Wales Audit Office

INVITATION TO TENDER FOR

Configuration and Delivery of Audit Management Software with Support

REFERENCE NUMBER 5389

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TABLE OF DEFINITIONS:“Unless the context otherwise requires, the following words and expressions used within this Invitation to Tender shall have the following meanings:”

TERM MEANING“Authority” Means the Auditor General for Wales “Invitation to Tender” or “ITT”

Means this Invitation to Tender documentation and all related documents published by the Authority and made available to Tenderers

“OJEU Contract Notice” or “OJEU”

Means the advertisement issued in the Official Journal of the European Union

“Contract” Means the draft Terms and Conditions of contract contained in section 11 of this ITT

“Conditions of Tender” Means the terms and conditions set out in this ITT relating to the submission of a Tender

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

“FoIA” Means the Freedom of Information Act 2000 and any subordinate legislation made under such 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

“Provider” Means the organisation awarded a contract following the procurement process

“Tender”, “Response”, “Tender Response”, “Tendered Response” or “ITT Response”

Means the Tenderers formal offer in response to this ITT

“Tenderers” Means the organisations or persons responding to this document

Audit Terms Meaning“Audit Programme” A set of audit projects that make up a programme of work. A

programme of work may be at an audited body or bodies, by type of projects or by year e.g. Audit of Accounts 2013-14 or Local Government Measure, etc

“Audit Project” A set of related audit tasks which may or may not result in a specific output

“Audit Task” A specific audit activity e.g. test, survey, interview, etc“Audited Body” or “Audited and Inspected Body”

An organisation that the Wales Audit Office audits

“Audit Matters Arising” Areas to be flagged and followed up on in the future e.g. risks“Audit Task Status” Gives the status of an audit task e.g. not yet assigned, review“Business Stream” Organisational makeup of the Authority, flexible - currently

performance audit, financial audit and corporate enablers“Labels/tags” Metadata (unique descriptors) used to identfy and search for

items“Central Library” Central repository of standard audit tasks, tools, templates,

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and which can be allocated to audited and insptected bodies“Lead schedules” Provide a breakdown of the figures being audited in an

account area (or a group of audit tasks)“Enterprise Resource Functionality”

Management tools to integrate functions across the organisation to help the organisation manage resources and information

“Issues analysis” and “Drawing Conclusions”

Used to describe the audit process phases and tasks of review of the audit issues and to reach conclusions about the review

Table of Abbreviations

ABBREVIATION MEANSITT Invitation to TenderKPI Key Performance IndicatorAGW Auditor General for WalesWAO Wales Audit OfficeOJEU Official Journal of the European UnionAIB Audited and Inspected Body

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Table of Contents

Section 1: Overview of the Authority and background information 7

1 Introduction 7

2 The Authority 7

3 Procurement objectives 8

4 Improvement objectives 9

5 Wales Audit Office work and audit management systems 10

6 Audit management systems 10

7 Working patterns 10

8 Enterprise resource management 11

Section 2: Instructions to Tenderers and Tender Process 12

9 Instructions to Tenderers 12

10 Confidentiality 13

11 Freedom of Information 14

12 Timescales 15

13 Authority Contact Details 15

14 Preparation of Tender 16

15 Submission of Tenders 16

16 Disclaimers 17

17 Collusive Behaviour 18

18 Acceptance of Tenders 18

19 Queries related to Tender 18

20 Amendments to Tender documents 19

21 Proposed amendments to the contract by the Tenderer 19

22 Right to reject/disqualify 19

23 Right to Cancel, clarify or vary the process 20

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24 Customer References 20

25 Tender process 20

26 Evaluation Criteria of Tenders for Contract Award 21

27 Evaluation process 22

28 Contract award 23

29 Notification of award 23

30 Debriefing 23

Section 3: Specification of Requirements 24

31 Project scope 24

32 Design and delivery of an effective audit management system 24

33 Software platform 25

34 Initial setup and configuration 26

35 Interface with existing systems 26

36 Management information reports 27

37 Disaster recovery and business continuity 27

38 Data and information security 27

39 System user and administrator training 28

40 Testing 28

41 On-going services 29

42 Responsibilities of both parties 29

Section 4: Business and Technical Requirements 31

Section 5: Cost Schedule 51

Section 6: Documents and information to be submitted 64

Section 7: Commercial questionnaire 65

Section 8: Statement relating to good standing 71

Section 9: References 73

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Section 10: Proposed amendments to the Contract 74

Section 11: Standard Terms and Conditions 75

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Section 1 – Overview of the Authority and Background Information

1. Introduction1.1. In this Invitation to Tender (ITT) Wales Audit Office is used to refer to the Auditor

General for Wales, as the ‘Authority’ named in OJEU Notice dated 14 January 2014 that is looking for a provider to be appointed for the supply and configuration of audit management software with support. The Wales Audit Office estimates that the value of the supply and provision of services over the contract term to be in the region of £150,000 to £300,000 (pounds sterling).

1.2. The Authority wishes to establish a four year contract for the supply, configuration and delivery of an audit management solution with support. The Authority is managing this procurement process in accordance with the Public Contracts Regulations 2006 (the “Regulations”). This is a services contract being procured under the open procedure.

1.3. Following evaluation of the compliant Tenders and approval of the outcome the Authority intends to appoint a single Provider to enter into a contract. The Provider submitting the most economically advantageous offer in accordance with the criteria set out in Section 2, Paragraph 26 will be awarded a contract.

1.4. While it is the Authority’s intention to purchase the majority of its goods and services under this contract from the Provider appointed this does not confer any exclusivity on the appointed Provider. The Authority reserves the right to purchase any goods and services (including those similar to the goods and services covered by this procurement) from any provider outside of this contract.

2. The Authority2.1. The Wales Audit Office herein also known as the ‘Authority’ is the public service audit

agency for Wales. In April 2014, under the Public Audit (Wales) Act 2013, the new Wales Audit Office, which is a corporate body, becomes responsible for providing resources for the exercise of the Auditor General for Wales’ functions. This includes responsibility to secure services for the purposes of those functions. On 1 April, the property, rights and liabilities to which the auditor General is currently entitled or subject to under contracts will be transferred to and will vest in the new corporate body Wales Audit Office.

2.2. The Auditor General (AGW) is the statutory external auditor of the Welsh Government, its sponsored and related public bodies and the National Health Service in Wales. The AGW may also inspect and report on further and higher education institutions. The AGW is also responsible for appointing the auditors of local authorities and criminal justice organisations in Wales and for the inspection of many services operating under the current provision of the Wales Programme for Improvement (WPI) and successor schemes. The auditors formally audit the accounts of local authorities and produce value-for-money (VFM) reports to help them to improve their services. These appointed auditors also audit councils' annual improvement plans.

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2.3. Around 250 Wales Audit Office staff support the Auditor General. Its staff comprise of financial auditors (who examine the accounts of public bodies), performance auditors (who examine how public services are delivered) and corporate staff (in services such as Human Resources (HR) and Finance). The auditors together make up about 70 per cent of the workforce. The Wales Audit Office uses a mixture of internal and external resources; specialist skills as required and contractors to cope with uneven demand. The work is undertaken in offices or client sites across Wales or from home. A small proportion of commissioned work is also undertaken outside the UK and abroad.

2.4. The Wales Audit Office has an overarching strategic aim – ‘The people of Wales know whether public money is being managed wisely, and public bodies in Wales understand how to improve outcomes’. This aim is underpinned by four key objectives:

provide timely assurance on the governance and stewardship of public money and assets;

offer useful insight on the extent to which resources are used well in meeting people’s needs;

clearly identify and promote ways by which the provision of public services may be improved; and

be an accountable, well-run and efficient organisation that provides a stimulating and rewarding environment to work.

2.5. Further information on the work of the Wales Audit Office is available on the Wales Audit Office website.

3. Procurement objectives3.1. The primary objective of this procurement is to source and implement an audit

management software system which will enhance the efficiency and effectiveness of operations through the use of technology, and to assist the Authority to meet its strategic objectives. The system, as installed, will provide an integrated and flexible IT audit product that can be used for all of Wales Audit Office’s audit work. In doing so, it will provide a common way of planning and organising audit work and evidence, enabling all audit staff across the Wales Audit Office to work collaboratively.

3.2. A secondary desirable (but not mandatory) objective is for the same system to provide enterprise resource management functionality and which will include integrated modules covering:

organisational planning;

− financial planning;

− resource planning;

resource management;

− managing income generation associated with audit activity;

− staff resource allocation;

− staff time-recoding; and

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− expenses recording.

4. Improvement objectives4.1. The Wales Audit Office has identified the following improvement objectives that the

system, once fully implemented, will contribute into.

improving the quality of our work:

− demonstrating that our work meets required professional and internal standards;

− providing easy access to cumulative audit knowledge through searching and filtering

− monitoring actions taken in response to recommendations;

− tracing conclusions and recommendations back to audit evidence.

being more efficient:

− reducing the time taken to document, record, track, retrieve and manage audits and audit evidence to enable faster conclusions;

− allowing us to more easily respond to Freedom of Information requests;

− supporting our compliance with the Public Records Act requirements for storing and retaining documents;

− producing reports to consistent quality more quickly;

− producing better quality and more timely management information;

− reducing the number and complexity of the IT systems we use to improve reliability and obtain better value for money;

− employing effective version control to hold single authoritative copies.

using our knowledge and information more effectively to improve public services:

− targeting our work, increasing internal and external collaboration and sharing knowledge and information;

− enabling easier identification of systemic weaknesses and good practice within and across audited bodies;

− reusing existing knowledge so that our work is delivered more consistently.

Improving financial and resource management:

− creating a single repository of information to effectively manage resources and facilitate robust forward planning;

− facilitating sharing of information between related systems to create powerful management information;

− reducing lost staff time in re-creating information in different systems.

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5. Wales Audit Office work and audit management systems

5.1. The Wales Audit Office work covers all devolved public sectors in Wales: the Welsh Government, including sponsored bodies (e.g. the Arts Council), local government, the National Health Service (NHS) and higher and further education. The work involves annual audits of public bodies’ accounts and studies of particular issues such as waste management. Work programmes and audit tasks are varied and subject to statutory requirements, deadlines and scheduling patterns which differ between financial and performance audit.

5.2. The work across financial and performance audit is predominantly project based and so lends itself to team working and clusters (groups of teams in regional areas and/or by sector). Audit projects and tasks are allocated and resourced by team/cluster taking into account the skills required. Multiple projects can be allocated to an audited body and these include both financial audit and performance audit projects.

5.3. The nature of the way in which projects are undertaken differs between financial audit, performance audit, and to a degree by sector. Financial audit work is more structured with highly regulated standards while performance audit, in some respects, follows a more flexible approach but both types of audit include working to deadlines.

6. Audit Management Systems6.1. All of Wales Audit Office’s work is founded on its ability to collate, analyse, share and

report information effectively and IT systems support all aspects of this work. Currently the Wales Audit Office uses a number of different IT systems to support its audit work. The Wales Audit Office has used an audit management software system for its financial audit work since 2005. Performance audit work does not use an audit management system, however audit working papers, evidence and reports are stored in SharePoint and/or on shared network drives. Aligning these arrangements will promote sharing information and enable the Wales Audit Office to collaborate more effectively internally, with partner organisations, and wider stakeholders.

7. Working patterns7.1. The Wales Audit Office operates on a five day per week basis but a number of staff

work outside the standard work week and business hours during evenings and weekends. A preference is for any system to be available for access on a 24/7 hour basis. Availability and limitations need to be clearly explained with any additional cost in the tender response. The system must also be capable of being used on an off-line basis without loss of integrity since a number of our client sites are located in remote areas where web and broadband access are limited or very sporadic.

