Procurement by Competitive Dialogue to Establish a Framework for Open Source Platform and Reporting Modules for Public Services

November 2011

Invitation To Participate in Dialogue (ITPD) and Submit an Outline Solution

(ISOS)

Version 1.0 07.11.11

This Procurement is undertaken by Redbridge Primary Care Trust.

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CONTENTS

1. INTERPRETATION......................................................................................4

1.1 Interpretation..............................................................................................4

1.2 Copyright.....................................................................................................4

2. INTRODUCTION.........................................................................................4

2.1 Background................................................................................................4

3. PURPOSE OF THIS ITPD/ISOS.................................................................6

4. GENERAL INFORMATION............................................................................6

4.1 Acceptance of terms in ITPD/ISOS....................................................6

4.2 Clarification Requests by Bidders.......................................................6

4.3 Clarification Requests by RPCT..........................................................6

4.4 Warnings or disclaimers.........................................................................7

4.5 Changes to the Procurement...............................................................7

4.6 Accuracy of Response............................................................................7

4.7 Confidentiality and Freedom of Information....................................8

4.8 Eligibility requirements and changes affecting a Bidder..............9

4.9 Bidder conduct and conflicts of interest............................................9

4.10 Authority's rights.....................................................................................10

4.11 Cost............................................................................................................10

4.12 Law.............................................................................................................11

5. TIMETABLE AND THE PROCUREMENT PROCESS........................................11

5.1 Structure....................................................................................................11

5.2 Key dates..................................................................................................11

5.3 Submission of Responses...................................................................11

5.4 Receipt of Responses...........................................................................................13

5.5 Consortia and Subcontractors............................................................................13

5.6 The Dialogue Phase..............................................................................................15

5.7 The Final Tender.....................................................................................................15

5.8 Award of Framework Agreement.......................................................................15

5.9 Duplication................................................................................................................15

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6. CONTRACTUAL REQUIREMENTS...............................................................15

6.1 Draft Contract..........................................................................................15

6.2 Transfer of Staff......................................................................................16

7. INFORMATION AND INSTRUCTIONS FOR PREPARING THE OUTLINE SOLUTION..............................................................................................16

SCHEDULE 1 PRICING SCHEDULE............................................................................23

SCHEDULE 2 EVALUATION CRITERIA FOR FINAL TENDER STAGE...........24

SCHEDULE 3 DRAFT FRAMEWORK AGREEMENT AND CALL-OFF CONTRACT.............................................................................................29

Annex 1 Dialogue Plan........................................................................................................30

Annex 2 Process Overview................................................................................................31

Annex 3 Key Dates...............................................................................................................33

Annex 4 Server Specifications..........................................................................................34

Annex 5 Glossary of Terms and Abbreviations...........................................................35

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1. INTERPRETATION

1.1 Interpretation

In this document, except where the context otherwise requires:(a) Words importing one gender include all other genders and words importing

the singular include the plural and vice versa; and(b) The list of contents, glossary and headings to the parts and paragraphs of

this ITPD/ ISOS and the Schedules and Annex hereto are for ease of reference only and shall not affect the construction of this ITPD/ ISOS.

1.2 Copyright

The copyright in this ITPD/ISOS is vested in Redbridge Primary Care Trust (RPCT). The ITPD/ ISOS may not be reproduced, copied or stored in any medium without the prior written consent of RPCT other than strictly for the purposes of preparing a Response.

2. INTRODUCTION

2.1 Background

This Procurement is being undertaken by RPCT. A software company is currently providing a software solution with a number of reporting modules to RPCT. The current informatics system enables clinical commissioners and managers to monitor and evaluate all available patient related data in one place at a previously unattainable level of detail. The system reports on commissioning performance at all levels, including individual registered patients, GP practices and Clinical Commissioning Groups (CCGs).

The current system utilises a secure database to hold primary and secondary care data from multiple sources. The system contains features to automatically collect data from different primary care systems and processes this data into a format compatible with the secure database.

Once stored in the secure database, the system maps the primary care data to secondary care data to provide a holistic view of the entire care pathway for each and every registered patient, enabling a range of reports to be produced.

The outputs from such reports, for example risk modelling, financial reporting and patient care tracking, are provided to multiple users internally and externally using a web based system. A range of security protocols are in place to prevent unauthorized access, including registration of the computer IP addresses, restricted access via the N3 network, secure user login and inbuilt user management functions to protect patient confidentiality.

The system allows for the monitoring of progress towards the desired target through various reporting functions such as patient care, financial reports and

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service utilisation reports. All reports are available to local GP practices, clinicians and primary care staff, with restrictions in place regarding patient identifiable information. Currently the system only allows a GP to view the details of patients registered at their own practices, although it does provide an overview for each CCG in the locality and each of the boroughs in the ONEL Cluster.

2.2 The Procurement

Selection of the procurement methodology

The competitive dialogue procedure will allow RPCT to fully define its requirements through dialogue with selected suppliers. The objective of the dialogue meetings will be to raise questions, seek clarification and develop the requirements, following which RPCT will issue the comprehensive requirements and invite the Bidders to submit Final Tenders.

Reason for the framework establishment

In 2011 the Government set out on a transformation of healthcare provision, whereby previous models of commissioning health services were to be replaced with CCGs. In relation to this initiative, RPCT is undertaking a competitive dialogue process to establish a Framework Agreement to allow the Procurement of a Solution that will meet the needs of Beneficiaries.

The aim of the Procurement is to establish a Framework Agreement which grants Beneficiaries access to a Solution which assists their commissioning decisions. See section 7 for a Requirements Summary for the Outline Solution. The Procurement began with the publication of the OJEU Notice Reference: 11/S 162-267964/EN. RPCT is conducting this Procurement using the competitive dialogue procedure in accordance with the requirements of the Public Contracts Regulations 2006 (SI 2006/5) (Regulations). RPCT will select the winning Provider on the basis of the most economically advantageous tender.

