IT Procurement and Asset Management Policy

Version 5.1

Name of responsible (ratifying) committee Finance Committee

Date ratified 26 January 2016

Document Manager (job title) Head of IT

Date issued 28 January 2016

Review date 31 July 2018

Electronic location Management Policies

Related Procedural Documents

IT Security PolicyStandards of Business ConductCode of Financial ProceduresLocal Fraud & Corruption PolicyDetailed Scheme of DelegationStanding Financial InstructionsStanding Orders for Portsmouth H ospitals Representatives PolicyInformation Governance PolicyInformation Governance Due diligence FormInformation Asset Owners - ResponsibilitiesPrivacy Impact AssessmentProcurement Requirements for Portsmouth NHS TrustNHS South of England Procurement Services - Procurement Manual

Business Case Policy

Key Words (to aid with searching)

IT procurement, IT Systems, IT equipment, IT purchase, procuring IT, IT Assets, managing IT systems, managing IT assets, software licencing, IT contract management

Version Tracking

Version Date Ratified Brief Summary of Changes Author

5.1 09.05.2018 Chairs Action – Extension to review date -

5 26.01.2016 In consultation with NHS South of England Procurement Services, full review, refresh & update of policy

CT

IT Procurement and Asset Management PolicyVersion: 5.1Issue date: 26 January 2016Review date: 31 July 2018 (unless requirements change) Page 1 of 16

CONTENTS

1. INTRODUCTION...............................................................................................6

2. PURPOSE.........................................................................................................6

3. SCOPE..............................................................................................................7

4. DEFINITIONS....................................................................................................7

5. POLICY STATEMENTS....................................................................................8

6. PROCESSES....................................................................................................9

6.1 Procurement of IT Assets..................................................................................9

6.2 Procurement of IT Systems...............................................................................9

7. DUTIES AND RESPONSIBILITIES.................................................................11

8. TRAINING REQUIREMENTS.........................................................................13

9. REFERENCES AND ASSOCIATED DOCUMENTATION..............................14

10. EQUALITY IMPACT STATEMENT.................................................................14

11. MONITORING COMPLIANCE WITH PROCEDURAL DOCUMENTS............15

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QUICK REFERENCE GUIDEFor quick reference the guide below is a summary of actions required. This does not negate the need for the document author and others involved in the process to be aware of and follow the detail of this policy.

1. This policy is applicable to the day to day management of IT Systems and Assets by each Trust CSC and Department.

2. It is the policy of the Trust that all procurement of IT Systems and Assets (clinical and non-clinical IT Systems) is led by NHS South of England Procurement Services and undertaken and implemented by the IT Department in conjunction with the Department or Client Lead.

3. All procurement will be subject to adequate process and procedures being applied, based upon its estimated value. In all instances the Trust’s Standing Orders, Standing Financial Instructions, Procurement Policies and NHS South of England Procurement Services requirements and codes of conduct apply when procuring IT Systems and Assets and a business case needs to be approved when required as per the Trust’s Business Case Policy. Special attention needs to be given to NHS South of England Procurement Services Procurement Manual which contains guidance regarding the exercise of procurement processes.

4. Single Tender Waivers are not a procurement process and shall be limited to those circumstances specified within the Trust’s Standing Orders, Standing Financial Instructions and previous approval of the procurement Process.

5. Overall life costs must be considered including any extensions. Contracts for IT Systems will have a determined duration; before contracts are expired the Trust needs to consider the market and the current Trust needs.

6. All IT Systems purchased shall be assigned Information Asset Owners (IAO) and registered in the Trust’s information asset registers.

7. IT Systems and Assets shall only be used within their contracted and procured limits.

8. All IT Systems and assets shall be adequately administered and maintained to ensure they remain fit for purpose and compliant with licenced conditions of use during the whole life of the Asset or System.

9. The Diagram below illustrates the Procurement process to be followed:

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This policy forms part of an overall set of Trust Procurement policies that define and control deployment and use of the Trust’s IT Assets and set standards and practices for information security management.

Information technology is a key asset used to support the delivery of the Trust’s clinical services and management processes. The hardware and software that makes up core IT Systems and infrastructure; the data processed and stored; and information flows supported are vital resources for the Trust. They must be procured, supported, maintained, protected and disposed of accordingly.