7.2. WAO requires any new system to synchronise and maintain the integrity of the changes between the online database and any documents the user has been working with, offline. This should happen either automatically without user intervention, or in response to a user prompt.

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8. Enterprise Resource management8.1. The Wales Audit Office currently uses separate systems to plan, manage and report

on its audit activity and we are looking to consolidate or integrate solutions. It is desirable that the audit management solution is able to provide such capability. At present, other systems used include:

time recording system for recording time spent working on audit projects, time spent on other activities and non-productive time e.g. holiday leave and training;

general ledger financial management system used for invoicing audited bodies, and managing income and expenditure;

numerous spread sheets to:

− plan, manage and monitor staff resources and project delivery;

− for requesting and recording travel and subsistence claims.

in house developed MS Access databases to:

− to manage report publishing processes,

− to collate and analyse evidence relating to a specific project,

− to record staff training and development request and needs.

HR system for recording information relating to WAO employees.

8.2. The management and financial information held in these systems is used to support organisational planning, workforce planning, resource management, programme and project management, budget profiling and income generation and management. A system that provides managers with instant access to management information linking information relating to audit work programmes, costs, income and staff resources is needed so that the WAO can be more efficient. The system should be able to provide this information or be designed and configured so that this information can be easily obtained by integrating with other systems such as the HR system and the general ledger. The requirement is for data to be managed and maintained from a single system but be able to be used many times supporting the WAO’s aspiration to move towards achieving a “single version of the truth".

8.3. The system must be configurable so that access can be enabled and restricted, linked to defined users role and responsibilities, ideally also linked to Microsoft Active Directory Services. For example, all staff will require access to time-recording but not all will require access to other areas.

8.4. Further information on the functional requirements for the solution is included within Section 3 Specification of Requirements and Section 4 Business and Technical Requirements which all Tenderers must respond to. The following section sets out the Instructions to Tenderers.

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Section 2 – Instructions to Tenderers and Tender Process

9. Instructions to Tenderers9.1. These instructions are designed to ensure that all Tenderers are given equal and fair

consideration. It is important therefore that you provide all the information asked for in the format and order specified. Please contact Laurie Davies at the e-tendering queries address at tender.queries@wao.gov.uk if you have any doubt as to what is required or will have difficulty in providing the information requested. The Authority will use the e-tendering email address to communicate with Tenderers.

9.2. All queries that are raised and considered relevant to the tender submission will be posted on the Wales Audit Office website with responses. See also paragraph 10.3 and 19 which provide further information on queries.

9.3. Tenderers should read these instructions before completing the Tender documentation and submission of the Tender Response. Tenderers are advised to acquaint themselves with the extent and nature of the goods and services and contractual obligations. These instructions constitute the Conditions of Tender. Participation in the tender process automatically signals that the Tenderer accepts these Conditions. Included within the ITT are a number of documents intended to ensure all Tenderers submit the required information in the correct format:

9.3.1 Section 6 Documents and Information to be Submitted is provided for you to check that you have included the correct information that you should return and complete with the Tender response.

9.3.2 There are a series of short questionnaires to assist the Authority to assess compliance and review minimum standards prior to commencing formal evaluation and a set of forms to submit in response to the ITT and Specification of Requirements. See also Paragraphs 22 Right to Reject/Disqualify and 27 Evaluation Process which sets out compliance checks and minimum standards.

9.3.3 Tender Responses which are deemed by the Authority to be compliant and meet minimum standards will proceed to evaluation. These will be evaluated using the selection criteria and weightings detailed in Paragraph 26 Evaluation Criteria of Tenders for Contract Award.

9.4. All material issued in connection with this ITT shall remain the property of the Authority and shall be used only for the purpose of this procurement exercise.

9.5. The Tenderer shall ensure that each and every sub-contractor, consortium member and adviser abides by the terms of these instructions and the Conditions of Tender.

9.6. The Tenderer shall not make contact with any other employee, agent or consultant of the Authority who are in any way connected with this procurement exercise during the period of this procurement exercise, unless instructed otherwise by the Authority.

9.7. Tenderers shall accept and acknowledge that by issuing this ITT the Authority shall not be bound to accept any Tender and reserves the right not to conclude a contract for some or all of the goods and services for which Tenders are invited.

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9.8. The Authority reserves the right to amend, add to or withdraw all, or any part of this ITT at any time during the procurement exercise.

10. Confidentiality10.1. Subject to the exceptions referred to in paragraph 11, the contents of this ITT are

being made available by the Authority on condition that:

10.1.1 Tenderers shall at all times treat the contents of the ITT and any related documents (together called the ‘Information’) as confidential, save in so far as they are already in the public domain;

10.1.2 Tenderers shall not disclose, copy, reproduce, distribute or pass any of the Information to any other person (person, firm, body or association) at any time or allow any of these things to happen;

10.1.3 Tenderers shall not use any of the Information for any purpose other than for the purposes of submitting (or deciding whether to submit) a Tender; and

10.1.4 Tenderers shall not undertake any publicity activity within any section of the media.

10.2. Tenderers may disclose, distribute or pass any of the Information to the Tenderer’s advisers, sub-contractors or to another person provided that either:

10.2.1 This is done for the sole purpose of enabling a Tender to be submitted and the person receiving the Information undertakes in writing to keep the Information confidential on the same terms as if that person were the Tenderer; or

10.2.2 The Tenderer obtains the prior written consent of the Authority in relation to such disclosure, distribution or passing of Information; or

10.2.3 The disclosure is made for the sole purpose of obtaining legal advice from external lawyers in relation to the procurement or to any Framework Agreement arising from it; or

10.2.4 The Tenderer is legally required to make such a disclosure.

10.3. The Authority may disclose detailed information and any documents relating to Tenders to its officers, employees, or advisers. The Authority also reserves the right to disseminate information that is materially relevant to the procurement to all Tenderers, even if the information has only been requested by one Tenderer, subject to the duty to protect each Tenderer's commercial confidentiality in relation to its Tender (unless there is a requirement for disclosure under the Freedom of Information Act, as explained in paragraphs 11.1 to 11.3 below).

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11. Freedom of Information11.1. In accordance with the obligations and duties placed upon public authorities by the

Freedom of Information Act 2000 (the ‘FoIA’), the Authority may, acting in accordance with the Secretary of State’s Code of Practice on the Discharge of the Functions of Public Authorities under Part 1 of the said Act, or the Environment Information Regulations (EIR) be required to disclose information submitted by the Tenderer to the to the Authority.

11.2. In respect of any information submitted by a Tenderer that it considers to be commercially sensitive the Tenderer should:

11.2.1 clearly identify such information as commercially sensitive;

11.2.2 explain the potential implications of disclosure of such information; and

11.2.3 provide an estimate of the period of time during which the Tenderer believes that such information will remain commercially sensitive.

11.3. Where a Tenderer identifies information as commercially sensitive, the Authority will endeavour to maintain confidentiality. Tenderers should note, however, that, even where information is identified as commercially sensitive, the Authority may be required to disclose such information in accordance with the FoIA or the EIR. In particular, the Authority is required to form an independent judgment concerning whether the information is exempt from disclosure under the FoIA or the EIR and whether the public interest favours disclosure or not. Accordingly, the Authority cannot guarantee that any information marked ‘confidential’ or “commercially sensitive” will not be disclosed.

11.4. Where a Tenderer receives a request for information under the FoIA or the EIR during the procurement process, this should be immediately passed on to the Authority and the Tenderer should not attempt to answer the request without first consulting with the Authority.

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12. Timescales12.1. Set out below is the proposed procurement timetable. This is intended as a guide and

while the Authority does not intend to depart from the timetable it reserves the right to do so at any stage.

DATE STAGE

14 January 2014 ITT to be issued by the Authority

20 January 2014 Clarification period opens

17 March 2014 Clarification period closes

14:00 GMT 3 April 2014

Closing date and time for receipt by the Authority of Tenderer Responses to the ITT

4 April 2014 Evaluation of ITT Responses commences

28 April 2014 – 30 April 2014

Clarification meetings and provider demonstrations

1 May 2014 Evaluation and shortlisting

5 May 2014 – 16 May 2014

Reference Site visits (if required)

21 May 2014 – 23 May 2014

Final evaluation and selection

20 June 2014 Notification of proposed contract award

4 July 2014 Expiry of standstill period required under Regulation 32 of the Public Contracts Regulations 2006

7 July 2014 Appointment of Provider

14 July 2014 Commencement Date of Contract

13. Authority’s Contact Details13.1. Unless stated otherwise in these Instructions or in writing from the Authority, all

communications from Tenderers (including their sub-contractors, consortium members, consultants and advisers) during the period of this procurement exercise must be directed to the designated Authority contact named in paragraph 9.1 above.

13.2. All communications should be clearly headed Invitation to Tender for Audit Management Software with Support and include the name, contact details and position of the person making the communication.

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14. Preparation of Tender14.1. Tenderers must obtain for themselves at their own responsibility and expense all

information necessary for the preparation of Tenders. Tenderers are solely responsible for the costs and expenses incurred in connection with the preparation and submission of their Tender and all other stages of the selection and evaluation process. Under no circumstances will the Authority be liable for any costs or expenses borne by Tenderers, sub-contractors, suppliers or advisers in this process.

14.2. Tenderers are required to complete and provide all information required by the Authority in accordance with the Conditions of Tender and the Invitation to Tender. Failure to comply with the Conditions and the Invitation to Tender may lead the Authority to reject a Tender Response.

14.3. The Authority relies on Tenderers' own analysis and review of information provided. Consequently, Tenderers are solely responsible for obtaining the information which they consider is necessary in order to make decisions regarding the content of their Tenders and to undertake any investigations they consider necessary in order to verify any information provided to them during the procurement process.

14.4. Tenderers must form their own opinions, making such investigations and taking such advice (including professional advice) as is appropriate, regarding the goods and services and their Tenders, without reliance upon any opinion or other information provided by the Authority or their advisers and representatives. Tenderers should notify the Authority promptly of any perceived ambiguity, inconsistency or omission in this ITT, any of its associated documents and/or any other information issued to them during the procurement process.

15. Submission of Tenders15.1. The Tender must be submitted to Tenders@wao.gov.uk no later than 14:00 GMT on

3 April 2014 (“the Deadline”). Tenders may be submitted at any time before the closing date. Tenders received before this deadline will be retained unopened until after the closing time and date. Tenders should be clearly labelled in the subject area of the email noting ITT Tender for Audit Management Software with Support but do not include the name of the organisation/person submitting the Tender within the subject line.

15.1.1 The Tenderer is responsible for making their own internal checks whether a file was received by the Authority.

15.1.2 In exceptional circumstances, if the supplier is unable to send the electronic tender due to e.g. very large file size, then they should do either of the following:

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15.1.2.1 send several emails all clearly labelled e.g. ITT Tender for Audit Management Software…file 1 of 3 in accordance with clause 15.1;

15.1.2.2 send a single email with a secure link and repository to retrieve Tender files that must not expire within one week after the Deadline.

15.1.3 The Authority does not accept responsibility for the premature opening or mishandling of Tenders that are not submitted in accordance with these instructions.

15.1.4 Any Tender received after the Deadline may be rejected unless the Tenderer can provide evidence that the Tender was capable of being received by the due date and time.

15.1.5 Tenderers may modify or withdraw their Tender prior to the Deadline by giving notice to the Authority by email to tenders@wao.gov.uk.

15.2. The Authority may at its own absolute discretion extend the closing date and the time for receipt of Tenders specified in paragraph 15.1. Any extension is granted to all Tenderers.