The Framework Agreement will name as its Beneficiaries health service organisations and local authorities. The Beneficiaries are as set out in the reference lists as follows: http://www.nhs.uk/ServiceDirectories/Pages/PrimaryCareTrustListing.aspx http://www.direct.gov.uk/en/Dl1/Directories/Localcouncils/index.htm http://www.nhs.uk/ServiceDirectories/Pages/

StrategicHealthAuthorityListing.aspx http://www.nhs.uk/ServiceDirectories/Pages/AcuteTrustListing.aspx http://www.nhs.uk/ServiceDirectories/Pages/MentalHealthTrustListing.aspx

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Total nominal value of call-off contracts under the Framework Agreement is estimated to be between £500,000.00 and £10 million.

3. PURPOSE OF THIS ITPD/ISOS

THIS ITPD/ISOS:

(a) asks Bidders to submit their Responses in accordance with the instructions set out in the remainder of this ITPD/ISOS;

(b) sets out the overall timetable and process for the Procurement;

(c) marks the start of the period of detailed commercial, technical and legal dialogue with the Bidders and provides information about this period;

(d) provides Bidders with sufficient information to enable them to provide a Response; and

(e) explains the administrative arrangements for the submission and receipt of Responses.

4. GENERAL INFORMATION

4.1 Acceptance of terms in ITPD/ISOS

Submission of a Response to this ITPD/ISOS implies acceptance of its provisions by the Bidder.

4.2 Clarification Requests by Bidders

If Bidders require clarification on the information in this ITPD/ISOS, clarification requests must be e-mailed to: procurement@onel.nhs.uk. Bidders should note that the last date for receipt of clarification requests is Thursday 17th November 2011. RPCT will issue, from time to time, a bulletin summarising all clarification requests and RPCT’s response. This bulletin will be emailed to all Bidders. RPCT will endeavour to ensure all clarification requests are responded to by Monday 21st November 2011.

A Bidder may request RPCT to treat a clarification request and its response as confidential. Any such requests must be made at the time of submission of the clarification question. RPCT will advise the relevant Bidder if it considers that the clarification request cannot be treated as confidential, at which time the relevant Bidder may either withdraw the clarification question or accept that the question and response may (at RPCT’s absolute discretion) be published in the bulletin issued by RPCT, referred to above.

4.3 Clarification Requests by RPCT

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RPCT expressly reserves the right to require a Bidder to provide additional information supplementing or clarifying any of the information provided in response to the requests set out in this ITPD/ISOS.

4.4 Warnings or disclaimers

It is the responsibility of Bidders to ensure that their Responses are full and accurately completed and are accompanied by the appropriate documentation. RPCT are under no obligation to clarify Bidders’ Responses or to seek to obtain any missing information and documentation.

While the information contained in this ITPD/ISOS is believed to be correct at the time of issue, neither RPCT, its advisors, consultants nor evaluators will accept any liability for its accuracy, adequacy or completeness, nor will any express or implied warranty be given. This exclusion extends to liability for any statement, opinion or conclusion contained in or any omission from this ITPD/ISOS and for any other written or oral communication transmitted (or otherwise made available) to any Bidder. No representations or warranties are made for these statements, opinions or conclusions. This exclusion does not extend to any fraudulent misrepresentation made by or on behalf of RPCT. No person has been authorised by RPCT to give any information or make any representation not contained in this ITPD/ISOS and if given or made any such information or representation (express or implied) shall not be relied upon as having so been authorised. Bidders and their advisors must therefore take their own steps to verify the accuracy of any information that they consider relevant. They must not and are not entitled to rely on any statement or representation (express or implied) made by RPCT and their consultants or evaluators.

Neither the issue of this ITPD/ISOS nor any of the information presented in it should be regarded as a commitment or representation on the part of RPCT (or any other person) to enter into a contractual arrangement. This ITPD/ISOS should not be regarded as an investment recommendation made by RPCT or its appointed advisors.

4.5 Changes to the Procurement

The information contained in this ITPD/ISOS may be changed from time to time by RPCT without prior (or any) notice being given by RPCT. Although it is intended that the remainder of this Procurement will take place in accordance with this ITPD/ISOS, RPCT reserves the right to terminate, amend or vary the procurement process by notice in writing.

4.6 Accuracy of Response

Bidders will be deemed to have examined all the documents enclosed with this ITPD/ISOS and will be held to have fully informed themselves as to the nature and extent of the requirements detailed in the ITPD/ISOS. Bidders must check

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the accuracy of their Response submission prior to return, paying particular attention to clerical errors and omissions. Bidders will not be permitted to amend Responses after the Deadline. RPCT reserve the right to disqualify incomplete Responses.

4.7 Confidentiality and Freedom of Information

(a) Confidentiality

The ITPD/ISOS is intended for the exclusive use of the Bidder and is provided on the express understanding that the ITPD/ISOS and the information contained in it, or in connection with it, will be regarded and treated as strictly confidential. The ITPD/ISOS may not be reproduced in whole or in part nor furnished to any persons other than the Bidder save for the purposes of: taking legal, financial and/or other relevant professional advice in connection

with submitting an ITPD/ISOS; and/or obtaining information from Relevant Organisations where required expressly

required by the ITPD/ISOS or otherwise where necessary, and relevant to the Bidder’s ITPD/ISOS submission; and/or

obtaining the input from any other parties that the Bidder demonstrates will provide information relevant to their ITPD/ISOS submission, subject always to RPCT’s prior written consent to such disclosure (which it can withhold in its absolute discretion) and provided that in, each case, the Bidder obtains from such parties prior to such disclosure, confidentiality undertakings of at least equivalent strength to this Section.

Upon written request from RPCT, the Bidder shall promptly provide evidence to RPCT that such undertakings have been provided.

