSION

4.1 The service and/or goods offered should be strictly in accordance with the Specification. Alternative service and/or goods may be offered but all differences between such service and/or goods and the Specification must be indicated in detail in the Offer Schedule. Offers may be for all or any part of the contract.

4.2 Offers must comprise:

a) The Offer Schedule (Attachment No 12)

NHSBT0426/S/SP 280912 Page 126 of 132 b) The Business Continuity Questionnaire (Attachment No 9) c) The Form of Offer (Attachment No 7) d) Specification response-as detailed in the specification cross-referring to the relevant headings and numbering/referencing. e) Pre-Purchase Questionnaire (PPQ) (Not applicable) f) If accredited to a Quality Assurance Standard e.g. BS/EN/ISO9001, a copy of the Certificate of Conformity; g) Testimonials of satisfied customers in the same or related business area; h) Audited accounts for the last three financial years, or for the period since the Offeror’s incorporation, if a company, or trading, if as a partnership or sole trader, (if such period be less than three years) or unaudited accounts accompanied by an explanation as to why audited accounts are not available. i) Parental Guarantee (if the tenderer has a parent company) j) Risk Assessment Questionnaire (Emergency Planning – Not applicable)

4.3 The Form of Offer must be signed by an authorised signatory. In the case of a partnership by a partner for and on behalf of the firm, and in the case of a Limited company by an officer duly authorised, the designation of the officer being stated.

4.4 The Form of Offer and accompanying documents must be fully completed. Any offer which:

a) contains gaps, omissions or obvious errors; or b) contains amendments, and such alterations have not been initialled by the authorised signatory; or c) is received after the closing date;

may be rejected.

Therefore if you have any queries concerning the return of your offer, please contact (NB. Any such queries must be confirmed in writing):

Commercial and Technical Enquiries, please send any questions via the NHSBT ePortal messaging facility:

4.5 Offers must be submitted via the NHSBT ePortal no later than 29th October 2012 at 12pm.

4.6 The Offeror is responsible for any and all costs associated with the submission of an offer in accordance with this tender invitation and on no account will the Authority be held liable for any costs so incurred.

5. QUALITY SYSTEMS - ISO 9001

5.1 Any change of status in relation to the awarding, or withdrawal of the Quality Systems standard to ISO 9001 must be notified to the Authority in writing within 10 days of any change taking effect. Where a Certificate of Assurance is awarded, a photocopy of the Certificate must be provided.

NHSBT0426/S/SP 280912 Page 127 of 132 6. TERMS AND CONDITIONS OF SUPPLY

6.1 Every offer received shall be deemed to have been made subject to these Terms, the NHS Conditions of Contract and the Supplementary Conditions of Contract and any other relevant Conditions of Contract referred to herein.

NHSBT0426/S/SP 280912 Page 128 of 132 7. CONTRACT PERIOD

The contract period shall be 3 years with the option to extend for a further 2, 1 year periods.

The contract will commence on 1st June 2013 unless otherwise agreed between the parties.

8. GENERAL

8.1 The Authority does not bind itself to accept the lowest, or any offer.

8.2 The Authority reserves the right to award all, part, or none of the business referred to in the invitation.

8.3 Successful Offerors awarded any contract arising from this invitation to tender shall periodically be required to complete an environmental questionnaire, as requested by the Authority.

8.4 Successful Offerors must provide an assessment of the environmental impacts associated with delivering the contract and how these impacts will be managed during the execution of the contract.

8.5 There is no provision under this contract for fuel price increases

9. AWARD CRITERIA

9.1 The contract will be awarded on the basis of the economically most advantageous offer.

9.2 The Authority will assess and evaluate the tenders and offers received in relation to the Award Criteria listed in attachment 10. The scores represent the maximum score for each criteria question. The Authority will score each supplier’s offer in relation to these Award Criteria.

10. TIMING

10.1 Time shall be of the essence with regard to the obligations of the contractor under the contract.

NHSBT0426/S/SP 280912 Page 129 of 132 Schedule E: Form of Offer

NHSBT0426/S/SP 280912 Page 130 of 132 Schedule F: Clarification

NHSBT0426/S/SP 280912 Page 131 of 132 Schedule G: Information Security Questionnaire

Please note due to the file size of this document it is available on request from NHSBT Procurement

NHSBT0426/S/SP 280912 Page 132 of 132