Poor procurement and asset management of IT Systems and individual components pose grave risks to the Trust, its staff and patients. It can lead to unplanned expenditure, wasted money and staff time, failure of Systems and equipment to perform as required, disruption of core IT infrastructure (and thus Trust services), prosecution or levy of fines for breach of software licencing and inadequate supplier support in event of failure. Ultimately it can endanger lives and health of patients and staff.

All public sector procurement is subject to European and National Legislation. There are strict processes and procedures that must be followed, based upon the nature and value of items being purchased. The Trust ensures its statutory obligations are met through the implementation of financial and procurement policies, standing orders, requirements, guidelines and the engagement of authorised and expert resources.

It is the policy of the Trust that all procurements of IT Systems and Assets must be undertaken and implemented:

by NHS South of England Procurement Services and the IT Department in accordance with this document and the Trust’s Standing Financial Instructions, Standing Orders, policies and requirements,

in compliance with National and European Procurement Legislation and; comply with GS1 and PEPPOL Standards.

2. PURPOSEThis policy intends to create awareness of obligations related to the procurement and management of IT Assets and Systems, and specifically aims to ensure that IT Systems and Assets purchased for use by the Trust align with the Trust’s strategic plans and route maps; comply with standards set through the Trust’s IT policies and guidelines and; are compatible, supported and maintainable in line with the contract agreed.

This policy is designed to:

establish the process to procure and manage IT Systems and Assets. protect the Trust from risks associated with poor and inappropriate

procurement and management of IT Systems and Assets. lay out the requirements to ensure Systems are used within their defined and

contracted limits. ensure purchases align with the Trust’s strategic plans and comply with set

standards. ensure IT Systems are registered within the Information Asset Registers of

each Clinical Service Centres (CSC) or Department ensure IT Assets are registered within the IT Department asset management

system and ensure IT assets are compatible, supported and maintainable.

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This Policy does not stand in isolation, and must be implemented in conjunction with the wider range of procurement and financial policies, standing orders and standards of the Trust.

3. SCOPE3.1 This policy applies to all IT Assets purchased by or on behalf of the Trust.

Including:

Computer Systems. Individual pieces of computerised equipment. Software. Equipment that is to be connected to or used with IT infrastructure such as

peripheral equipment, digital cameras, medical equipment that electronically stores files/data on the Trust’s central file storage IT Systems, and equipment that will transmit data across the Trust’s network.

3.2 This policy applies to all persons (including employees, voluntary and bank workers, contractors, agency and sub-contract staff, locums, partner organisations, suppliers and customers) who intend to procure or request the procurement of IT Systems and Assets for use by or on behalf the Trust.

3.3 In the event of outbreak of an infection, flu pandemic or major incident. The Trust recognises that it may not be possible to adhere to all aspects of this document and in such circumstances, staff should take advice from their manager and all possible action must be taken to maintain ongoing patient and staff safety.

4. DEFINITIONS4.1 The term ‘IT System’ is used to cover the combination of application and operating

system software, databases, servers and other infrastructure and devices used to access and use applications. Systems are usually intended for use by many people.

4.2 The term ‘IT Asset’ is used to cover all items of computer hardware and software used by or on behalf of the Trust and equipment that connects to it. This includes devices (e.g. computers, lap tops, tablets and smart devices), peripheral equipment (e.g. printers, cameras, scanners) and software for use on, or with, computer equipment.

4.3 The “Information Asset Owner” or “IAO” is a senior member of staff who is the nominated owner for one or more identified Information Assets of the Trust and is responsible for the management and control of the Information Assets together with their contracted arrangements.

4.4 “Information Asset” means IT System, paper system or any other identifiable collection of data stored in any manner and recognised as having value for the purpose of enabling the Trust to perform its business functions.

4.5 “Software” means machine readable instructions, programs, libraries and associated documentation that are used by computers to perform general and specific tasks and functions.

5. POLICY STATEMENTS5.1 All IT Assets and Systems purchased by the Trust are the property of the Trust and:

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o shall be deployed and utilised as deemed most effective to the Trust’s needs, and objectively demonstrate best value for money is obtained;

o follow best procurement practice as per the Trust Policies and applicable legislation

5.2 In all instances the Trust’s Standing Orders, Financial Instructions, Business Case and Procurement Policies and NHS South of England Procurement Services requirements and codes of conduct apply when procuring IT Systems and Assets.