(b) Freedom of Information

RPCT is committed to open government and meeting its legal responsibilities under the Freedom of Information Act 2000 (FOIA). Accordingly, any information created by or submitted to RPCT (including, but not limited to, the information contained in the ITPD/ISOS and any future documents, and the submissions, bids and clarification answers received from Bidders) may need to be disclosed by RPCT in response to a request for information under FOIA.

In submitting a Response or corresponding with RPCT at any stage of the Procurement, each Relevant Organisation acknowledges and accepts that RPCT may be obliged under the FOIA to disclose any information provided to it: without consulting the Relevant Organisation concerned; or following consultation with the Relevant Organisation concerned and having

taken its views into account.

Bidders and each Relevant Organisation must clearly identify any information supplied in response to the ITPD/ISOS that they consider to be confidential or commercially sensitive and attach a brief statement of the reasons why such information should be so treated and for what period.

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Where it is considered that disclosing information in response to a FOIA request could cause a risk to the procurement process or prejudice the commercial interests of any Relevant Organisation, RPCT may wish to withhold such information under the relevant FOIA exemption.

Where a Bidder identifies information as commercially sensitive, RPCT will endeavour to maintain confidentiality. Bidders should note, however, that, even where information is identified as commercially sensitive, RPCT might be required to disclose such information in accordance with the FOIA. Accordingly, RPCT cannot guarantee that any information marked ‘commercially sensitive’ will not be disclosed. However, the Bidder should be aware that RPCT is responsible for determining at its absolute discretion whether the information requested falls within an exemption to disclosure, or whether it must be disclosed.

The Bidder should therefore note that the receipt by RPCT of any information marked “confidential” or equivalent does not mean that RPCT accepts any duty of confidence by virtue of that marking, and that RPCT has the final decision regarding the disclosure of any such information in response to a request for information.

Bidders should note that RPCT is obliged to publish on its website the Framework Agreement which may be entered into pursuant to this Procurement and Bidders are required to accept this as part of submitting their Response.

4.8 Eligibility requirements and changes affecting a Bidder

Bidders must inform RPCT in writing of any change in control, composition, membership or eligibility of that Bidder or its consortium members and of any other material change to the Bidder's response to the PQQ or ITPD/ISOS. RPCT reserves the right to disqualify any Bidder from any further participation in the procurement process in these circumstances.Bidders are reminded of the eligibility requirements applying to the procurement process at all times. In particular, these include the provisions set out in Regulation 23 of the Regulations.

4.9 Bidder conduct and conflicts of interest

Any attempt by Bidders or their advisors to influence the Procurement in any way may result in the Bidder being disqualified. Specifically, Bidders shall not directly or indirectly, at any time:(a) devise or amend the content of any Response in accordance with any

agreement or arrangement with any other person, other than in good faith with a person who is a proposed partner, sub-contractor, supplier, consortium member or provider of finance; or

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(b) enter into any agreement or arrangement with any other person on the form or content of any other Response, or offer to pay any sum of money or valuable consideration to any person to effect changes to the form or content of any other Response; or

(c) enter into any agreement or arrangement with any other person that has the effect of prohibiting or excluding that person from submitting a Response; or

(d) canvass RPCT or any employees or agents of RPCT concerning this Procurement; or

(e) attempt to obtain information from any of the employees or agents of RPCT or their advisors concerning another Bidder or Response.

Bidders are responsible for ensuring no conflicts of interest exist between the Bidder and their advisors, and RPCT and its advisors. Any Bidder who fails to comply with this requirement may be disqualified from the Procurement at the discretion of RPCT.

Non-collusion and Canvassing

Each Bidder must neither disclose to, nor discuss with any other Bidder (whether directly or indirectly), any aspect of any response to any Procurement documents (including the ITPD/ISOS and any future documents). RPCT reserves the right to disqualify any Bidder from any further participation in the procurement process in these circumstances.

Each Bidder must not canvass or solicit or offer any gift or consideration whatsoever as an inducement or reward to any officer or employee of, or person acting as an adviser to, either the NHS in connection with the selection of Bidders or the Provider in relation to the Procurement.

4.10 Authority's rights

RPCT reserves the right to:(a) waive the requirements of this ITPD/ISOS;

(b) disqualify any Bidder that does not submit a compliant Response in accordance with the instructions in this ITPD/ISOS;

(c) withdraw this ITPD/ISOS at any time, or to re-invite Responses on the same or any alternative basis;

(d) choose not to award any contract as a result of the current procurement process; and

(e) make whatever changes it sees fit to the timetable, structure or content of the procurement process, depending on approvals processes or for any other reason.

4.11 Cost

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Each Bidder and its advisers are fully responsible for all costs incurred by them arising out of or in connection with this document, their Responses to this ITPD/ISOS and all future stages of the Procurement. Neither RPCT, the evaluators (in so far as they are not employees of RPCT) nor any advisers, will be responsible for any costs, howsoever arising (including, without limitation, any loss of profit, financial, wasted or economic loss), incurred by any Relevant Organisation or its advisers or any other person in relation to the Procurement including, but not limited to, any cancellation or variation to the Procurement exercised by RPCT in its absolute discretion

4.12 Law

This ITPD/ISOS and any disputes concerning to it (including non-contractual disputes or claims) shall be governed by English law and shall be subject to the exclusive jurisdiction of the English courts.

5. TIMETABLE AND THE PROCUREMENT PROCESS

5.1 Structure

This Procurement will follow a clear, structured and transparent process to ensure a fair and level playing field is maintained at all times and all Bidders are treated equally. See Annex 2 for an overview of the process. The Outline Solution will not be evaluated but will form the basis for discussions with the Bidder during the dialogue phase.

5.2 Key dates

The key dates for this Procurement are currently anticipated to be as set out in the table in Annex 3. Bidders will be advised of their specific meeting arrangements via email by the 14th of November.

5.3 Submission of Responses

Responses to the ITPD/ISOS must be submitted by 11am on Thursday 1st December 2011 (the Deadline). RPCT may in its own absolute discretion decide to extend the Deadline. Any extension to the Deadline will apply to all Bidders.