15.3. The Tender and any documents accompanying must be in the English or Welsh language.

15.4. Price and any financial data provided must be submitted in or converted into pounds sterling and stated exclusive of VAT.

15.5. Tenderers should not include in the Tender any extraneous information which has not been specifically requested in the ITT including, for example, any sales literature, standard terms of trading, etc. Paragraph 21 sets out arrangements for proposed amendments to the contract by the Tenderer.

16. Disclaimers16.1. While the information in this ITT and supporting documents has been prepared in good

faith, it does not purport to be comprehensive nor has it been independently verified.

16.2. Neither the Authority, nor its advisors, directors, officers, members, partners, employees, other staff or agents:

makes any representation or warranty (express or implied) as to the accuracy, reasonableness or completeness of the ITT; or

accept any responsibility for the information contained in the ITT or for their fairness, accuracy or completeness of that information nor shall any of them be liable for any loss or damage (other than in respect of fraudulent misrepresentation) arising as a result of reliance on such information or any subsequent communication.

16.3. Any persons considering making a decision to enter into contractual relationships with the Authority following receipt of the ITT should seek their own professional financial and legal advice.

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16.4. Any contract concluded as a result of this ITT shall be governed by the law of England and Wales.

17. Collusive Behaviour17.1. Any Tenderer shall (without prejudice to any other civil remedies available to the

Authority and without prejudice to any criminal liability which such conduct by a Tenderer may attract) be disqualified, if the Tenderer:

fixes or adjusts the amount of its Tender by or in accordance with any agreement or arrangement with any other party; or

communicates to any party other than the Authority the amount or approximate amount of its proposed Tender or information which would enable the amount or approximate amount to be calculated (except where such disclosure is made in confidence in order to obtain quotations necessary for the preparation of the Tender or insurance or any necessary security); or

enters into any agreement or arrangement with any other party that such other party shall refrain from submitting a Tender; or

enters into any agreement or arrangement with any other party as to the amount of any Tender submitted; or

offers or agrees to pay or give or does pay or give any sum or sums of money, inducement or valuable consideration directly or indirectly to any party for doing or having done or causing or having caused to be done in relation to any other Tender or proposed Tender, any act or omission.

18. Acceptance of tenders18.1. The Authority does not bind itself to accept the lowest or any tender, and in addition,

reserves the right to accept part only of a tender. No tender shall be deemed to have been accepted unless such acceptance shall have been notified to the Tenderer in writing.

19. Queries Relating to Tender19.1. The Authority will endeavour to answer all questions as quickly as possible, but cannot

guarantee a minimum response time. The Authority has designated a specific window of time to deal with clarification requests from Tenderers.

19.2. Clarification requests can be submitted via e-mail only to tender.queries@wao.gov.uk from 20 January 2014. No further requests for clarification will be accepted after 17 March 2014.

19.3. In order to ensure equality of treatment of Tenderers, the Authority intends to publish the questions and clarifications raised by Tenderers together with the Authority’s

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responses (but not the source of the questions) on a regular basis. The information will be posted on the Wales Audit Office website.

19.4. Tenderers should indicate if a query is of a commercially sensitive nature – where disclosure of such query and the answer would or would be likely to prejudice its commercial interests. However, if the Authority at its sole discretion does not either; consider the query to be of a commercially confidential nature or one which all Tenderers would potentially benefit from seeing both the query and Authority’s response, the Authority will:

19.4.1 invite the Tenderer submitting the query to either allow rewording of the query to enable the query along with the Authority’s response to be circulated to all Tenderers; or

19.4.2 request the Tenderer, if it still considers the query to be of a commercially confidential nature, to withdraw the query.

19.5. The Authority reserves the right not to respond to a request for clarification or to circulate such a request where it considers that the answer to that request would or would be likely to prejudice its commercial interests.

20. Amendments to Tender Documents20.1. At any time prior to the deadline for the receipt of Tenders, the Authority may modify

the ITT by amendment. Any such amendment will be numbered and dated and issued by the Authority to all prospective Tenderers by 18 March 2014 on its website. In order to give prospective Tenderers reasonable time in which to take the amendment into account in preparing their Tenders, the Authority may, at its discretion, extend the Deadline for receipt of Tenders.

21. Proposed Amendments to the contract by the Tenderer

21.1. As the Authority is using the open procedure as detailed in the Public Contracts Regulations 2006 it is prevented from undertaking negotiation of the Tender. However, amendments by Tenderers and/or the Authority to clarify its terms are permitted.

21.2. The Authority will consider proposed amendments strictly on their merits and within the limits imposed by the Regulations.

21.3. Any proposed amendments to the contract must be detailed separately on the Proposed Amendments form included at Section 10, and returned with the Tenderer’s ITT Response.

22. Right to Reject/Disqualify22.1. In certain circumstances as a public sector body, the Authority is required by law to

exclude organisations from participating in a tender. This includes when the organisation, any directors or partners who have powers of representation, decision or control have been convicted of offences related to the following:

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conspiracy within the meaning of section 1 or a1 of the Criminal Law Act 1977 or article 9 or 9A of the Criminal attempts and Conspiracy (Northern Ireland);

corruption within the meaning of section 1 of the Public Bodies Corrupt Practices Act 1889 or section 1 of the Prevention of Corruption Act 1906;

the offence of bribery, where the offence relates to active corruption or bribery within the meaning of section 1 or 6 of the Bribery Act 2010;

fraud, where the offence relates to fraud affecting the EU Communities financial interests, including offence of cheating the revenue, conspiracy to defraud, fraud or theft, fraudulent trading, fraudulent evasion, offence in connection with taxation in the EU Communities, destroying, defacing or concealing documents; fraud or theft within the meaning of section 2-4 of the Fraud Act 2006;

money laundering within the meaning of section 340(11) of the Proceeds of Crime Act 2002; and

an offence in connection with proceeds of criminal conduct, drug trafficking, or any other offence within the meaning of Article 45|(1) of Directive 2004/18/EC.

22.2. The Authority also reserves the right to reject or disqualify a Tenderer where:

the Tenderer fails to comply fully with the requirements of this Invitation to Tender or is guilty of a serious misrepresentation in supplying any information required in this document; or expression of interest; and/or

the Tenderer is guilty of serious misrepresentation in relation to its Tender; expression of interest; and/or the Tender process; and/or

there is a change in identity, control, financial standing or other factor impacting on the selection and/or evaluation process affecting the Tenderer.

23. Right to Cancel, Clarify or Vary the Process23.1. The Authority reserves the right to:

amend the terms and conditions of the Invitation to Tender process,

cancel the evaluation process at any stage; and/or

require the Tenderer to clarify its Tender in writing and/or provide additional information.

24. Customer References 24.1. After the receipt of Tenders, the Authority may visit at least one customer reference

site of the Tenderer and may seek written references from any other designated customers which are not visited.

25. Tender process25.1. The Tender process will be conducted to ensure that Tenders are evaluated fairly to

ascertain the most economically advantageous Tender. Account will also be taken of

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any factors which may impact on the Tenderers suitability that emerge from the tendering process.

25.2. The Tenderer submitting the most economically advantageous offer with regard to the evaluation criteria at the conclusion of the evaluation, will be awarded a contract.

26. Evaluation Criteria of Tenders for contract award26.1. Tenderers Response to the questions contained in Section 3 Specification of

Requirements, Section 4 Business and Technical Requirements, along with pricing information and any other information requested in questionnaires and specifically related to the evaluation of Tenders and requested by the Authority in this ITT will be evaluated against the high level criteria in the Evaluation Criteria for Selection table below.

Table 3: Evaluation Criteria for selection

Criteria Evaluation method Weighting

Meeting business requirements

Capacity and flexibility of the solution to fulfil Authority requirements

Comparison of response evidence against the specification of requirements in terms of ability to meet the “Essential”, “Desirable” and “Useful”, business and technical needs.

Comparison of responses to specific questions that relate to the specification against the specification.

45

Capability and capacity Evidence of technical and support resources and expertise to deliver through written submissions and site visits.

Evidence of strong project management through response to specification of requirements sections on implementation plan, start-up and build, testing and training.

10

Reliability and service Evidence of strong track record in delivering similar system solutions demonstrated through previous experience examples and relevant reference customers

Evidence of strong post-project and maintenance support.

10

Technical and professional ability

Evidence of robust security and quality assurance arrangements in place; data protection and effective business continuity plans; evidence of ability to interface with other systems.

5

Overall cost Responses will be scored based on cost of the initial software procurement and implementation together with software

30

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maintenance and on-going technical, functional and account management support for the duration of the contract, inclusive of any associated upgrade costs (excluding hosting costs and which will be measured separately)

27. Evaluation Process27.1. The evaluation process will feature some, if not all, the following phases:

Phase 1 – Compliance Checks

Receipt and Opening

ITT Responses will be logged as received and opened after the closing Deadline. Any ITT Response that is received after the deadline may be rejected and not considered for evaluation.

Compliance Check and Minimum Standards

Tenderers should confirm prior to submission that they have provided a Response including, where applicable, any evidence requested against each of the requirements, as directed, in the Specification of Requirements, the Business and Technical Requirements, the Commercial Response Requirements and Documents and Information to be Submitted. Those Tenders that are deemed compliant, received by the date and time specified, and are not subject to rejection/disqualification as raised under clause 22 will proceed to Phase 2.

Minimum standards include

- security accredited to industry standards;

- evidenced as financially stable with a development plan for their product and service; and

- referenced by end users

Phase 2 – Independent Evaluation of Tender Responses

Qualitative/Technical Evaluation

Quantitative/Commercial Evaluation

Phase 3 - Moderation of Scores

Moderation and merging of qualitative and quantitative evaluation scores/rankings to produce preliminary ranking

Phase 4 – Structured Bidder Presentations/Clarification Meetings

Phase 5 – Customer References

Structured Customer Reference Site Visits

Taking up of written customer references

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27.1.1 Final moderation meeting to moderate and merge scores gathered from Customer Reference Site Visits and/or written reference to produce final ranking.

27.1.2 Evaluation Report and Recommendation.

27.1.3 Approvals.

28. Contract award28.1. The Authority will inform all Tenderers in writing of any intention to award a contract.

Following a minimum standstill period of 10 calendar days, subject to there being no substantive challenge to that intention, a contract will be formally awarded to the successful Tenderer.

28.2. All unsuccessful Tenderers will be provided with an “unsuccessful letter“ in writing via email at the start of the standstill period notifying them of the outcome of the evaluation exercise. This will include details of:

the award criteria;

the score of the Tenderer;

the name of the successful Tenderer and why that Tenderer was successful;

the score for the successful Tenderer.

28.3. Unsuccessful Tenderers will be able to seek a debrief in accordance with paragraph 30.

29. Notification of Award29.1. The Authority will notify the successful Tenderer of the intention to award a contract in

writing and following the required standstill period will publish an Award Notice in the Official Journal of the European Union in accordance with the Public Contracts Regulations 2006 within 48 days of the award of the contract.

30. Debriefing30.1. Following the conclusion of the procurement, all unsuccessful Tenderers will be

afforded the opportunity of a debriefing. Unsuccessful Tenderers should notify the Authority in writing that they wish to be debriefed. The Authority will formally debrief the unsuccessful Tenderer within 15 days of receiving such a request.

30.2. Where an unsuccessful Tenderer requests, in writing and no later than midnight on the second working day after being informed of the conclusion of the contract, the reasons why that Tenderer was unsuccessful, the Authority will provide details of the characteristics and relative advantages of the successful Tender.