5.3 All procurement will be subject to adequate process and procedure being applied, based upon its estimated value, as defined in the Trust’s Standing Financial Instructions and guided by NHS South of England Procurement Services.

5.4 Procurements of IT Systems and Assets must be undertaken and implemented by the IT Department, who are responsible for engaging with NHS South of England Procurement Services. Requesters intending to procure IT Systems or Assets for use by the Trust must undertake such procurement through, or with the written approval of, the Director of Procurement and Commercial services at NHS South of England Procurement Services and the Head of the IT Department.

5.5 Based upon estimated whole life cost (including extensions), as per Trust Standing Financial Instructions, and as defined in requirements and guidance provided by NHS South of England Procurement Services, all procurement within the Trust is to be subjected to adequate processes and procedures being applied. Contracts will have a determined duration (no rolling contracts are allowed) and after contract expiry, the Trust will consider the market and the current trust needs.

5.6 The IT Department shall not, without adequate and suitable further justification, approve or proceed with the procurement of IT Systems and Assets that do not comply with the requirements of this policy, plans, standards or expectations.

5.7 All IT Assets purchased (excluding consumable items, e.g. keyboards, mice, etc.) shall be registered in the IT Department’s asset management system and asset tagged before being issued or put into use.

5.8 All IT Systems purchased shall be assigned Information Asset Owners and registered in the Trust’s information asset registers.

5.9 IT Systems shall only be used within their contracted and procured limits.

5.10 IT Systems and Assets shall be adequately administered and maintained to ensure they remain fit for purpose and compliant with licenced conditions of use during the whole life of the System and Asset.

6. PROCESSES6.1 Procurement of IT Assets

6.1.1 On behalf of the Trust, and in consultation and agreement with NHS South of England Procurement Services, the IT Department is responsible for identifying and managing sources and channels for the purchase of IT Assets.

6.1.2 Enquiries and requests for individual IT Assets (those that do not constitute a system) must be submitted to the IT Department Service Desk and NHS South of England Procurement Services in accordance with current ordering processes and procedures.

6.1.3 Enquiries and requests will be processed by the IT Department Service Desk in accordance with established procedures and published timescales, engaging NHS South of England Procurement Services.

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6.1.4 Before finalising orders, the IT Department Service Desk will advise the requester of:

Additional hardware and software items and services that might be required to fulfill the request.

Changes to the requested items to meet the requirements of this policy. The costs of the purchase (initial and on-going costs) with the input of NHS

South of England Procurement Services.

6.1.5 Adequate procurement process shall be followed as per the Trust Financial Instructions; and by utilising existing Framework agreements whenever possible and as long as best value for money is provided. Single Tender waivers (STW) are not a procurement process and shall only be used on special circumstances as specified in the Trust Standing Financial Instructions.

6.1.6 Once the order is agreed, the IT Department Service Desk will raise an electronic requisition on the SBS system and submit it to the budget holder for approval together with technical approval. If all the information required is contained within the requisition, a purchase order will then be processed by NHS South of England Procurement Services.

6.2 Procurement of IT Systems

6.2.1 All IT system procurements will be undertaken and implemented as formal projects which conform to the Trust’s adopted project management model (based upon PRINCE2).

6.2.2 Subject to prioritisation within the Trust’s IT programme, the IT Department Programme Team will assist the Client Lead in completion of a feasibility review, which defines the proposal and takes account of all relevant factors to determine the viability of the proposal, and which amounts to an Outline business case and covers aspects such as:

Funding and capacity, including whole life costs Additional hardware and software items and services that might be required to

fulfill the request. e.g. licences, interfaces, maintenance and/or support Ensure that Information Governance Due Diligence Form and Privacy Impact

Assessment are completed to ensure compliance with the Data Protection Legislation

6.2.3 Provided viability is proven, NHS South of England Procurement Services and the IT Department Programme Team will assist the Client Lead with development of a project brief (and business case if required) for presentation and approval by the funding body with the input of NHS South of England Procurement Services.