The following requirements, as detailed below in paragraphs (a), (b) and (C), must be adhered to when submitting Responses:

(a) Delivery:

The Response must be delivered before the Deadline to the correct address as follows:ONELAzmi Peerun, Commissioning SupportOpen Source Platform and Reporting Modules for Public Services Procurement

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Becketts House, 2–14 Ilford Hill, Ilford, Essex, IG1 2QX

Responses delivered to the wrong address will be treated as bids not delivered by the Deadline. (b) Content:The Response must include a full set of documents as follows:(1) covering letter;

As part of its Response, each Bidder must include in its covering letter:i. written confirmation of no adverse change since the PQQ stage in its

financial standing and any other information provided in the expression of interest;

ii. a clear statement of its commitment to meet RPCT's requirements;

iii. a clear statement of its agreement to the pricing, payment and performance model which it is proposing for this Procurement; and

iv. a clear statement of whether it is a consortium or a group of companies with one service provider, in accordance with the guidance in 5.5 on consortia and subcontractors.

(2) risks statement; The Bidder must explain the key risks associated with delivery of the Solution (including performance failures).

(3) contents list;(4) Outline Solution (see section 7); and (5) pricing schedule (see schedule 1).

(c) Format and packaging

Bidders should submit four (4) hard copies of the completed documentation in a plain envelope and an electronic copy of all documents on a CD or data stick/flash drive.

The four (4) hard copies should be submitted with the following reference included in the bottom left corner ‘Restricted – Commercial’ and returned to RPCT. One of the hard copies must be bound and indexed, contain original signatures and be marked as Original. The further three (3) copies must be marked as copies.

RPCT does not accept responsibility for the premature opening or mishandling of envelopes that are not submitted in accordance with these instructions.

Pages must be A4 in size or A3 folded in half (where necessary) and line spacing must be a minimum of 1.5. The submission must be in English and be explicit and comprehensive in responding to the Statement of Requirements (SoR) outlined in this ITPD/ISOS. Where documents are embedded within other documents, separate electronic copies of the embedded documents shall also be provided separately and clearly marked.

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The electronic (CD or data stick) Response should be in the following formats:

File Type Software PackageText based documents Microsoft Word (Version 2000 or later)

Spreadsheet based documents Microsoft Excel (Version 2000 or later)

Project programme files

Microsoft Project (Version 2000 or later)

Graphics files PowerPoint (Version 2000) or later

Report and accounts Adobe Acrobat (pdf)/MS Word (Version 2000 or later)

Where there is a failure to provide the required information, make a satisfactory response to any question, or supply documentation referred to in Responses, within the specified timescale, RPCT reserves the right not to invite a Bidder to participate further. In the event that none of the Responses are deemed satisfactory, RPCT reserves the right to terminate the Procurement and where appropriate re-advertise the Procurement.

5.4 Receipt of Responses

All Responses received by the Deadline will be checked for compliance with the submission requirements set out in section 5.3. During this period, clarification on any aspect of the Response may be sought.

5.5 Consortia and Subcontractors

For expressions of interest, Responses and Final Tenders, RPCT has drawn a distinction between prime and subcontracting arrangements and consortium arrangements. RPCT recognises these terms are often used interchangeably by some Bidders and wishes Bidders to apply the following common terminology to company groupings in the future.(a) Where groups of companies come together specifically for the purpose of

bidding for appointment as the Provider and envisage they will establish a special purpose vehicle as the prime contracting party with RPCT, RPCT will characterise these arrangements as consortium arrangements.

(b) Where groups of companies come together specifically for the purpose of bidding for appointment as the Provider, but envisage that one of their number will be the Provider, the remaining members of that group will be subcontractors to the service provider.

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(c) Where a single company intends to provide the entire services with no partners or subcontractors, RPCT will characterise these arrangements as sole provider.

RPCT requires all Bidders (if they have not done so already) to identify which of these three arrangements above apply in the case of their Response and precisely which entity they propose to be the Provider. RPCT also recognises that Bidders may wish to extend or modify their groupings of subcontractors or consortium members to meet the existing and future requirements of RPCT. To ensure all Bidders are treated in a transparent and non-discriminatory manner, RPCT would like to give the guidance set out below. Bidders should note that the principles set out below are provided only for guidance and do not constitute a definitive or exhaustive view of the approach RPCT will take in any individual circumstances. Bidders should notify RPCT of any proposed changes to the identity of consortia or subcontractors.The guidance is as follows:(a) where an organisation has identified itself as a Bidder, the withdrawal of

that organisation in favour of another member of that organisation's group of subcontractors or otherwise may be treated as the withdrawal of the Bidder itself and may result in the disqualification of the Bidder (and so its subcontractors);

(b) where an organisation has identified itself as a Bidder, it is at liberty, until the submission of its Response, to revise the identity of its subcontractor grouping, provided this does not cause RPCT to reconsider the basis on which the Bidder qualified and was selected;

(c) where two or more Bidders wish to consolidate their bids into one bid, specific guidance from RPCT should be sought;

(d) where a group of organisations has identified itself as a consortium, the grouping may change (by addition or removal of consortium members), provided this does not change the fundamental character of the consortium or cause RPCT to reconsider the basis on which that consortium qualified and was selected;

(e) generally, RPCT will be more concerned with the loss of subcontractors or consortium members than with the addition of subcontractors or consortia members;

(f) once this ITPD/ISOS has been issued and the Final Tender received, Bidders will be at liberty to continue to finalise their consortium or subcontracting arrangements until the Contract award, unless changes to the constitution of those consortia or subcontracting arrangements would cause RPCT to reconsider the basis on which the Bidder was allowed to continue in the procurement process; and

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(g) once a Framework Agreement has been awarded to a Bidder, RPCT would not expect any changes in this group of subcontractors or members of a consortium to occur without its consent and the Framework Agreement will be drafted accordingly.