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Section 3 – Specification of Requirements

31. Project scope31.1. The Authority is inviting tenders, for an audit management system with enterprise

resource functionality to support the project objectives and improvement objectives set out in Section 1. Key aspects of the project covered with this procurement include:

system provision;

support to design, configure and setup of the audit management software to meet the business needs;

setup of interfaces;

support to create routine reports to meet management information requirements;

training and communication e.g. timely information regarding software issues and developments; and

on-going maintenance and support including technical, functional and account management support.

31.2. The Specification of Requirements sections below sets out the requirements of the Provider in fulfilling obligations under the contract. These requirements will, in part, form the conditions of contract together with the Terms and Conditions set out in Section 11 along with the Providers response and any clarification amendments made.

31.3. The service will be provided by a reputable Provider defined as

security accredited to industry standards;

evidenced as financially stable with a development plan for their product and service; and

referenced by end users.

31.4. The supplier must respond to each section within the Specification in the appropriate fields and complete each of the associated forms in the manner as instructed. The responses will be used to assess the Tender as part of the technical and commercial evaluation.

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32. Design and delivery of an effective audit management system

32.1. The selected supplier will provide implementation consultancy and project management, including challenging existing requirements/processes, providing effective solutions where appropriate.

32.2. The supplier will provide a named project manager and/or account manager details of on-going day-to-day support for delivery of the service. The project manager will be the nominated contact to liaise with the Wales Audit Office Project Manager to deliver the following:

initial system setup and customisation of a test, training and a live system;

Imports if required from existing systems and associated spread sheets, for all appropriate data fields – to be confirmed;

assistance with communication to staff and managers regarding new provision and practices in terms of cascade training and guidance; and

testing systems prior to roll out and training to Wales Audit Office staff.

32.3. Please briefly describe the project management methodology that you would use, including tasks and deliverables covering implementation and transition services. This should include an overview of the implementation plan to include start-up and build process through transition e.g. go-live plan, governance, communication, data cleansing and migration, testing arrangements, training proposal, issue resolution and parallel run plan (if applicable) including timelines. (maximum 1000 words)

33. Software platform 33.1. The supplier will deliver the software platform and will provide software maintenance

and support throughout the period that it is in use i.e. updates provided as they are released, in return for a fixed annual maintenance charge.

33.2. The supplier should outline, as far as possible, other software required to support the solution e.g. Microsoft SQL Server, Internet Explorer, etc. and in consideration of interface with other systems. Our existing corporate systems run on Microsoft Windows Servicer / SQL Server of Ubuntu Linus / MySQL.

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33.3. Please state the software platform(s) and version (if relevant) proposed to deliver this service for all solutions included and offered within your tender e.g.

Solution 1 – fully managed, supplier hosted and managed solution

Solution 2 – semi managed, client hosted supplier managed solution

Solution 3 – semi managed, supplier hosted client managed solution

Solution 4 - customer hosted, (in-house) client management solution

33.4. Please state the standard software update or upgrade arrangements with development/implementation schedule, and describe what maintenance services are offered as part of the on-going support highlighting any that incur additional costs.

33.5. Please briefly outline the availability of the solution(s) proposed, specifying the hours that system is available to use and any unavailability for scheduled routine maintenance and/or backup.

33.6. Please outline escrow agreements and arrangements (if this applies).

34. Initial set-up and configuration34.1. The supplier will deliver the software installation and configure this according to Wales

Audit Office requirements in liaison with the Wales Audit Office Project Manager and ICT Team as required.

34.2. Section 4 includes the detailed business and technical requirements covering the specific features, functionality, and reporting required. The following sections provide background information on some, but not all, of these requirements. The supplier is able to respond to each question in Section 3 below to supplement the requirements response in Section 4, the paragraph sections must be cross-referenced within the tables in Section 4.

35. Interface with existing systems

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35.1. The supplier must demonstrate the system is able to effectively interface with other WAO systems and include sufficient brief information covering processes for:

Importing data from existing systems, and

Exporting data (on any field within database) to standard MS products or reports.

35.2. Please describe how you will ensure the system will effectively interface with other WAO systems as above noting also any alternative interface solutions available.

36. Management Information Reports36.1. Work will include the development of arrangements to provide ad hoc and routine

management information to meet the requirements outlined in Section 3. Twelve customised reports are to be developed to meet WAO information requirements as part of the contract.

36.2. Please provide an overview of the reporting arrangements offered as standard and for the development of a suite of twelve customisable reports for non-standard requirements.

37. Disaster recovery and business continuity37.1. For systems hosted internally, the WAO IT Team operates a backup facility and has

business continuity arrangements in place (replicating daily to a standby facility) for all of our existing systems. The supplier is expected to operate robust disaster recovery and business continuity arrangements for its own systems and helpdesk operations.

37.2. Please state your disaster recovery and business continuity arrangements in place for your onsite operations, systems and backup support including data and recovery time objectives.

37.3. If your proposal includes for a supplier cloud hosted arrangement please provide further detailed information on maintaining systems operating the software, secondary systems, including details of any subcontractors involved.

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38. Data and Information Security38.1. The supplier and/or its subcontractors used for this procurement will be accredited to

ISO27001 or equivalent industry standard for its security systems. The system will provide different security/access levels based upon roles across all areas of the system and for access to any interface. If proposing a hosted solution please describe how you would ensure all data remains secure at all times with access restricted to authorised recipients and secure users.

38.2. Please state your accreditation and security arrangements for ensuring data remains secure at all times as defined above.

38.3. All data and information will remain the property of the Wales Audit Office, which is responsible for compliance with the Data Protection Act Requirements. If proposing a hosted solution please describe how you ensure compliance with the Data Protection Act.

38.4. Please describe your processes for maintaining data protection and compliance with the Data Protection Act where this applies.

39. System user and administrator training 39.1. The supplier should include with their response their proposal for delivering user

training on the system and processes, including system administrator (super-user completing ‘admin’ type functions rather than technical systems manager) training. The supplier will train users in use of standard features and functionality, reporting tools, interface, and export/import features.

39.2. Please describe how you will work with the Authority to deliver training on the system and processes as defined above.

40. Testing40.1. The supplier will undertake system testing at design configuration phases, provide

issue resolution and will develop a parallel run plan. Interfaces with other systems and export/import features will be tested as part of the process. Testing to include remote access capability if the solution is hosted by the WAO.

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40.2. The supplier will work with Wales Audit Office to develop suitable user-testing processes in agreement by both parties. User acceptance testing must include user and system administrator testing of features and functionality across a range of areas, end-user testing for manager facilities (allocating/changing access levels) and reporting features.

40.3. Please describe how you will work with the Authority to meet the requirements specified for testing.

41. On-going services 41.1. The supplier will provide a good level of post-project implementation support for:

use of the system functionality to a nominated WAO representative;

technical issues, including upgrades during the project; and

account management and liaison with a nominated WAO representative.

41.2. The account manager will be responsible for managing and monitoring service levels to be agreed by both parties and will attend service review meetings at agreed times/location (by video conferencing where possible). Service review meetings will be held quarterly unless varied by mutual agreement.

41.3. Please provide a proposal for service levels for delivery of the project and on-going technical, functional and account management support and maintenance services. Your response should include the following:

standard hours of operation and out-of-hours contact information (if applicable);

help desk operations or support contact along with associated service levels you provide, including prioritisation categories and response times;

KPIs for monitoring your performance including escalation processes; and response.

42. Responsibilities of both parties42.1. The following information will be incorporated into the Service Level Agreement

between the Authority and the Provider. Further information is also included within the Business Requirements Specification and Technical Specification section.

42.2. The responsibilities of the Provider for its on-going services will include, at minimum:

effective communication procedures arranged and agreed with the Authority;

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ability and capacity to meet agreed timescales and for project completion (to be finalised following clarification meetings);

project milestones to be set and agreed at start of project with timescales and responsibilities set for both parties;

ability and capacity to provide clear technical information to the Authority’s IT Team, particularly for interface and security;

nominated Project Manager/Account Manager to respond to requests and queries from the Authority and act as account manager for on-going management and monitoring of service levels;

main contact or a nominated individual at the help-desk, who has an understanding of the Authority’s requirements; and

effective resolution and communication to include dealing with delays, and immediate notification of potential issues.

42.3. The responsibilities of the Authority will include:

effective communication procedures arranged and agreed with the Provider;

service standards will be arranged and agreed with the Provider;

provide a named point of contact and nominated individual(s) if they are unavailable;

effective liaison with in-house teams to ensure compatibility in design and configuration and set-up, including testing;

work effectively with the Provider to assist with meeting project milestones;

work with the Account Manager to monitor and review Service Levels and work to resolve issues together; and

cascade training to staff and workers of the Authority.

42.4. Please reply to the above on minimum responsibilities of parties with a suitable response to indicate acceptance (e.g. if the response is ‘yes’ or ‘agreed’ this should be supported by additional brief information on how this will be undertaken for actions the Provider will take).

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Section 4 – Business and Technical Requirements43.1. The business and technical requirements sections include the mandatory and desirable features and functionality of the system. For clarity, the Authority has categorised these according to level of importance and these are defined as

Essential – these are mandatory and without this feature or functionality Wales Audit Office may not be able to fulfil operational requirements; the system must be able to provide this component part. If not, specify one or more solutions to satisfy the requirements of the technical specification in an equivalent manner.

Desirable – these aid efficiency and/or effectiveness, still considered a needed requirement and important for the delivery of work but the project is not dependent on it; the system should be able to provide this component part. If not, specify one or more solutions to satisfy the requirements of this technical specification in an equivalent manner.

Useful – these aspects support the overall efficiency or streamline processes, it would not adversely affect other aspects of the project if this was not available. It would be useful for the system to provide this component part.

43.2. Please respond to each of the sections on the form below in terms of the degree you can provide or meet the requirement. A statement that a particular business or technical requirement will be met with a ‘Yes’ response may not in itself be sufficient. Such responses, or responses that are ambiguous, may be taken as not meeting that business or technical requirement. Detailed information regarding how, when and to what extent a requirement can be met must be provided where appropriate – and, in evaluating a given requirement, scores will be awarded accordingly. For each requirement please state parameters e.g. how many are available, restrictions, etc…and/or provide explanation. Furthermore, if any requirement or part of a requirement cannot be met, this must be stated explicitly along with reason why. If not, and in particular for requirements categorised as ‘Essential’, if relevant, specify one or more solutions to satisfy the requirements of the individual business and technical requirement in an equivalent manner.

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Number Headline requirement Category Can you provide/ meet this?(Yes, No, Partial)

Comments(Please state parameters e.g. how many are available, restrictions, etc…as applicable or provide explanation)

1 Audit Structures, Procedures and Work Programmes

1.1 define different business streams and allocate audit programmes and staff to these. E.g. Performance Audit, Financial Audit, National Studies

Essential

1.2 define audit programmes which consist of a number of audit projects.

Essential  

1.3 define audit projects which consist of a number of audit tasks.

Essential  

1.4 define different types of audit projects and/or programmes which have different configurations (E.g. rules, workflow, authorisation or access levels). To meet the different needs of the WAO business streams (E.g. Studies Team working across audit years with different sign off requirements, to Financial Audit of Accounts or Performance Audit Compliance work)

Essential

1.5 record the results of audit tasks, details of work undertaken and linked to conclusions and audit matters arising

Essential  

1.6 link multiple audit assertions to a single test and prepopulate designated fields with consistent text once approved.

