PITO
IDENT1 CONTRACT
Northrop Grumman
Released under FOI in full on 13th December 2005
SCHEDULE J
ACCESS AND INSPECTION OF RECORDS
Schedule J (Access & Inspection of Records)
Signature Version
Released under FOI in full on 13th December 2005
PITO
IDENT1 CONTRACT
Northrop Grumman
Released under FOI in full on 13th December 2005
CONTENTS
1.
KEEPING OF RELEVANT RECORDS ...............................................................................1
2.
INSPECTION OF RELEVANT RECORDS.........................................................................1
3.
RIGHTS OF ACCESS .............................................................................................................2
4.
SUSPECTED FRAUD OR IMPROPRIETY.........................................................................2
5.
NATIONAL AUDIT ACT REQUIREMENTS .....................................................................2
6.
REVIEW AND RESULTS OF INSPECTION ......................................................................3
7.
ESCALATION .........................................................................................................................3
Schedule J (Access & Inspection of Records)
i
Signature Version
Released under FOI in full on 13th December 2005
PITO
IDENT1 CONTRACT
Northrop Grumman
Released under FOI in full on 13th December 2005
SCHEDULE J
ACCESS AND INSPECTION OF RECORDS
1.
KEEPING OF RELEVANT RECORDS
1.1
The Contractor shall keep (in an orderly and assessable manner) full and accurate Relevant
Records relating to its performance of the Services (including but not limited to records
relating to its compliance or otherwise with the Service Levels). This obligation shall subsist
throughout the term of this Contract and, in any event, for a period of seven (7) years after the
date of creation of each Relevant Record. The Contractor shall require all Material Sub-
contractors to comply with the obligations under this Schedule.
1.2
In this Contract, the term "Relevant Records" means information, data, service performance
records, records directly relating to the Contractor's provision of the Services, supporting
documents and materials held, controlled and/or available for access by the Contractor
relating to the supply of the Services by the Contractor and the use of materials and sites in
connection therewith. Relevant Records also includes:
1.2.1 the Contractor’s “Service Records”, meaning: (a) documents reasonably necessary to
evidence the Contractor's entitlement to be paid any authorised expenditure outside
the scope of the Service Charges which is required by this Contract to be reimbursed
to the Contractor by the Authority; (b) information, data and service performance
records relating to the provision and level of performance of the Services by the
Contractor and the achievement (or otherwise) of Service Levels, and the
Contractor’s billing records; and (c) any other documents and information necessary
to substantiate the Contractor’s invoices and which is of a type which is sufficient to
demonstrate the correct basis of calculation of the Service Charges based upon
Schedule E (Pricing); and
1.2.2 information sufficient to identify the allocation of the Service Charges to the various
component elements (to the extent such elements are identified in Schedule E
(Pricing)) comprising or necessary to delivery the Services.
2.
INSPECTION OF RELEVANT RECORDS
2.1
Subject to the provisions of Clauses 2.3, 3.1 and 3.2 below, the Contractor grants to the
Authority, any statutory or regulatory auditors of the Authority and their respective authorised
agents, the right of reasonable access, on reasonable written notice setting out the purpose for
the access and citing in detail its reasons pursuant to Clauses 3.1 and 3.2, to (and, if necessary,
to copy) the Relevant Records during normal business hours solely for the purposes set out in
this Schedule.
2.2
The Contractor shall provide all reasonable assistance (including temporary on-site
accommodation, photocopying facilities and telecommunications) to the Authority, at all
times during the Term of this Contract, and after the Termination Date of this Contract, for
the purposes of enabling the Authority to fulfil the purposes of this Schedule.
2.3
The Authority shall liaise in writing with the relevant department of the Contractor in relation
to requests for access hereunder. In the event that the Authority decides to appoint an
investigating agency to act on its behalf, the Authority shall notify the Contractor and take
account of any comments from the Contractor concerning the identity of such agency. The
Authority and such agency shall use reasonable endeavours to agree with the Contractor
procedures under which that agency will act before commencing its role on behalf of the
Authority.