If changes subsequently occur to the statements set out in the covering letter, the applicable Bidder must promptly notify RPCT of them. RPCT reserves the right to disqualify any Bidder failing to duly notify RPCT.

5.6 The Dialogue Phase

Following the submission of the Responses and any clarification requests by RPCT, RPCT will have a period of dialogue with each of the Bidders. Bidders need to ensure they have appropriate legal, technical and financial support available during this phase of the Procurement and maintain continuity of these personnel throughout the process. All Bidders will be given the opportunity for equal contact time with RPCT. A dialogue plan and Rules of Engagement is provided to in Annex 1 of this document. During the dialogue phase, RPCT will seek to identify the Solution which it considers will meet the requirements of the Beneficiaries. The process will include a demonstration of the Solution and a dialogue meeting.

5.7 The Final Tender

Details of the procedure RPCT will adopt in conducting the Final Tender process will be set out in the Invitation to Submit a Final Tender (ITSFT) document.

5.8 Award of Framework Agreement

The award of the Framework Agreement is subject to the formal approval process of RPCT. Until all necessary approvals are obtained and the standstill period completed, no Framework Agreement will be entered into. Once RPCT has reached a decision concerning the Framework Agreement award, it will notify all Bidders of that decision and provide for a standstill period.

5.9 Duplication

A Response may not refer to any information contained in the PQQ submitted by the Bidder, save to notify RPCT of any change in circumstances which impacts on answers previously given in the PQQ.

6. CONTRACTUAL REQUIREMENTS

6.1 Draft Contract

Details of the draft Framework Agreement and call-off contract RPCT proposes to use are set out in Schedule 3. These will be subject to discussion in the dialogue with Bidders.

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6.2 Transfer of Staff

In the competitive dialogue discussions the transfer of staff, via TUPE, from the Beneficiary organisation and/or the current supplier to the Bidder will be covered.

It is anticipated that there will be no TUPE of staff from the existing provider as it is our current belief that the organisation have no identifiable employees whose main activity is the provision of the system. However, Bidders should carry out their own due diligence and the detailed position in relation to TUPE will be confirmed in the course of the dialogue. Bidders should assume for the purpose of their Response that TUPE does not apply to employees of any existing provider.

7. INFORMATION AND INSTRUCTIONS FOR PREPARING THE OUTLINE SOLUTION

As part of the Response, Bidders are required to submit an Outline Solution. The Outline Solution should demonstrate the Bidder’s ability to meet each set of requirements as follows:(a) Platform requirements;

(b) health management requirements;

(c) financial management requirements;

(d) reporting and general system requirements; and

(e) information governance requirements

(f) basis of development of future functionality

(g) proposed Solution architecture

(together “Statement of Requirements”).

Statement of Requirements

(a) Platform requirements

Bidders are asked to demonstrate how they will provide a Platform which assists in ensuring patients receive the best possible care from a coordinated health care system. The Platform will link data from multiple sources and will include the following features:

(1) an open architecture Platform, allowing the Beneficiaries to create reports;

(2) reformatting of GP data to a common format;

(3) a common extraction tool (that extracts all of a patient’s history) for use on the following GP Clinical systems; EMIS-LV, EMIS-PCS local server, EMIS-PCS hosted server, EMIS-Web, Vision local server,

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Vision hosted server (BT and InPS), TPP SystmOne, iSoft Premier, iSoft Synergy, MicroTest Practice Manager;

(4) the Platform must be scalable;

(5) database design and load at initial launch must include primary (practice management systems) and secondary care (SUS) data, independent sector diagnostic and treatment services, GP prescribing data, data on direct access services provided by acute hospitals outside of PbR, data on critical care bed days and data from extended choice providers (outside of PbR datasets);

(6) the Platform must be capable of accepting other forms of data such as community and social services data;

(7) the Platform must be capable of being hosted by the Beneficiary or by the Provider. If hosted by the Provider or Beneficiary, the performance must be acceptable when running on dedicated servers for a population of 1 million people (see Annex 4 for server specifications). Acceptable performance will be demonstrated by the Provider ensuring the Solution generates reports on demand within 30 seconds. Reports must reflect the most recent data and it would be unacceptable for any report to be more than 48 hours behind the most recent data submission. Hosting arrangements will be agreed through competitive dialogue discussions and will be addressed in the Framework Agreement. Where the Provider hosts the Platform, the transfer of staff via TUPE, from the Beneficiary organisation to the Bidder may apply;

(8) data collection from GP practices must not require Beneficiary staff to visit practices to perform data extracts;

(9) GP Data Collection should be performed at least weekly;

(10) the transform and load element of the Platform must monitor data quality and must highlight via a series of reports and data, errors or discrepancies; and

(11) ability to fulfil the information governance requirements as set out in section (e) below.

(b) Health Management Requirements Bidders are asked to demonstrate how they will provide a health module to assist commissioners and clinicians in developing cost-effective services and case management plans that improve outcomes. To do this, the Bidder will have to demonstrate the capability to provide a Solution that performs the following functions:

(1) stratify patients by their risk of admission / attendance in secondary care;

(2) support case management of identified patients by monitoring provision of care and its adequacy;

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(3) identify unknown patients at risk of developing conditions and opportunities for improving patient care;

(4) identification of patients in need of screening services including immunisation, cervical screening, diabetic retinothopy;

(5) create programmes to address specific needs of local populations.

(6) must enable the proactive management of high risk patients, in particular those with long term conditions requiring proactive and systematic clinical management intervention;

(7) the Solution must enable the interrogation of data at a number of different levels; patient, GP practice, CCG and borough; and

(8) the ability to group cohorts of patients for reporting or care provision purposes.