Essential  

1.7 define mandatory audit tasks that cannot be deleted from a project once allocated to an

Essential  

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audit body

1.8 create new audit tasks / projects / programmes which can be added to the library and given a pre-defined label/tag such as audit year, audit type so that the can be easily identified and found (system must be capable of allowing bilingual names – Welsh and English)

Essential  

1.9 allocate audit tasks to individuals. Essential  

1.10 add labels/tags to documents, audit tasks, projects or programmes to support searching. E.g. Survey, Corporate Assessment, Improvement Study, Public Interest Review, VFM Study

Essential ,

1.11 central library functionality to store and manage standard audit tasks, projects and programmes. E.g. Ability to import audit tasks into an audit project from a central library.

Essential

1.12 allow a user with the appropriate level of authorisation to add audit tasks to an audit project.

Essential  

1.13 define mandated audit tasks that can be deleted from a project when allocated to an audit body if approved by a user with appropriate level of authorisation and an explanation and an audit trail of approval is generated.

Desirable  

1.14 define "programme" milestones linked to the completion of projects within an audit programme E.g. Planning, Issue Analysis, Fieldwork, Drawing Conclusions, Drafting, Clearance

Desirable

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1.15 define " project" milestones linked to the completion of a group of specified audit tasks. E.g. Planning, Issue Analysis, Fieldwork, Drawing Conclusions, Drafting Report, Clearance, Completed.

Desirable

1.16 copy and amend audit tasks / projects / programmes previously used within the central library

Desirable  

1.17 automatically generate an audit project for an audit body based on the responses to a specified set of questions. E.g. A Risk assessment.

Desirable

1.18 link risks to audit tasks, conclusions and proposals for improvement

Useful  

1.19 link audit matters arising to audit tasks, conclusions and proposals for improvement

Useful  

1.20 allocate audit tasks based on predefined fields containing certain text or if certain pre-defined conditions have been assigned

Useful  

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2 Work-flow

2.1 define different work-flow processes and the levels of compliance for the different types of audit project. E.g. Audit tasks must be completed in a specified order such as project plan approved by Director before moving to the audit fieldwork.

Essential

2.2 track and manage translation requests and associated information such as cost.

Desirable  

2.3 integrate work flow with the e-mail system (MS Exchange 2007) to raise alerts

Desirable  

2.4 generate a unique report reference number when a report is passed to Publishing Team.

Desirable  

2.5 raise risks and link these to audit tasks, conclusions, matters arising, proposals for improvement, follow up action and allocate additional audit tasks

Desirable  

2.6 add publishing control information when passing a request to Publishing Team and track progress using a document status. E.g. Translation requirements, Printing requirements, draft or final version

Desirable

2.7 Publishing team to allocate Publishing tasks e.g. proofread and edit, format, etc.

Desirable  

2.8 audit tasks to be completed out of order if authorised and a reason/rational and audit trail provided e.g. date, authorisation.

Desirable  

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3 "Enter once" information flows (especially risks)

3.1 define automated links for significant issues, such as risks to relevant predefined places in the system

Desirable  

3.2 allow audit tasks to be automatically created based on responses to previous audit tasks or matters arising raised. E.g. If the answer to a test at planning is that there is a risk of fraud, then an audit task or set of audit tasks are automatically created to address those risks

Desirable

3.3 define automatic links between proposals for improvement, recommendations, good practice to relevant places in the system.

Desirable  

3.4 define the automatic flow of materiality and performance materiality figures through the audit project / programme.

Useful  

4 Trial balance / financial statement functionality

4.1 import or link to audit body data held in another system and automatically generate lead schedules, based on sector specific templates. If not, specify one or more solutions to satisfy the requirements of this technical specification in an equivalent manner.

Desirable  

4.2 update lead schedules with journals to match audit body adjustments which show the revised figures.

Useful  

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5 Cluster/Group/Sector audits

5.1 group audit bodies together into different categories to support searching and reporting E.g. By sector

Essential

5.2 group categories into defined groups to support searching reporting and drilling down. E.g. Geographical

Desirable

5.3 support linking of audit tasks, projects based upon predefined relationships and / or criteria. E.g. Link tasks / projects across years within an audited body,

Desirable

6 Sign-offs, manager review and quality reviews

6.1 support multiple preparer and reviewer sign-offs (E.g. Manager, Editing, Publishing, Group Director, Auditor General for Wales).

Essential  

6.2 support preparer and reviewer sign-off (including date) on audit tasks.

Essential  

6.3 support preparer and reviewer sign-off (including date) on documents E.g. Regulatory Plans, Project initiation document, Reports, Editing Screening, Publishing

Essential

6.4 prevents one person having different roles within a project / programme. E.g. to enforce segregation of duties between auditor and reviewer

Essential .

6.5 ability to undertake an independent review by a person independent of the team with read only access E.g. Quality Assurance

Essential

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6.6 allow users to act as reviewer on one project / programme and preparer on another.

Essential  

6.7 include additional evidence at second stage review on selected tests and documents.

Essential  

6.8 allows reviewer to add comments when signing off. E.g. if signing off a document electronically on 10th of month can add comment that manual review was performed on 1st

Essential

6.9 raise review notes at specific points which can hyper link to specific documents and paragraphs.

Essential  

6.10 delete and make amendments to text covered by review notes without deleting the review note.

Desirable  

7 Audit trails and version control 

7.1 maintain a clear audit trail of who has edited and signed off procedures and documents.

Essential  

7.2 maintain a history of changes to planned audit tasks.

Essential  

7.3 maintain a history of changes to findings, risks, conclusions.

Essential  

7.4 maintain a history of changes to documents(if they are held within the system).

Essential  

7.5 able to convert an Audit Task / Project / Programme to ‘read only’ once completed to prevent unauthorised alteration.

Essential  

8 Audit Matters Arising

8.1 define categories of audit matters arising E.g. Essential

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Risk, Issue, Good Practice, Monitor

8.2 raise matters arising E.g. Significant audit matters, mis-statements

Essential

8.3 link audit matters arising through to audit tasks and documents.

Essential  

8.4 open and close down audit matters arising. Essential  

8.5 generate reports on audit matters arising by categories

Desirable  

8.6 require certain fields to contain text when raising audit matters.

Desirable  

8.7 require that categories are assigned when audit matters arising are raised.

Desirable  

9 Review functionality

9.1 Review notes must show who raised them and who addressed them.

Essential  

9.2 Review notes must be customisable and have a status. E.g. not yet assigned, assigned but not started

Essential  

9.3 raise review notes on documents and audit tasks

Essential  

9.4 It must be able to allocate multiple levels of review if required.

Essential  

9.5 Editing / Screening team comments to be recorded. E.g. Readability Statistics

Desirable

9.6 support a team review to allow two team members (auditor and reviewer) to work simultaneously on the same audit task / project.

Useful

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E.g. Open, Closed,

9.7 able to have several postings between preparer and reviewer on each review note

Useful  

10 User Interface Requirements

10.1 scale and customise screens, fonts and windows to address accessibility.

Essential  

10.2 users can customise their user interface and displayed fields E.g.   Zoom - users can magnify the screen and scalable cursor - users can increase the size of the mouse cursor, Display adjustment - users can adjust or reverse colour contrast

Desirable

10.3 can customise the system to use WAO terminology

Desirable  

10.4 voiceover provided both speech input and audible output, combined with support for keyboard navigation, talking alerts and spoken items

Useful  

11 Roll-forward

11.1 define automated roll-forward procedures from prior year to current year audits.

Essential  

11.2 systematically update relevant procedures, processes etc. when moving to new files or apply other standard file updates. E.g. Template changes following screening, changes to guidance

Desirable

12 Management information and reporting

12.1 report progress against projects / programmes / Essential

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business streams and ability to drill down to different levels. E.g. Annual Reports, Letters incorporating, conclusions, proposals for improvement etc.

12.2 generate customisable "audit body" based reports based upon information held in the system using templates and extracting and collating information recorded in the system E.g. PI Audits

Essential

12.3 allow a snapshot view of audit task status by a range and combination of labels/tags

Essential  

12.4 present information on screen in different ways and drill down to get more detail E.g. individual, AIB, Region, Project, Programme, Study

Essential

12.5 export management information into various formats.

Essential  

12.6 view and print detailed delivery plans that sets out, for each audit project or programme, the stages of planning, fieldwork, reporting, closure and follow up and within each stage details of the tasks to be carried out and the resources required / allocated. E.g. By Whole WAO, Business Stream, Team, Region, Audit Body

Essential

12.7 it should provide an overview of projects / tasks "to complete" incorporating time and resources

Desirable  

12.8 it should provide an overview of progress of Audit tasks / projects / programmes through percentage of completion

Desirable  

12.9 gives a snapshot view of personal assigned responsibilities and audit tasks.

Desirable  

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12.10 enable viewing status of documents, review notes, proposals for improvement

Desirable  

12.11 produce management reports based upon publishing information. E.g. number of reports outstanding, number of reports published in a given period, list reports for a given AIB.

Desirable

12.12 generate customisable reports based upon the results of audit tasks. E.g. By Whole WAO, Business Stream, Team, Region, audit body

Desirable

12.13 provide snapshots of individual auditor progress visible only to manager/director

Useful  

13 Document Management

13.1 ability to reference (link to) a single version of a document which can be referenced from multiple audit programmes /projects / tasks. E.g. spread sheets and word documents containing macros, presentations, images, e-mails, Visio, Vide, survey result so etc. Not limited to Microsoft products

Essential

13.2 link to, or include, Snap Survey results, Photographs, Visio documents etc. (E.g. as Evidence or as outputs from the audit).

Essential  

13.3 cross reference using hyperlinks to various types of document types across audit projects

Essential  

13.4 lock a document to maintain integrity while it is being edited and maintain a record of the changes made.

Essential  

13.5 restrict access to information / documents i.e., not view, view only, edit based upon role and

Essential  

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work allocation

13.6 integrate document management with workflow processes and maintain a single version of the document. With full version control and history of changes. E.g. Editing Screening and Publishing

Essential

13.7 compliance with retention/destruction schedules and WAO and BSI policies as well as the requirements of FOI.

Essential  

13.8 define policies and procedures to automate archiving documents periodically.

Essential  

13.9 view only access archived documents with authorised individuals with destruction rights

Essential  

13.10 integrate with a document management system. At a simple level this would be via hyperlinks and ability to view details E.g. WAO Intranet, Internet, SharePoint

Desirable

13.11 integrate the creation and editing of documents such as word, excel and PowerPoint documents from within the system.

Desirable  

13.12 create and maintain a library of audit tasks (E.g. Question Hierarchies / tests / tools / surveys ) which can be used by copying into single or multiple audit programmes

Desirable  

13.13 link to specific points within documents and spread sheets

Desirable  

13.14 annotate (E.g. a comment, explanation, presentational mark-up) to a variety of documents such as Word, PowerPoint and Excel documents linked to audit projects

Desirable  

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13.15 drag-and-drop functionality Desirable  

13.16 maintain a Library of labels/tags that can be selected amend added to documents / audit tasks, projects, programmes and then used to support searching and reporting E.g. Business Stream, Sector, Year, Audit Type

Desirable

13.17 It should be able to search across the system or within specific cross sections using labels/ tags and key words

Desirable  

13.18 It should be able to flag and restrict access to documents that contain sensitive information E.g. personal

Desirable

13.19 lock a section of a document to maintain integrity while it is being edited enabling others to work on other sections at the same time and maintain a record of the changes made.

Useful  

13.20 provide summary reports on which documents contain sensitive information and action taken to remove such data

Useful  

14 Resource Management

14.1 define or import resource information per individual or group. E.g. skills, charge out rate, availability, cost centre, vehicle data

Essential

14.2 allocate audit tasks to individuals (including contractors and firms)

Essential  

14.3 allocate projects, programmes to teams, and others such as firms.

Essential  

14.4 allocate time required to undertake (hours, days Essential  

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to deliver) audit tasks.