6.2.4 Regardless of funding availability, procurement of any IT system (or proposal for expansion, upgrade or development of existing system) and associated services with costs exceeding thresholds set out in the Trust Standing Financial Instructions must be approved by the relevant Trust body prior to any commitment of funding.

6.2.4 NHS South of England Procurement Services will advise how to follow the appropriate procurement route. The Procurement process will depend on whole life cost and complexity, as per Trust Standing Financial Instructions. The IT Department and/or Client Lead will provide an outline specification and relevant information in relation to the IT system to be procured using NHS South of England Procurement Services’ template specification. Such specification and information shall include adequate consideration and documentation of all requirements including functional, outcome, software usage and licencing, implementation, maintenance and support.

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6.2.5 NHS South of England Procurement shall provide a specification template and specification questionnaire and evaluation model template (on request) which highlights aspects to take into consideration when drafting a specification, questions to test responses to tender and evaluation model to score the responses, including number of licenses required. NHS South of England Procurement Services will advise on gaps and adequacy of the specification and will assist the IT Department and/or Client Lead in putting together evaluation criteria. Details regarding the Procurement Process are contained within NHS South of England Procurement Services Procurement Procedures Manual.

6.2.6 Once the adequate procurement route has been followed and the contract has been awarded a requisition will be processed containing all relevant documents (including but not limited to approval documentation, commercial proposal accepted, and terms and conditions applicable) for NHS South of England Procurement Service to raise a valid purchase order.

6.2.7 Single Tender Waivers are not a procurement process, due procurement process shall be followed unless there is a specific justification not to enter into competitive process as per the Trust Standing Financial Instructions.

6.2.8 The Contract will have a determined duration which may or may not include extensions depending on the Trust needs (extension cannot be longer than initial term). At least six months before the contract expires the Client Lead will need to engage with NHS South of England Procurement Services and the IT Department to analyse the current Trust needs, the state of the market and re-start the procurement process.

6.3 Procurement of Maintenance

6.3.1 Maintenance can be purchased for IT Assets and IT Systems within the tender process or as a separate process. The purchase of IT Systems shall consider the whole life cost including maintenance. When possible, suppliers shall be required to provide a guarantee period and specify the costs of maintenance during the duration of the contract (whole life cost considerations) and tender documents shall specify if the requirements include maintenance costs.

6.3.2 If Maintenance is to be purchased separate from the IT System the same process shall be followed as per Section 6.2 above.

6.3.3 The Contract will have a determined duration. With sufficient time scale before the contract expires the Client Lead will need to engage with the IT Department and NHS South of England Procurement Services to analyse the current Trust needs, the state of the market and re-start the procurement process.

6.4 Contract Management

6.4.1 All IT Systems purchased shall be assigned Information Asset Owners and registered by them in the Trust’s information asset registers.

6.4.2 Once the contract has been awarded and the requisition has been raised, a contract shall be drafted with the input of the Client Lead and the IT Department as per the terms and conditions specified within the contract. The Contract shall be signed by a Trust authorised representative as per the Trust’s Scheme of Financial Delegation.

6.4.3 Unless agreed to be a Trust wide application, once the contract is in place the CSC’s Information Asset Owner is responsible for the management of the contract and asset. The IAO is expected to understand the overall business goals, the terms of the contract and how the information assets contribute to and affect these goals.

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6.4.4 Any required changes in the contract will be consulted with the NHS South of England Procurement Services and the IT Department who will advise the need to undertake a separate procurement process or whether the changes are permitted as per contract.

6.4.5 The IAO shall initiate actions to ensure that extensions and/or replacements of contracts are undertaken with sufficient time scale being allowed for necessary review, re-specification, procurement, contract award and signature.

6.5 Asset Management

CSC and Department functions and roles with assigned responsibilities for asset management of IT Systems and Assets shall establish and maintain local processes that comply with other appropriate policies, IT guidelines and safe working practices and procedures of the Trust to:

6.5.1 Ensure that up to date asset records; including contract details, software licences, conditions and media, etc. are either: Locally and securely controlled and stored in accordance with IT guidelines

and available for inspection and use at reasonable request; or Under prior agreement, held by the IT Department on behalf of the

Information Asset Owner with local records making such reference.