(c) Financial Management RequirementsBidders are asked to demonstrate how they will deliver a financial reporting module that meets the audit requirements of the Beneficiaries and enables the transfer of financial management responsibility from Beneficiaries to CCGs. The Financial management reports must enable clear reporting to the borough, CCGs and practices about their financial position in relation to current expenditure against budget along with activity variances. Financial reports must include as a minimum:

(1) budget setting, establishing and managing CCG budgets;

(2) ledger position reporting aligned to CCG financial reports;

(3) a screen, or screens, showing the previous month’s and previous financial year’s budget versus actual for cost and activity;

(4) screens showing how unallocated costs are dealt with;

(5) graphical representations of expenditure by area;

(6) budget templates;

(7) ability to view actual activity against planned or contracted activity;

(8) ability to move from aggregated datasets to patient level detail;

(9) acute hospital invoice validation via automated routines;

(10) a function to enable clinical checking of invoices by a patient’s GP

(11) the automated checking and clinical checking modules should interface seamlessly;

(12) the combined functionality should include a feedback loop to track these claims and record the conclusion of negotiations with providers.

(13) screens detailing challenge data;

(14) the Provider must ensure the code for generating the automated checks can be reviewed by the Beneficiaries; and

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(15) the Beneficiary must be able to update the code for generating automated checks as they see fit, without the need to contact the Provider.

(d) Reporting and General System Requirements

Bidders are asked to demonstrate how they will provide accurate and timely information to support and strengthen commissioning at CCG and Beneficiary levels, including:

(1) support the retrospective review of activity;

(2) identification of errors in recording of activity or inappropriate activity;

(3) statutory reporting and trend analysis;

(4) running and comparing the impact of different risk models;

(5) reports on the quality of source GP data;

(6) ability to filter patients by risk (as calculated using the King’s Fund Combined Predictive Risk model) so that the report only shows data for patients having the selected risk score range;

(7) identification of the most costly patients per year or other time period (in a practice, CCG and borough) based on historical inpatient, outpatient and A&E data;

(8) identification of patients with long term conditions being managed in primary care settings who are also turning up in secondary care for acute episodes;

(9) identification of patients who attend A&E at a time when their registered surgery is open;

(10) identification of local health needs, through interrogation of past acute activity data;

(11) access to the system should be via N3, and exclusively over HTTPS. There is no HTTP or internet access;

(12) the Solution must support IE6, IE7, IE8 and IE9 plus standard browsers including Firefox. All reports must be designed to work effectively on typical practice PCs;

(13) access to patient identifiable data must only be provided to those who have the right to see it. The system should incorporate a layered security model to support this;

(14) all data from all reports (charts, tables etc) must be exportable with a single click to spreadsheet;

(15) it must be possible to drill down through all charts to patient lists and patient records;

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(16) for a single selected patient, the system should display all patient interactions with the NHS on a single report page. This page should provide a summary in addition to the detailed history. Additional views may be required to allow clinicians to review all primary and secondary care clinical details;

(17) Bidder must demonstrate how maintenance and refresh of datasets and databases occurs;

(18) Bidder must outline how identity management and access control are applied; and

(19) Bidder must outline how software upgrades and planned maintenance will be carried out.

(e) Information Governance Requirements

The security of patients’ personal information is of critical importance to RPCT. The Framework Agreement will contain provisions obliging the Provider to exercise the highest standards of care and integrity to maintain the security of information. In particular, the Provider must comply with the list below in relation to the recording, processing, storing and sharing of personal information, including Personal Data (as defined in the Data Protection Act 1998) and all Patient Information. Common law duty of confidence; Data Protection Act 1998; Access to Health Records Act 1990; Freedom of Information Act 2000; Health and Social Care Act 2001 and IBS 0160 / 0129 Patient Safety Risk Management SystemThe Provider must not cause or allow Personal Data to be stored outside of the UK without the prior consent of RPCT or any Beneficiary to whom it is providing services under the Framework Agreement as relevant.

The Provider must continue to meet prevailing national standards and follow appropriate NHS good practice guidelines for information governance and security, including, but not limited to: NHS Confidentiality Code of Practice

Registration under ISO/IEC 16799-2005 and ISO 27001-2005 or other appropriate information security standards

Local and National policies on security and confidentiality of patient information as issued by the Department of Health, Information Commissioner’s Office and any other relevant bodies.

Clinical and information governance in line with the NHS Information Governance Toolkit

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(f) Basis of Development of Future Functionality

The Bidder will need to set out the principles for development of any additional functionality. These principles should establish: the costs, if any, for developing additional functionality expressed as a day rate; where ownership of the intellectual property including all copyright will reside; how timelines for developing and deploying new functionality will be established and any revenue share agreements that may be applicable where the Beneficiary has contributed to that functionality.

(g) Proposed Solution Architecture

RPCT will be discussing the Solution architecture during competitive dialogue in order to agree the core requirements. To enable these discussions RPCT requests that Bidders submit details of their proposed Solution architecture including how the Solution, or Solutions, may be hosted by the Beneficiaries or the Provider.

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SCHEDULE 1 PRICING SCHEDULE

This pricing schedule is intended to be indicative and is not binding for the Bidder at this stage. Pricing should be based on the Bidder’s realistic expectation of the actual charges applicable to delivering a Solution meeting the SoR specified in this ITPD/ISOS. The Bidder’s pricing schedule must include all assumptions on which the pricing schedule has been completed including, but not limited to, the total population and users the Bidder anticipates supplying services for under the relevant call-off.

Bidders must clearly indicate whether VAT is applicable to their tender, stating any reason where VAT shall not be payable. Costs must clearly be stated both inclusive and exclusive of VAT.

All pricing used to derive expenditure figures shall be based on the Bidder’s current charges and will include an appropriate profit margin.

Solution Price (£) based on a contract length of:

1 Year 3 Years 5 Years Set-up and deployment

What financing structure do you propose? e.g. one-off payment, annual license fee, price per user. Please provide details of your proposed financing structure and the price for the proposed Solution including any ongoing support and maintenance costs.