14.5 link tasks to the following people requirements: charge out rate / grade, specific skills or competencies

Desirable  

14.6 allocate deadlines to audit task, projects and programmes.

Desirable  

14.7 generate timesheets for individuals based upon tasks allocation

Desirable  

14.8 record actual time taken to deliver audit tasks and identify reasons for any variances from the time allocated. Ideally from a pre-defined list of criteria supported by additional free text

Desirable  

14.9 record time against non-audit task to support easy reconciliation with other systems. E.g. Annual Leave, Sickness, Training, etc.

Desirable

14.10 identify variances in time allocated and actual time charged at a task, project and programme level and also by individual

Desirable  

14.11 undertake workforce planning based on audit projects and/or programmes and establish critical path and priorities and dependencies of tasks.

Desirable  

14.12 forecast "time to complete" based on programme and project information within the system using allocated resources.

Desirable  

14.13 use scenarios to support resource planning. Desirable  

14.14 identify resource gaps and conflicts. Desirable  

14.15 analyse workforce requirements in terms of Desirable  

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skills, grades, time based upon planned audit tasks.

14.16 calculate audit costs by collating information (times allocated to tasks, grades) for all of the tasks allocated to an audit programme or audit body.

Useful  

14.17 record expenses against audit tasks, such as travel expenses, mileage and carbon emission band data, accommodation etc. and if possible auto fill post code information from information held in the system (i.e.. Designated place of work, home) or AIB location.

Useful  

15 Access controls/levels

15.1 restrict access to Audit Tasks, Projects/ programmes based upon role and work allocated. .

Essential  

15.2 single sign on functionality. The ability to determine a user's identity (userid and password), role and relationships with others (E.g. Manager) from Active Directory i.e. without the need for the user to remember and use a separate username and password

Desirable  

16 Data Migration and testing

16.1 ability to export/import data between instances of systems. E.g. between a test and training instances of the system

Desirable .

16.2 import test system configurations. Useful  

16.3 automatically anonymise data held in test and training systems

Useful  

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17 Security / Data integrity

17.1 manage data conflicts arising from simultaneous edits to audit tasks, projects and programmes

Essential  

17.2 handle unexpected loss of network connectivity without losing or corrupting data, including during synchronisation operations

Essential  

17.3 encrypt (or permits 3rd party encryption of) data stored on local drives (E.g. laptops) and backups up to minimum standards required for IL3 Security Standard or equivalent (that securing confidentiality of sensitive information)

Desirable  

17.4 facilitate recovery of data accidentally erased by a user.

Desirable  

18 Network Requirements

18.1 support effective working over low bandwidth connections E.g. home broadband or 3G mobile data.

Essential  

18.2 an "offline" mode allowing the user to work with content previously downloaded, and to upload changes when connectivity is resumed whilst maintaining data integrity

Essential  

19 Desktop environment

19.1 the system must be compatible and work effectively on Windows 7 with Office 2010 installed

Essential  

19.2 any browser-based client components must work effectively on up-to-date versions of Internet Explorer and Chrome

Essential  

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19.3 it would be desirable for the supplier to make a commitment to support future versions of Microsoft Windows and Microsoft office within a timeframe of 12 months from their release

Desirable  

19.4 WAO is based wholly within a web environment, and it would be useful if any browser-plug-ins required are installed automatically. With no need for software to be installed manually, or as part of a software build, on the client PC

Useful  

 19.5 works effectively on Windows Vista with Office 2007 installed

Useful  

20 Server environment

20.1 the Database functionality must run either on Microsoft SQL Server or an open source database e.g. MySQL.

Essential  

20.2 all server functionality must run either on Microsoft Windows Server or Linux

Essential  

20.3 all server functionality must be capable of running inside a VMware virtual machine

Essential  

21 Interfaces with other systems

21.1 all system data must be able to be exported to standard file formats E.g. CSV, XML, Excel.

Essential  

21.2 schedule routine import/updates to information relating to WAO workforce from another system and report changes. E.g. HR System

Essential

21.3 support data being bulk-loaded in from standard file formats E.g. CSV, XML.

Desirable  

21.4 integrate with a document management system. Desirable

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At a simple level this would be via hyperlinks and ability to view details E.g. WAO Intranet, Internet, SharePoint

21.5 interface with report writing tools. E.g. Crystal Reports or equivalent report tools

Desirable

21.6 select / report and export data into a variety of formats

Desirable  

22 Technical support

22.1 a range of annual support and maintenance contract options must be available

Essential  

22.2 a service level agreement must clearly define response and resolution times to problems and matters arising raised with clearly defined escalation criteria.

Essential  

22.3 the system must be regularly maintained to address software issues and service packs issued to address these.

Essential  

22.4 product support must be available as a consultancy service to support the design and implementation.

Essential  

22.5 formal notifications of changes and system developments must be provided with a 6 month minimum lead in time for mandated implementation

Essential  

23 On-line Help functionality

23.1 the system should prompt for the completion of one audit task before moving on to the next with an explanation of why cannot proceed to the next step

Desirable  

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23.2 Cross-reference audit tasks and fields to Audit Manuals, Code of Practice and auditing standards

Desirable  

23.3 add contextual help to screens Desirable  

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Section 5 – Cost ScheduleThe cost tables below must be completed for the Authority to assess each supplier. All charges/prices must be expressed in pounds sterling and should be exclusive of VAT, all pricing information will form the basis of any resultant contract.

The price will remain fixed for a period of 2 years Thereafter costs may be subject to change in accordance with the published industry specific indices. The charges/prices must cover all requirements as listed below using the correct solution tables as applicable from those below.

Solution 1 – fully managed, supplier hosted and managed solution

Solution 2 – semi managed, client hosted supplier managed solution

Solution 3 – semi managed, supplier hosted client managed solution

Solution 4 - customer hosted, (in-house) client management solution

Alternative solutions may be considered and the supplier should include any further options they wish to be considered below the tables.

Please provide costs based on the following requirements:Implementation costs - configuration and delivery of an effective software solution Initial setup and customisation including software design configuration, technical implementation, project management services and

consultancy in liaison with Wales Audit Office staff; Testing including system testing, user acceptance testing, parallel running (if necessary) and issue resolution; interface and/or export

testing as appropriate; and Training to ensure Wales Audit Office staff are equipped to use management information and reporting tools, knowledge transfer for

administrators to resolve issues, training for interface/export; communication plan support.Provision of a support and maintenance service - Maintenance and support including help-desk and technical support services; on-line access; maintenance and licence fees; day or

charge rate for ad hoc support if required e.g. new report development, bespoke application; on-going account management.

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Solution 1 – fully managed, supplier hosted and managed solution

Solution 1 – Implementation costsCost in daily/hourly rate (specify)

Estimated days

Total cost Payment terms

Comments

Project management / consulting

Technical implementation

Hardware cost (if applicable)

System design, configuration and set up

Interface development

Training

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Licence costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a) e.g. hosting

Total cost Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

Maintenance costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a)

Total cost Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

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Other costsDay or hourly rate / cost(please specify)

Other associated cost (if applicable)

Payment terms Comments

General consultancy

Account Management

Version upgrade

Travel and subsistence (specify)

Technical Support (if not included with maintenance cost)

Other (specify)

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Solution 2 – semi managed, client hosted supplier managed solution

Implementation costs

Cost in daily/hourly rate (specify)

Estimated days

Total cost Payment terms

Comments

Project management / consulting

Technical implementation and testing

Hardware cost (if applicable)

Data migration/ transfer/imports (if required)

Training

PAGE 55

Licence costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a) e.g. hosting

Total cost

Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

Maintenance costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a)

Total cost

Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

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Other costDay or hourly rate / cost(please specify)

Other associated cost (if applicable)

Payment terms Comments

General consultancy

Account Management

Version upgrade

Travel and subsistence (specify)

Technical Support (if not included with maintenance cost)

Other (specify)

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Solution 3 – semi managed, supplier hosted client managed solution

Implementation costs

Cost in daily/hourly rate (specify)

Estimated days

Total cost Payment terms

Comments

Project management / consulting

Technical implementation and testing

Hardware cost (if applicable)

Data migration/ transfer/imports (if required)

Training

PAGE 58

Licence costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a) e.g. hosting

Total cost

Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

Maintenance costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a)

Total cost

Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

PAGE 59

Other costDay or hourly rate / cost(please specify)

Other associated cost (if applicable)

Payment terms Comments

General consultancy

Account Management

Version upgrade

Travel and subsistence (specify)

Technical Support (if not included with maintenance cost)

Other (specify)

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Solution 4 - customer hosted, (in-house) client management solution

Implementation costs

Cost in daily/hourly rate (specify)

Estimated days

Total cost Payment terms

Comments

Project management / consulting

Technical implementation and testing

Hardware cost (if applicable)

Data migration/transfer/imports (if required)

Training

PAGE 61

Licence costsServer Licence Cost

Audit user Client Access Licence costs

Basic user Client Access Licence costs

Other associated cost (specify if applicable or insert n/a) e.g. hosting

Total cost Payment terms

Comments

Year 1

Year 2

Year 3

Year 4

Maintenance and support costsCost Other associated

cost (specify if applicable or insert n/a)

Total cost Payment terms

Please explicitly define what is provided and what is not

Year 1

Year 2

Year 3

Year 4

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Other costs not covered by the specification

Day or hourly rate / cost(please specify)

Other associated cost (if applicable)

Payment terms Comments(please define)

General consultancy

Travel and subsistence (specify)

Technical Support (if not included with maintenance cost)

Other (specify)

Please copy format of tables above for any alternate solutions you wish to be considered and insert here.

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Section 6 – Documents and Information to be submitted

The Tenderers must submit the following documents and information in support of their Tender Response.

Executive Summary - The executive summary should focus on the key features of the Tenderer’s Response. The executive summary should provide the Authority with a clear, concise summary of the Tenderer’s Response. The summary should highlight key strengths of the Response to demonstrate how the Tender represents value for money to the Authority.

Response to each section within the Specification of Requirements in Section 3 together with a draft outline schedule for delivery.

Response to the Business and Technical Requirements in Section 4.

Completed cost schedule in Section 5.

Response to the Commercial Questionnaire in Section 7 together with copy certificates or similar evidence of all formal accreditations held.

Completed company details and Financial information in Section 8.

Completed references in Section 9.

A copy of your Health and Safety policy or its equivalent in your State (extract statement only please).

Copies of all relevant insurance policy certificates.

Your attention is drawn to the award criteria. The Authority reserves the right to reject any tender on the basis of not meeting minimum requirements for engagement or for an incomplete tender submission.

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Section 7: Commercial questionnairePlease respond to the questionnaire below. Your attention is also drawn to the Documents and Information to be Submitted section.

Name of the organisation:

Contact name for enquires about this bid:

Contact position (Job Title):Address:

Postcode:Telephone number:Mobile number:

E-mail address:Website address (if any):Company Registration number (if this applies):Charity/Other Registration Number (if this applies):Date of Registration:Registered address if different from above:

Postcode:VAT Registration number (if this applies): State the type of legal entity of your organisation (e.g. partnership or LLP)

Brief history of your organisation, no more than 400 words, including details of any changes of formation over the last 5 years including details of significant pending developments, changes in financial structure, prospective take-over bids, buy outs and closures etc which are currently in the public domain.

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Is this a consortium bid? Consortium bid Yes/No (please delete)If yes, please provide details of the consortium members and their respective roles in the consortium. (Note: the responses in this tender are to cover ALL consortium members)Organisation name Organisation address and

contact detailsService provision role

Subcontracting Do you intend to sub-contract any element of the work? (This does not include the .)