6.5.2 Monitor usage and verification of System and software licence compliance, and instigate corrective and remedial actions to maintain compliant usage with contracted and licenced conditions.

6.5.3 Undertake regular review of System / Asset utilisation and instigate necessary action to ensure efficient and effective usage is being obtained.

6.5.4 Ensure IT Systems and Assets are retired, archived and disposed of, in consultation with the IT Department.

7. DUTIES AND RESPONSIBILITIES7.1 NHS South of England Procurement Services

NHS South of England Procurement Services and its staff are responsible for:

Promoting compliance with European and National Procurement Legislation, Trust Standing Financial Instructions and other related policies.

Ensuring best value for money is obtained, taking into account lifetime costs associated with purchase of goods and services.

Provision of expertise, market intelligence, material and guidance to support sourcing, specification, evaluation, negotiation and ensuring that any requests for IT Systems or Assets received directly are initially referred to the IT Department for review and technical approval.

Work closely with the IT Department and the CSC ensuring due process is followed.

7.2 Head of IT

The Head of IT is responsible for:

Ensuring that the IT Department manages the procurement of IT system and Assets in accordance with this policy, Standing Financial Instructions, European and national legislation.

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Arranging the assignment of Information Asset Owners and Clinical Safety Officers for core IT Systems and infrastructure.

Ensure that the staff in the IT Department is appropriately trained in relation to Trust and IT Policies and procedures including procurement working closely with the Head of Procurement.

7.3 The IT Department

The IT Department and its staff are responsible for:

Undertaking and implementing the procurement of all IT Systems and Assets on behalf of the Trust.

Engaging and liaising closely with NHS South of England Procurement Services to provide specialist procurement support at every stage of the procurement.

Agreeing sources and channels for the provision of IT Assets with NHS South of England Procurement Services.

Reviewing IT Systems and Assets to verify that they align with the Trust’s strategic plans, route maps and standard equipment lists and; comply with standards set through the Trust’s IT policies and guidelines.

Upkeep and maintenance of IT asset management procedures including configuration and asset management databases.

Registration and control of IT equipment. Supporting creation of specific required documentation to undertake a

procurement process such as specification and evaluation criteria or assist the Client Lead when clinical systems are to be purchased.

Compliance with agreed terms and conditions for the IT Systems and Assets for which they have ongoing day-to-day responsibility.

Contract and asset management of IT systems and assets for the IT Systems and Assets for which they have ongoing day-to-day responsibility.

7.4 Client Lead (Budget Holders, System Requestors and Managers)

In addition to the other responsibilities and duties detailed in this policy, The Client Lead is responsible for:

Ensuring that their permanent and temporary staff and contractors have read and understood this policy.

Ensuring that funding and expenditure for IT procurements is authorised in accordance with this and the Trust’s wider policies and procedures and aligned to central road map.

Identifying Information Asset Owners and Clinical Safety Officers for IT Systems which are not classified as Trust wide Information Assets.

Providing documentation requested by the IT Department and NHS South of England Procurement Services to undertake the procurement process such as specification and evaluation criteria when clinical systems are to be purchased.

Ensure that the IT Assets or Systems are compatible, supported and maintainable and in accordance with the terms of the license.

Ensure the use of IT Systems is in line with the terms and conditions agreed with Suppliers and reviewed by NHS South of England Procurement Services.

7.5 Information Asset Owner (IAO)

In addition to the other responsibilities and duties detailed in this policy, The IAO is responsible for:

Registration of the IT System on the Information Asset Register. Assignment of Information Asset Administrators for each IT System for which

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On-going compliance with agreed terms and conditions of IT System and Asset usage.

Contract management of IT Systems and Assets. The provision of adequate ongoing support and maintenance arrangements. Day-to-day asset management including monitoring of licenced usage and

arrangement of adjustments in licenced capacity as might be required.

7.6 CSC and Department Managers

CSCs and Department Managers shall:

Engage the NHS South of England Procurement Services to provide specialist procurement support.

Ensure that the IT Service Desk is informed, at the earliest opportunity, of reallocation and relocation of IT Assets (providing all asset numbers and new locations).

Ensure that the Staff involved in procurement decisions is appropriately trained by NHS South of England Procurement Services.