What training payment structure do you propose? e.g. one-off payment or annual fee. Please provide details of your proposed training payment structure

Day rates for developing additional functionality

Bidders should detail any anticipated charges in respect of delivering the required Solution that are not captured by the table above.

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SCHEDULE 2 EVALUATION CRITERIA FOR FINAL TENDER STAGE

Any Framework Agreement entered into as a result of this Procurement will be awarded on the basis of the offer most economically advantageous to RPCT.

The Response will not be evaluated but will form the basis of discussions during the dialogue phase.

At the Final Tender stage, RPCT intends to apply the Evaluation Criteria, an overview of which is set out below. The Evaluation Criteria should be used as a guide and changes may occur following the dialogue phase. Changes to the details of how an evaluation may operate will be advised to Bidders.

Evaluation Criteria

Following a review of each Final Tender, specialist evaluators will score each part of the Final Tender against the SoR. Some parts of the Final Tender may be scored by multiple evaluators.

The Final Tender will be scored using the methods detailed in table 1 and table 2 below.

Table 1: Graded Scoring Method for questionsScore Definition

10 response addresses all aspects of the question with a comprehensive level of detail. The level and quality of detail means that RPCT has no reservations in relation to the response.

5 response addresses all aspects of the question with a comprehensive level of detail being provided for most aspects. However, the level of detail/omissions relating to one or more aspects of the response means that RPCT has some minor reservations.

2 response does not address all aspects of the question with a comprehensive level of detail. The level of detail/omissions relating to one or more aspects of the response means that RPCT has some major reservations.

0 response does not address all aspects of the question. The level of detail/omissions relating to one or more aspects of the response means that RPCT has a significant number of major reservations.

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Table 2: Satisfactory / Unsatisfactory Scoring Method for questionsScore Definition

10 ‘Satisfactory’ response meets the requirements stated in the ITSFT.

0 ‘Unsatisfactory’ response does not meet the requirements stated in the ITSFT.

Where the Evaluation Criteria indicates that a question will be graded, the comprehensiveness of the response will be assessed and a score assigned on a scale between 0 and 10 as defined in table 1 above.

Where the Evaluation Criteria indicates that a response will be scored as satisfactory or unsatisfactory, (10 or 0), then the evaluator will assign full marks for a satisfactory and 0 marks for an unsatisfactory response.

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Proposed Evaluation Framework

Question No

Detail Weighting(%)

Outcome (Please tick one option)

Comments

A.1 Provider can demonstrate the ability of their proposed Solution to extract and filter primary care data from each of the following systems using a common extraction tool: EMIS-LV, EMIS-PCS local server, EMIS-PCS hosted server, EMIS-Web, Vision local server, Vision hosted server (BT and InPS), TPP SystmOne, iSoft Premier, iSoft Synergy and MicroTest Practice Manager.

25 0 Unsatisfactory

10 Satisfactory

A.2 The proposed Solution meets the Platform requirements outlined within the ITSFT.

20 0

2

5

10

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A.3 The proposed Solution meets the Health Management Requirements outlined within the ITSFT.

10 0

2

5

10

A.4 The proposed Solution meets the Financial Management Requirements outlined within the ITSFT.

10 0

2

5

10

A.5 The proposed Solution meets the Reporting and General System Requirements outlined within the ITSFT.

10 0

2

5

10

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A.6 Basis for development of future functionality/

5 0

2

5

10

A.7 Proposed Solution architecture. 5 0

2

5

10

A.8 Price and Payment mechanism. 15 Lowest price bidBidde r ' s price

×100

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SCHEDULE 3 DRAFT FRAMEWORK AGREEMENT AND CALL-OFF CONTRACT

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Annex 1 Dialogue Plan

A confirmed agenda will be sent out by email nearer the time to Bidders.

Dialogue Plan

Meeting Title: Competitive Dialogue Meeting 1 and Solution DemonstrationDate: TBCVenue: Becketts House, 2-14 Ilford Hill, Ilford IG1 2QX

Agenda:Item

1. Introductions 5 minutes

2. Solution Demonstration 40 minutes

3. Dialogue – Bidder questions 50 minutes

4. Dialogue – Panel questions 50 minutes

5. Closing 5 minutes

Rules of Engagement

The objective of the meetings will be to raise questions or seek clarification and develop the requirements. Bidders should use the meetings as an opportunity to discuss their outline responses with RPCT in respect of which RPCT will aim to give helpful and meaningful feedback on the acceptability of such proposals, which is intended to ensure that when Bidders submit their Final Tender, the content of such Tenders meets the SoR of RPCT and the Beneficiaries.

Bidder representation will be limited to 4 people plus the Authorised Representative.

RPCT anticipates that the following key personnel will be present at the Meetings:

ONEL Informatics Lead Associate Director of Programme Delivery Head of ICT GP Practice Manager Commissioning Support Business Development Manager Clinical Representative

Any agreed actions resulting from the meeting will be recorded by RPCT and circulated to attendees following each Meeting.

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Annex 2 Process Overview

ITPD/ISOS and Competitive Dialogue Phase

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ITSFT and Framework Agreement award Phase

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Annex 3 Key Dates

Procurement stage Description/Activity Date

Competitive Dialogue

Issue ITPD/ISOS documentation and Framework Agreement 07.11.11Deadline for bidder clarification questions by 4pm 17.11.11Deadline for responses to clarification questions by 4pm 21.11.11Competitive dialogue meeting (CDM) 1 and Solution Demonstrations1a - 0930-1200 @ Loxford Polyclinic1b - 1330-1600 @ Loxford Polyclinic 24.11.11CDM 1 and Demonstration evaluation consolidation meeting1600-1700 @ Loxford Polyclinic 24.11.11Deadline for ITPD/ISOS responses to be returned by 11am 01.12.11Distribute ITPD/ISOS responses to panel via email 01.12.11CDM 2 2a - 0900-1200@Loxford2b - 1300-1600@Loxford 06.12.11CDM 2 consolidation meeting1600-1700 @Loxford Polyclinic 06.12.11