Yes/No (please delete)

If yes, please provide details of the elements of the subcontractors.

ECONOMIC AND FINANCIAL STANDINGAccounts information – please provide the following: Your organisation’s total turnover for the last 2 trading years (or period of trading if less than 2 years)

£…………for the year ended…/…/….

£…………for the year ended…/…/….

Your organisation’s turnover for services similar to this procurement in the last 2 trading years

£…………for the year ended…/…/….

£…………for the year ended…/…/….

Where a consortium or association is proposed, the information is requested for each member. The Authority reserves the right to request a copy of the full report and audited accounts for the last 3 financial years.

Has your organisation met all of its obligations (in its state) to pay its creditors and staff during the past year?

Yes/No (please delete)If no, please explain why not.

Has your organisation met the terms of its banking facilities and loan agreements (if any) during the past year?

Yes/No (please delete)If no, what were the reasons, and what has been done to remedy the situation?

PAGE 66

Name and address of principal bankBank nameAddress

Town/CityPostcode

Please provide a statement of any material threatened, pending, current or recent litigation or other legal proceedings against your organisation and any of your supply chain members that may affect delivery of the requested services.

Disclosure of legal proceedings (not more than 200 words)Either insert required details or state ‘None’

Insurance

Please provide evidence of the employers' liability, public liability insurance [and professional liability or indemnity if appropriate] insurance held by the Potential Provider.  Please complete the section below and return copies of all relevant insurance certificates.

Employers Liability

Professional Indemnity

Public Liability / Other

Name of insurer

Address

Policy numbersExpiry dateLimits of indemnity (per occurrence and aggregate)

Excess (if any)

PAGE 67

PROFESSIONAL/TECHNICAL ABILITYPlease provide a brief description of your primary business and main services (300 words max).

Please provide details of the Potential Provider’s staff numbers. Please provide details of the average annual numbers of both staff and managerial staff (for previous and current year)

Total Staff numbers

Managerial Staff

Technical staff

Customer support staff

Other staff

Please provide an indication of all solutions included within your tender. Software options offered in this tender Indicate with Yes or leave blankSolution 1 – fully managed, supplier hosted and managed solution

Solution 2 – semi managed, Client hosted supplier managed and administered solution.

Solution 3 – semi managed. Supplier hosted client managed and administered

Solution 4 - customer hosted, (in-house) client management solution

Other software solution(please specify in response)

PAGE 68

Please provide at least two examples of similar services to this procurement you have provided in the past three (3) years involving audit management software with support.

Brief description of the services provided The contract value(£)

Details of the recipient of the services,including contact details

Please provide details of the Potential Provider’s technical ability to perform the contract, including details of skills, efficiency, experience and reliability relevant to the contract.

Details of the Potential Provider’s technical ability

Please provide details of your organisation’s measurements for ensuring quality in relation to the services provided under the contract e.g. such as quality management systems in place i.e. ISO9001 or equivalent? (300 words max).

Please provide details on your organisation’s information security arrangements and e.g. include an overview of any ISO27001 or equivalent accreditations you hold.

Data Protection

Please provide details of the procedures in place within your organisation to ensure compliance with the Data Protection Act, including:

PAGE 69

Maximum 300 words in totalhow your organisation ensures that your staff maintain the confidentiality of the information from third parties and its electronic and physical security at all times;

the technical and organisational measures your organisation has in place in order to safeguard personal data supplied by third parties;

how your organisation ensures the data from third parties is not processed in such a way that damage or distress is caused, or likely to be caused, to any data subject.If you are registered under the Data Protection Act please state your registration number.Registration No:

Equal Opportunities Do you have a written equal opportunities policy and code of conduct?

Yes/No (please delete)

In the last 3 year has any finding of unlawful discrimination in the employment field been made against you by the employment appeal tribunal or any court or in comparable proceedings in any other jurisdiction?

Yes/No (please delete)

If the answer to the previous question is ‘yes’, please outline the issues and explain the steps have you taken as a result of that finding.

[If you have been found to have committed a serious breach and are unable to demonstrate that you have taken appropriate action to remedy the situation, you will be disqualified from the procurement.]

Environmental ManagementDoes your organisation operate in accordance with a formally documented and implemented environmental management system? (e.g. BS/EN/ISO 14001 or equivalent)

Yes/No (please delete)

Does your organisation have a formally documented and implemented sustainability or environmental policy?

Yes/No (please delete)

If your answer was no to either question, please explain how your organisation reduces your environmental impacts.

Health and SafetyDoes your organisation have a formally documented and implemented health and safety at work policy?

Yes/No (please delete)

Section 8: Statement Relating to Good Standing

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STATEMENT RELATING TO GOOD STANDING – GROUNDS FOR OBLIGATORY EXCLUSION (IN ELIGIBILITY) AND CRITERIA FOR REJECTION OF CANDIDATES in accordance with Regulation 23 of the Public Contracts Regulations 2006 (as amended)

PROJECT TITLE: Audit Management Software with SupportWe confirm that, to the best knowledge, our organisation is not in breach of the provisions of Regulation 23 of the Public Contracts Regulations 2006 (as amended) and in particular that:

Grounds for mandatory rejection (ineligibility)Our organisation (or its directors or any other person who has powers of representation, decision or control of the named organisation) has not been convicted of any of the following offences:

a) conspiracy within the meaning of section 1 of the Criminal Law Act 1977 where that conspiracy relates to participation in a criminal organisation as defined in Article 2(1) of the Council Joint Action 98/733/JHA (as amended);

b) corruption within the meaning of section 1 of the Public Bodies Corrupt Practices Act 1889 or section 1 of the Prevention of Corruption Act 1906 (as amended);

c) the offence of bribery;

d) fraud, where the offence relates to fraud affecting the financial interests of the European Communities as defined by Article 1 of the Convention relating to the protection of the financial interests of the European Union, within the meaning of:

i. the offence of cheating the Revenue;

ii. the offence of conspiracy to defraud

iii. fraud or theft within the meaning of the Theft Act 1968 and the Theft Act 1978;

iv. fraudulent trading within the meaning of section 458 of the Companies Act 1985;

v. defrauding the Customs within the meaning of the Customs and Excise Management Act 1979 and the Value Added Tax Act 1994

vi. an offence in connection with taxation in the European Community within the meaning of section 71 of the Criminal Justice Act 1993; or

vii. destroying, defacing or concealing of documents or procuring the extension of a valuable security within the meaning of section 20 of the Theft Act 1968;

e) money laundering within the meaning of the Money Laundering Regulations 2007; or

f) any other offence within the meaning of Article 45(1) of the Public Sector Directive.

Organisation’s nameSigned PositionDate

Discretionary grounds for rejectionOur organisation (or our directors or any other person who has powers of representation, decision or control of the named organisation) confirm that it:

PAGE 71

a) being an individual is not bankrupt or has not had a receiving order or administration order or bankruptcy restrictions order made against him or has not made any conveyance or assignment for the benefit of his creditors or does not appear unable to pay or have no reasonable prospect of being able to pay, a debt within the meaning of section 268 of the Insolvency Act 1986, or article 242 of the Insolvency (Northern Ireland) Order 1989, or in Scotland has not guaranteed a trust deed for creditors or become otherwise apparently insolvent, or is not the subject of any similar procedure under the law of any other state;

b) being a partnership constituted under Scots law has not granted a trust deed or become otherwise apparently insolvent, or is not the subject of a petition presented for sequestration of its estate;

c) being a company or any other entity within the meaning of section 255 of the Enterprise Act 2002 has not passed a resolution or is not the subject of an order by the court for the company’s winding up otherwise than for the purpose of bona fide reconstruction or amalgamation, nor had a receiver, manager or administrator on behalf of a creditor appointed in respect of the company’s business or any part thereof or is not the subject of similar procedures under the law of any other state;

d) has not been convicted of a criminal offence relating to the conduct of his business or profession;

e) has not committed an act of grave misconduct in the course of his business or profession;

f) has fulfilled obligations relating to the payment of taxes under the law of any part of the United Kingdom or of the relevant State in which the organisation is established;

g) has fulfilled obligations relating to the payment of taxes under the law of any part of the United Kingdom or of the relevant State in which the economic operator is established;

h) is not guilty of serious misrepresentation in providing any information required under regulation 23 of the Public Contracts Regulations 2006 (as amended);

i) in relation to procedures for the award of a public services contract, is licensed in the relevant State in which he is established or is a member of an organisation in that relevant State when the law of that relevant State prohibits the provision of the services to be provided under the contract by a person who is not so licensed or who is not such a member.

Organisation’s nameSigned PositionDate

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Section 9: References

REFERENCE 1

INFORMATION REQUIRED RESPONSE

Name and Address of Company

Contact Name and Telephone Number

Email address (if available)

Details of Service Provided

Value of Contract

Duration of Contract

Duration of Service Provided

REFERENCE 2

INFORMATION REQUIRED RESPONSE

Name and Address of Company

Contact Name and Telephone Number

Email address (if available)

Details of Service Provided

Value of Contract

Duration of Contract

Duration of Service Provided

REFERENCE 3

INFORMATION REQUIRED RESPONSE

Name and Address of Company

Contact Name and Telephone Number

Email address (if available)

Details of Service Provided

Value of Contract

Duration of Contract

Duration of Service Provided

Approval will be obtained from the Tenderers prior to the Authority contacting any of the references provided above.

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Section 10: Proposed Amendments to the Contract Clause Number/Schedule ref

Proposed Amendment With Revised Wording

Other than those provisions identified above, [Tenderer to insert name] confirms that it has reviewed the terms and conditions of the proposed Contract and is content with each of their provisions.

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Section 11: Standard Terms and ConditionsAUDITOR GENERAL FOR WALES

STANDARD TERMS AND CONDITIONS OF CONTRACT FOR THE PROVISION OF AUDIT MANAGEMENT SOFTWARE WITH SUPPORT

This Agreement is made on the ………………..

Between:

The Auditor General for Wales (Wales Audit Office), whose head office is at 24 Cathedral Road, Cardiff, CF11 9LJ (hereinafter called “the Authority”), and ………….. a company incorporated in (England and Wales/Scotland) whose registered office is at …………………. (hereinafter called “the Contractor”).

Whereas:

the Contractor is engaged in providing audit management software with support and:

the Authority enters into this Agreement for the Contractor to provide audit management software with support all as set out in this Agreement; and

both parties agree to be bound by the terms and conditions set out in this Agreement.

1. Definitions and Interpretations

1.1 “Agreement” means this agreement together with all written schedules and other documents referred to.

1.2 “the Service” means the ………………….. that the Contractor will supply and which are described in the specifications.

1.3 “Contractors Account Manager” means the person nominated by the Contractor and agreed with the Authority as being responsible for managing the delivery of the Service in accordance with the terms of the Agreement.

1.4 “Authority’s Nominated Representative” means the person appointed by the Authority as being responsible for liaison with the Contractors Account Manager in respect of the Agreement.

1.5 “Service Specification” means the Specification of Requirements for audit management software with support together with the Tenderers written response to it and subsequent correspondence.

1.6 “Default” means the default or failure of any obligation of the contract

2. Description of the Service

2.1 The Contractor shall provide to the employees of the Authority and other nominated individuals such audit management software with support (hereinafter called “the Service”) as the Authority may reasonably require.

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2.2 The scope of the Service at commencement of this Agreement is set out in the Service Specification.

2.3 The times during which the Service shall be provided, together with the response times the Contractor shall meet will be set out by the Authority’s Nominated Representative in agreement by both parties.

2.4 The Authority has made the Contractor aware of its requirements for the provision of the Service and the Contractor agrees that it has been given the opportunity to ascertain the information necessary for it to provide the Service as set out in the Agreement.