Schedule J (Access & Inspection of Records)
1
Signature Version
Released under FOI in full on 13th December 2005
PITO
IDENT1 CONTRACT
Northrop Grumman
Released under FOI in full on 13th December 2005
2.4
Save for the financial records and/or costs for New Services and/or any additional work
agreed by the Parties, the rights of access and inspection under this Schedule shall not apply
to any financial records and/or costs, including but not limited to those referred to in Clause
1.2.1(c) above, relating to the fixed price elements of the Service Charges (to the extent such
fixed prices are identified in Schedule E (Pricing)).
3.
RIGHTS OF ACCESS
3.1
The Authority shall be entitled to inspect the Relevant Records and obtain from the
Contractor such other information as is reasonably necessary to fulfil the Authority’s
obligations to supply information for parliamentary, governmental, judicial or other
administrative purposes.
3.2
The Authority shall be entitled, on reasonable notice to the Contractor, to inspect the Relevant
Records at any time as part of any review of the Contractor’s compliance with the terms of
this Contract, including all activities undertaken hereunder, the performance of the Services,
any issue relating to security in connection with the foregoing or any investigation of the
accuracy of the Contractor’s invoices for the Service Charges.
3.3
Unless otherwise agreed by the Parties, the Contractor, Subcontractors or other
representatives shall not be entitled to reimbursement by the Authority and/or the National
Audit Office for any costs or expenses incurred as a result of compliance with the
Contractor’s obligations hereunder.
4.
SUSPECTED FRAUD OR IMPROPRIETY
In the event of an investigation into suspected fraudulent activity or other impropriety by the
Contractor or any third party, the Authority (and any statutory or regulatory auditors of the
Authority or any other department, agency or body of the Crown, and their respective
authorised agents) shall have the right of immediate access to the Relevant Records and the
Contractor agrees to render all necessary assistance to the conduct of such investigation at all
times during the term of this Contract and at any time thereafter.
5.
NATIONAL AUDIT ACT REQUIREMENTS
5.1
For the purpose of:
5.1.1 examination and certification of the Authority’s accounts; or
5.1.2 any examination (pursuant to Section 6(1) of the National Audit Act 1983) of the
economy, efficiency and effectiveness with which the Authority has used its
resources;
the Comptroller and Auditor General and/or his representatives (“C&AG”) may, on
reasonable written notice stating the purpose, examine such documents as he may reasonably
require, related to the Services provided by the Contractor, which are owned, held or
otherwise within the control of the Contractor and may require the Contractor to provide such
oral and/or written explanations as he considers reasonably necessary. The Contractor shall
provide access (and shall procure that any person acting on the Contractor’s behalf who has
such documents shall also provide such access) to such documents for C&AG for such
purposes. For the avoidance of doubt, it is hereby declared that the carrying out of an
examination under Section 6(3)(d) of the National Audit Act 1983 (or any re-enactment
thereof) in relation to the Contractor is not a function exercisable under this Clause 5.1.
Schedule J (Access & Inspection of Records)
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Signature Version
Released under FOI in full on 13th December 2005
PITO
IDENT1 CONTRACT
Northrop Grumman
Released under FOI in full on 13th December 2005
5.2
It is acknowledged that the rights, powers and duties of the National Audit Office in relation
to the Authority may, in relation to this Contract, overlap with the rights, powers and duties of
the Audit Commission and/or the Accounts Commission for Scotland in relation to the
Customers under the Service Contracts. In order to mitigate the burden on the Contractor, the
Authority shall use its reasonable endeavours to put in place a single set of requirements for
the level and kind of access to the Contractor required by the National Audit Office, the Audit
Commission and/or the Accounts Commission for Scotland.
6.
REVIEW AND RESULTS OF INSPECTION
The Authority may, where it is reasonable to do so, give to the Contractor the opportunity to
review the results of any inspection carried out by the Authority pursuant to this Schedule. In
addition to such review, the Authority may, at its sole discretion, request comments from the
Contractor in relation to those results of inspection. The Contractor shall provide such
comments within thirty working days (or as otherwise agreed between the Parties).
7.
ESCALATION
In the event that an issue arising out of an audit conducted pursuant to this Schedule cannot be
resolved at an operational level, the resolution of that issue will be escalated in accordance
with Schedule P (Dispute Resolution Procedure).
Schedule J (Access & Inspection of Records)
3
Signature Version
Released under FOI in full on 13th December 2005