ITSFT

Issue ITSFT to 2 final bidders 09.12.11Deadline for any clarification questions by 4pm 13.12.11Response to any supplier clarifications by 4pm 16.12.11Deadline for responses to ITSFT by 11am 21.12.11Evaluate ITSFT responses 21.12.11-11.01.12CDM 3 (Clarifications) 3a - 10th Jan 2012. 1000-1600@ Becketts 1st floor meeting room3b - 11th Jan 2012. 1000-1600@ Becketts 1st floor meeting room 10.1.12-11.1.12ITSFT response and clarifications consolidation meeting11th Jan 2012. 1600-1700@ Becketts 1st floor meeting room 11.1.12

Standstill period and Award

Issue Award notification letter and commence standstill period of 10 days 18.1.12Award of Contract 30.1.12

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Annex 4 Server Specifications

The base system specifications for the dedicated servers are as follows:

2 x Servers: Front-End and Back-End

The model of each Server is identical: Hardware Model: HP ProLiant DL380 G7Hardware Description: Intel64 Family 6 Model 44 Stepping 2 AT/AT COMPATIBLEProcessor: 2 x Intel Xeon /2.80GHz with 6 cores / 12 threadsMemory: 32GBPower: RPSStorage: 8 x 136GB 15K SAS Drive

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Annex 5 Glossary of Terms and Abbreviations

Term Description

Annexes Means the Annexes included in this ITPD/ ISOS document

Beneficiaries Beneficiaries under the Framework Agreement which is to be established following the Procurement as more particularly set out at paragraph 2.1 above.

Bidder

A single operating organisation/person or group of entities acting as a Consortium that has been short-listed through the PQQ evaluation process and been invited to participate in the dialogue stage of the Open Source Platform and Reporting Modules for Public Services Procurement.

Bidder Member

(a) where the Bidder is a single entity:(i) the entity itself; and(ii) the ultimate Parent of that entity; or

(b) where the Bidder is a Consortium (whether or not incorporated):

(i) each Consortium Member; and(ii) the ultimate Parent of each Consortium Member.

CCG Clinical Commissioning Group.

ConsortiumAny joint venture, partnership or other combination of entities formed or to be formed for the purposes of the Open Source Platform and Reporting Modules for Public Services Procurement and Consortia should be interpreted accordingly.

Consortium Member Each participant in any Consortium.

Deadline The time by which the response must be submitted, cited in this document as 14th November 2011 at 11am.

DH Department of Health.

EOI Formal Expression of Interest.

Evaluation Criteria means the evaluation criteria set out in Schedule 4

Final Tender means a response to the Invitation to Submit a Final Tender submitted by a Bidder

Framework Agreement

The legal agreement to be entered into between RPCT and the Provider subsequent to the completion of the Procurement.

Freedom of Information Act (FOIA)

The Freedom of Information Act 2000 and any subordinate legislation made under that Act from time to time, together with any guidance and / or codes of practice issued by the Information Commissioner, the Department of Constitutional Affairs, the Office of Government Commerce and the NHS in relation to such legislation or relevant codes of practice to which the DH and RPCT is subject.

ICT/IM&T Information Management and Technology.

ITPD/ISOS Invitation to Participate in Dialogue/Invitation to Submit Outline Solution, includes all Schedules and Annexes

ITSFTMeans the document to be issued by RPCT to some or all of the Bidders seeking final tenders.

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Term Description

MOIThe Memorandum of Information setting out the details of the requirements of the Open Source Platform and Reporting Modules for Public Services Procurement.

NHS National Health Service.

OJEU Notice means the notice published in the Official Journal of the European Union under reference 11/S 162-267964/EN

ONEL ClusterA group of primary care trusts in Outer North East London, consisting of Waltham Forest, Redbridge, Barking & Dagenham, and Havering Primary Care Trusts.

Outline Solution The outline solution to be provided by the Bidder as part of their Response

NPFiT National Programme for Information Technology.

Patient Information All personal patient data and information which would reasonably be considered confidential or sensitive.

Parent

Has the meaning given to the ultimate “holding company” of the relevant Bidder Member under Section 1159 of the Companies Act 2006 or such equivalent legislation as is in force in the Potential Bidder’s respective country of incorporation or jurisdiction1.

PCT Primary Care Trust

Potential Bidder

Either:(a) the single entity who intends to submit or has submitted an EOI in relation to the Procurement but that has not at the relevant time been invited to participate in dialogue relating to the Procurement; or (b) the group of entities who as a Consortium (whether or not incorporated) collectively intend to submit or have submitted an EOI in relation to the Procurement but that have not at the relevant time been invited to participate in dialogue relating to the Procurement.

Platform Means the data collection, transformation and storage elements of the Solution.

PQQ Pre-Qualification Questionnaire.

Procurement

The procurement by competitive dialogue process being undertaken by Redbridge Primary Care Trust to establish a Framework Agreement allowing the rapid procurement of an undefined informatics solution that will meet the needs of Clinical Commissioning Groups.

ProviderThe successful Bidder who has entered into a Contract with RPCT to provide the services which are the subject of the Procurement.

1

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Term Description

Relevant Organisation

An organisation(s) or person connected with a response to a PQQ and/or connected with a bid submission including (without limitation):(a) the Potential Bidder;(b) each Bidder Member;(c) the Bidder; and(d) the Provider.

Response The response to be provided by the Bidder to this ITPD/ISOS

Rules of Engagement Concerning the conduct of the dialogue phase of this Procurement

Schedules Means the Schedules to the ITPD/ ISOS document

SHA Strategic Health Authority.

Solution The solution to be delivered by the successful Bidder

Statement of Requirements (SoR)

The requirements of RPCT as set out in this ITPD/ISOS or any ITSFT

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