3. Period of Agreement3.1 This Agreement shall commence on …………….. and, except for early

termination in accordance with the terms of the Agreement, shall continue for a period of four years.

3.2 Either party may give not less than three months written notice of their intention to terminate this Agreement.

4. The Provision of Services4.1 The Contractor shall provide the Services as set out in the Service

Specification. The Authority reserves the right to accept all or part of the Specification as set out in the Tender and will instruct the Contractor when to undertake the work.

4.2 The Contractor shall ensure that its staff undertaking work in providing the Service to the Authority shall be adequately trained and competent to provide the required services.

4.3 The parties recognise that the requirements of the Authority will change over time and this will necessitate forward planning of resource requirements by the Contractor. To facilitate this planning the Authority will, from time to time, provide to the Contractor information on its future requirements.

4.4 The Auditor General does not accept liability for any errors that may arise in the specified work. It is the responsibility of the service provider to ensure that all specified works are accurate. The Auditor General may reject any work, if, in their reasonable opinion, the service provider has failed to provide the audit management software with support to the standard and quality specified in the Contract or otherwise conveyed to the service provider in connection with the Contract.

5. Nature of Services

5.1 The Authority is not responsible for any acts or omissions of the Contractor. The Contractor will seek prior agreement before undertaking work when acting on behalf of the Authority.

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6. Insurance

6.1 The Contractor must take out adequate insurance to cover its obligations and potential liabilities under the agreement.

7. Intellectual Property Rights

7.1 All Intellectual Property Rights in any specifications, instructions, plans, data, drawings, databases, patents, patterns, models, designs or other material:

7.1.1 furnished to or made available to the Contractor by the Authority shall remain the property of the Authority

7.1.2 prepared by or for the Contractor for use, or intended use, in relation to the performance of this Contract shall belong to the Authority, and the Contractor shall not, and shall procure that the Contractor’s employees, servants, agents, suppliers and sub-contractors shall not, (except when necessary for the implementation of the Contract) without prior approval, use or disclose any such Intellectual Property Rights, or any other information (whether or not relevant to this Contract) which the Contractor may obtain in performing the Contract except which is in the public domain.

7.1.3 At the termination of the Contract the Contractor shall immediately return to the Authority all materials, work or records held, including any back-up media.

7.1.4 The provisions of this Condition shall apply during the continuance of this Contract and indefinitely after its expiry or termination.

8 Responsibility and Progress Reporting

8.1 The Contractor shall appoint the Account Manager who shall be responsible for the provision of the Service to the Authority.

8.2 The Authority’s Nominated Representative shall be responsible for liaising with the Contractors Account Manager to determine that the Authority’s requirements are met and to discuss and resolve matters relating to the Agreement.

9 Review Meetings

9.1 The Contractors Account Manager shall attend Review Meetings at the premises of the Authority, or such other location that the parties may agree. The Authority’s Nominated Representative shall determine the frequency and dates of such Review Meetings.

9.2 The Review Meetings shall be to monitor progress and/or performance of the Contractor in providing the Service and to resolve matters arising and cost reduction initiatives that may from time to time be agreed between the parties. The Contractors Account Manager may be called upon to present information to the Management Team in agreement by both parties.

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10 Payment

10.1 The Contractor shall be entitled to invoice the Authority at the times and in the manner set out in the Agreement on completion of each distinct piece of work or as agreed in advance by both parties.

10.2 Provided that the invoice is one which under the Agreement the Contractor is entitled to submit, the Contractor shall invoice the Authority and the Authority shall pay the Contractor within 30 days of receipt of a valid invoice.

11 Employees of the Contractor

11.1 The Contractor shall be the employer of the personnel provided to perform the services and shall be entirely responsible for the employment and terms and conditions of employment of the Employees. The Contractor is responsible for all PAYE, Income Tax and National Insurance Deductions of such personnel. The Contractor shall reimburse the Authority any sums the Authority has to pay to the HM Revenue and Customs in respect of their employees.

12 Transfer and Sub-Contracting

12.1 The Contract is personal to the Contractor. The Contractor shall not assign, novate, sub-contract or otherwise dispose of the Contract or any part thereof without the previous consent in writing of the Authority.

12.2 Notwithstanding any sub-contracting permitted hereunder, the Contractor shall remain primarily responsible for the acts and omissions of its sub-contractors as though they were its own.

12.3 The Contractor will notify the Authority of potential Conflicts of Interest and will arrange suitable qualified alternate arrangements in agreement with the Authority.

12.4 The Contractor will not carry on in any business which could create a conflict of interest unless the Authority gives prior consent.

13 Protection of Personal Data

13.1 The Contractor’s attention is hereby drawn to the Data Protection Act 1998. Both parties warrant that they will duly observe all their obligations under the Data Protection Act 1998 which arise in connection with the Contract.

14 Waiver

14.1 No delay, neglect or forbearance on the part of either party in enforcing against the other party any term or condition of the Contract shall either be or be deemed to be a waiver or in any prejudice any right of that party under the Contract.

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15 Force Majeure

15.1 Neither party shall be liable for the failure to perform its obligations under the Contract if such failure results from circumstances beyond its reasonable control including (but without limiting the generality thereof) governmental regulations, fire, terrorism, flood or any disaster or an industrial dispute affecting a third party for which a substitute third party is not reasonably available.

16 Confidentiality

16.1 The Authority and the Contractor shall keep confidential all information of the other party designated as confidential obtained under or in connection with the Contract and shall not divulge the same to any third party without the written consent of the other party, except where disclosure is required by the Freedom Of Information Act 2000, the Environmental Information Regulations, the Data Protection Act 1998, or any other legal requirement.

16.2 The Auditor General is a public authority under the Freedom of Information Act 2000. All information submitted to the Auditor General may therefore need to be disclosed in compliance with the Freedom of Information Act 2000 (the Auditor General reserves the right to decide what is or is not required by the Act), in compliance with other law, or because a court orders them to do so. Respondents should therefore seek to ensure that those parts of their Tender response they would prefer not to be disclosed are covered by exemptions provided by the Freedom of Information Act, identify them as such and explain (in broad terms) why the information should not be disclosed and the time period applicable to that sensitivity. The Auditor General is more likely to be able to justify non-disclosure of information in response to a Freedom of Information request if the suggested ‘non-disclosure’ items are classified in this way. The Auditor General reserves the right to disclose non-disclosure items if they are satisfied (acting reasonably) that it is in the public interest for the information to be disclosed. Receipt by the Auditor General of any material marked ‘confidential’ or equivalent should not be taken to mean that the Auditor General accepts any duty of confidence by virtue of that marking. The Auditor General also reserves the right to disagree with a non-disclosure classification.

(Respondents should note that the exemption provided by section 41 of the Freedom of Information Act does not automatically apply to all information marked ‘in confidence’. It applies to information provided in confidence and where disclosure would be an actionable breach of confidence. The information should be recognisable as confidential in nature and must not be in the public domain already; it must have been received in circumstances which impose an obligation to maintain confidentiality on the person receiving it, and any unauthorised disclosure would cause harm to the confider.)

16.3 The provisions of Clause 16.1 and 16.2 shall not apply to any information in the public domain otherwise than by breach of Contract.

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16.4 The Contractor and the Authority shall divulge confidential information only to those employees who are directly involved in the Contract and shall ensure that such employees are aware of and comply with these obligations as to confidentiality.

16.5 The Contractor shall ensure that their employees and its sub-contractors are bound by the requirements of this Clause 16.

16.6 The provisions of this Clause 16 shall continue in perpetuity and at the request of the Authority the Contractor will return any documents and confidential information obtained from the Authority in relation to the services.

17 Termination

17.1 The Authority may at any time by notice in writing terminate the Contract as from the date of service of such notice if:17.1.1 there is a change of control, as defined by Section 416 of the Income

and Corporation Taxes Act 1988, in the Contractor or its Parent Company; or

17.1.2 any partner or partners in the firm who together are able to exercise direct or indirect control, as defined by Section 416 of the Income and Corporation Taxes Act 1988, shall at any time become bankrupt or shall have a receiving order or administration order made against them or shall make any composition or arrangement with or for the benefit of their creditors, or shall make any conveyance or assignment for the benefit of their creditors, or shall purport to do so, or appears unable to pay or to have no reasonable prospect of being able to pay a debt within the meaning of Section 268 of the Insolvency Act 1986 or they shall become apparently insolvent within the meaning of the Bankruptcy Act 1985 as amended by the Bankruptcy Act 1993 or any application shall be made under any bankruptcy or insolvency act for the time being in force for sequestration of their estate, or a trust deed shall be granted by them for or on behalf of their creditors or any similar event occurs under the law of any other jurisdiction; or

17.1.3 the Contractor, being a company, passes a resolution, or the Court makes an order that the Contractor or its Parent Company be wound up otherwise than for the purpose of a bona fide reconstruction or amalgamation, or a receiver, manager or administrator on behalf of a creditor is appointed in respect of the business or any part thereof of the Contractor or the Parent Company, or circumstances arise which entitle the Court or a creditor to appoint a receiver, manager or administrator or which entitle the Court otherwise than for the purpose of a bona fide reconstruction or amalgamation to make a winding-up order, or the Contractor or its Parent Company is unable to pay its debts within the meaning of Section 123 of the Insolvency Act 1986 or any similar event occurs under the law of any other jurisdiction.

17.2 The Authority may at any time by notice in writing terminate the Contract forthwith if the Contractor is in Default of any obligation under the Contract and:17.2.1 the Default is capable of remedy and the Contractor shall have failed

to remedy the Default with fourteen (14) days of written notice to the Contractor specifying the Default and requiring its remedy; or

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17.2.2 the Default is not capable of remedy or is not deemed reasonable by the Authority, which includes additional circumstances arising as with conflicts of interest.

17.3 The Authority retains the right to terminate if there is a continuing event of force majeure as defined in Clause 15.1.

17.4 Termination in accordance with this Clause 17 shall not prejudice or affect any right of action or remedy which shall have accrued or shall thereafter accrue to either party.

17.5 The Authority will only be permitted to exercise its rights pursuant to Clause 17.1.1 for six (6) months after each such change of control and shall not be permitted to exercise such rights where the Authority has agreed in advance in writing to the particular change of control and such change of control takes place as proposed. The Contractor shall notify the Authority within fourteen (14) days of any change of control taking place.

17.6 The Authority or Contractor may terminate the Contract by a minimum of two (2) months’ notice to take effect at the end of the minimum period, that being six (6) months, or any period thereafter, with the exception of circumstances identified in Clause 16.

18. Welsh Language Scheme

18.1 The Contractor shall at all times comply with the Welsh Language Scheme (as amended from time to time) as if it were the Authority to the extent that the same related to the provision of the Services.

18.2 The Contractor shall deliver the services (in accordance with the specification) through the medium of English and Welsh (or on an equal basis).

19 Law and Jurisdiction

19.1 This contract shall be governed by the law of England and Wales. All disputes or differences arising under or in connection with it shall be submitted to the exclusive jurisdiction of the High Court in Cardiff.

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COMPANY NAME: Auditor General for Wales TEL NO: 02920 320500

ADDRESS: Wales Audit Office FAX NO: 02920 320600

24 Cathedral Road

Cardiff

CF11 9LJ

NAME: _____________________________________

TITLE: _____________________________________

SIGNATURE: _____________________________________

DATE: _____________________________________

COMPANY NAME: TEL NO:

ADDRESS: FAX NO:

NAME: _____________________________________

TITLE: _____________________________________

SIGNATURE: _____________________________________

DATE: _____________________________________

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