Comply with European and National Procurement Legislation, Trust Standing Financial Instructions and other related policies.

Provide specification of their requirement to the IT Department and NHS South of England Procurement Services.

Define internal roles and responsibilities when participating on a tender exercise.

7.7 Staff

Every member of staff is responsible for ensuring that they comply with this and related Trust and IT policies, processes related to this policy, guidelines and safe working practices.

8. TRAINING REQUIREMENTSMembers of staff are individually responsible for ensuring that they comply with Trust policies and procedures.

Specific questions relating to IT procurement can be addressed to the IT Department Service Desk.

General questions relating procurement can be addressed to NHS South of England Procurement Services who also provides Bite Size procurement trainings.

Information Asset Owners are required to complete the mandatory Information Governance / Risk Assessment training.

9. REFERENCES AND ASSOCIATED DOCUMENTATION9.1 The Trust is obliged to abide by all relevant UK and European Union Procurement

Legislation.

9.2 The Trust follows all national NHS IT and information security requirements.

9.3 The Trust aims to adopt other standards and recognised best practice it considers appropriate, including:

IT Infrastructure Library (ITIL®) Projects in Controlled Environments (Prince 2®)

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10. EQUALITY IMPACT STATEMENTPortsmouth Hospitals NHS Trust is committed to ensuring that, as far as is reasonably practicable, the way we provide services to the public and the way we treat our staff reflects their individual needs and does not discriminate against individuals or groups on any grounds.

This policy has been assessed accordingly.

Our values are the core of what Portsmouth Hospitals NHS Trust is and what we cherish. They are beliefs that manifest in the behaviours our employees display in the workplace.

Our Values were developed after listening to our staff. They bring the Trust closer to its vision to be the best hospital, providing the best care by the best people and ensure that our patients are at the centre of all we do.

We are committed to promoting a culture founded on these values which form the ‘heart’ of our Trust:

Respect and dignityQuality of careWorking togetherNo waste

This policy should be read and implemented with the Trust Values in mind at all times.

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11. MONITORING COMPLIANCE WITH PROCEDURAL DOCUMENTS

Minimum requirement to be monitored

Lead ToolFrequency of Report of Compliance

Reporting arrangements

Lead(s) for acting on Recommendations

Follow Compliance to the requirements of this policy

Head of Procurement

Summary of

contractual vs non

contractual spent

Monthly Audit Committee

Head of Procurement

Head of IT Operations

Summary report of known IT

Assets not purchased by the IT

Department

Annually Audit Committee

Head of IT Operations

IT Clinical Programme

Manager

Summary report of IT Systems

not purchased via the IT

Department

Annually Audit Committee

IT Clinical Programme

Manager

This document will be monitored to ensure it is effective and to assurance compliance.

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Equality Impact Screening Tool

To be completed and attached to any procedural document when submitted to the appropriate committee for consideration and approval for service and

policy changes/amendments.

Stage 1 - Screening

Title of Procedural Document: IT Procurement and Asset Management Policy

Date of assessment April 2015 ResponsibleDepartment

IT Department

Name of person completing assessment

Chris Tite Job Title Head of IT

Does the policy/function affect one group less or more favourably than another on the basisof :

Yes/No Comments

Age No

DisabilityLearning disability; physical disability; sensory impairment and/or mental health problems e.g. dementia

No

Ethnic Origin (including gypsies and travellers) No

Gender reassignment No

Pregnancy or Maternity No

Race No

Sex No

Religion and Belief No

Sexual Orientation No

If the answer to any of the above questions is NO, the EIA is complete. If YES, a full impact assessment is required: go on to stage 2, page 2

More Information can be found be following the link belowwww.legislation.gov.uk/ukpga/2010/15/contents

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Stage 2 – Full Impact Assessment

What is the impact Level of Impact

Mitigating Actions(what needs to be done to minimise /

remove the impact)

Responsible Officer

Monitoring of Actions

The monitoring of actions to mitigate any impact will be undertaken at the appropriate level

Specialty Procedural Document: Specialty Governance CommitteeClinical Service Centre Procedural Document: Clinical Service Centre Governance CommitteeCorporate Procedural Document: Relevant Corporate Committee

All actions will be further monitored as part of reporting schedule to the Equality and Diversity Committee

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