Solutions Products Company News and events Support APPENDIX G - SERVICE DELIVERY STANDARDS 1.0 INTRODUCTION 1.1 This document comprises standards of implementation and performance for Service Centres in the delivery of Program Services in accordance with the Service Centre Agreement to which this Appendix G is attached. 1.2 The contents of this document complement and enhance, but do not amend, the Service Centre Agreement. This document may be amended from time to time and will become effective 30 days following notification. 1.3 This document contains the minimum Service Delivery Standards appropriate to the Alcohol Interlock Program universally applied throughout all Jurisdictions in the Territory. The additional requirements specific to any Jurisdiction are contained within Section 5.0 of this Appendix. 1.4 Defined terms used in this document are given in Section 6.0 of this Appendix. 1.5 Unless explicitly provided otherwise, Service Centre must comply with these Service Delivery Standards at their own cost. 2.0 GENERAL 2.1 Facilities The facilities of Service Centre shall be in accordance with the objectives of the Service Centre Agreement to provide Program Services for Clients within the Territory. All Client services shall be provided on the main (ground) level of the facility. The facilities shall be maintained in a good state of repair as well as in a clean and tidy condition consistent with a high standard of service to Clients. Each Service Centre shall have a private office(s) in which to conduct Client services, including enrolment, training, monitoring and counselling activities. The private office shall not offer or advertise any other products or services other than those of the Program; unless, under agreed upon circumstances, the private office is that of the Service Centre Manager and is used also to conduct business related to the Service Centre. Each Service Centre shall have a locked storage cabinet(s) for secure storage of the Product, Accessory Equipment, Consumable Supplies and Parts (especially manuals, security seals and diagnostic tools) which is inaccessible to staff who are not authorized to conduct Program Services. Each Service Centre shall provide all necessary shop tools and materials necessary to provide the delivery of Program Services, save and accept for the Products, Accessory Equipment, Parts and Consumable Supplies obtained from ALCOLOCK. Each Service Centre shall have a secure area for the installation, monitoring, inspection, calibration, servicing and removal of Alcohol Interlocks which is inaccessible to Clients. Service Centre shall have a locked file storage cabinet(s) for secure containment of Client Records which is inaccessible to staff who are not authorized to conduct Program Services. Service Centre shall have prominently placed signage to identify the office or service facility offering Program Services. Such signage shall be of the type and style approved by or supplied by ALCOLOCK for the purpose, and shall be in accordance with the restrictions of the building owner or property manager and municipal authority governing same. Service Centre shall give prompt notice to ALCOLOCK of any incident or receipt of any legal documents related to the activities of Service Centre or ALCOLOCK which could potentially result in a claim to either party pertaining to the Program or the Product. 2.2 Communications and Office Equipment Service Centre shall be fitted with office equipment, communications technology and any other equipment including Accessory Equipment sufficient to carry out the obligations of the Service Centre Agreement, and shall: Have telephone lines with voice mail and facsimile services; Have high speed internet access with wired connection and email with minimum specifications as follows: Minimum 2 MBps Download Minimum 500 KBps Upload Service Centre shall have personnel with the knowledge and ability to use the email program; Access email on a daily basis; Have a copier, scanner, printer and facsimile, alone or in combination as follows: HP Office Jet 6310 Printer/Fax/Scanner/Copier or equivalent: HP Scanjet 4890 Scanner (48 bit colour, 4800 dpi) or equivalent Have computer(s) for use in the delivery of Program Services with minimum specifications as follows: Pentium Class Processor 1 Gigabyte RAM Free Disk Space Windows 2000/XP minimum 1 Gigabyte of RAM Memory Full install size of the application Software once installed on the PC: 12 MB Internet Explorer 6.0 and above Adobe 6.0 or higher J2SE Runtime Environment 5.0 Update 16 (installed during registration of Application Software) Anti-Virus Software COM Port 40 Gigabyte Hard Drive or equivalent 48X CD-ROM 10/100 Mbps Integrated Network Have peripheral equipment necessary to support the computer and office equipment: APC Back-UPS 350 Backup Power Supply or equivalent Computer Monitor Mouse and Keyboard Power cables and adapters Have suitable training equipment including: DVD Player and Monitor, 2.3 Digital Camera Service Centre shall: Be equipped with a digital camera to take photographic evidence of each suspected or actual tampering episode of the Alcohol Interlock or the installation. Forward the same evidence electronically to ALCOLOCK as necessary and upon request. 2.4 General Business Operations Service Centre operations, locations, and service hours shall comply with the Administering Authority and ALCOLOCK Program requirements. Service Centre shall have and maintain adequate personnel to efficiently service Clients. Any changes in business and service hours shall be communicated in advance to the Program Coordinator. Any operational interruptions shall be communicated to the Program Coordinator. All Service Centre personnel shall be properly trained in Program Services and in accordance with approved ALCOLOCK policies, procedures and standards. Service Centre shall notify Program Coordinator in advance of any absences or vacations of personnel to minimize disruption of Program Services. Service Centre shall have properly trained back-up personnel to cover vacations and or extended absences of primary Program Service personnel. Service Centre shall provide services in the official language(s) specified by the Administering Authority for the Program. 2.5 Audits ALCOLOCK and Administering Authority may conduct random and unannounced audits of Service Centre facilities and provision of Program Services. An audit form shall be completed for each audit conducted and retained by ALCOLOCK and made available to Service Centre accordingly. Any request(s) for improvement and/or corrective action(s) shall be identified and a follow-up compliance date shall be provided. At the follow-up date, a visit shall be initiated to confirm compliance and that all requests for improvement and/or corrective action(s) have been completed. Cases of non-compliance are addressed following the established escalation process for Service Centre: ALCOLOCK shall issue a 1st notice which shall include a reference to the first compliance date (c), request(s) for improvement and/or corrective actions that still need to be addressed, and a new compliance date; ALCOLOCK issues a 2nd notice which shall include a reference to the second compliance date, request(s) for improvement and/or corrective actions that still need to be addressed, and a new compliance date; Formal 3rd notice from ALCOLOCK which shall include the notification of breach of contract and specific legal action(s) to be taken. 2.6 Employee Criminal checks All Service Centre personnel who install, calibrate, perform tamper inspections or perform reporting duties shall not have been convicted of a crime substantially related to the qualifications, functions, and duties related to the alcohol interlock program. All Service Centre personnel shall: Sign the ALCOLOCK Confidentiality and Non-Disclosure Agreement as required and as may be amended from time to time; Submit a completed Police records check issued by the local Police Department which indicates a clean criminal record prior to hiring; Service Centre shall inform the Program Coordinator immediately whenever a current employee, involved in the delivery of Program Services, is charged and subsequently convicted of a drinking and driving offence, or any other criminal offence. When any criminal offence is discovered, the affected employee shall be immediately removed from the delivery of Program Services. 2.7 Employee Training All new employees of Service Centre shall be given training in the delivery of Program Services in accordance with ALCOLOCK guidelines before commencing work in the Program. ALCOLOCK reserves the right to supervise any training provided to any employee that is involved in the delivery of Program Services, and will provide, in its sole discretion and method, training on any improvements or new equipment to the personnel involved in the delivery of Program Services. 2.8 Technical & Service Delivery Policies and Procedures The Service Centre shall: Read and comply with all ALCOLOCK administrative and technical policies and procedures. Maintain a paper copy of all ALCOLOCK administrative and technical policies, including Service Delivery Standards at each facility. Maintain regular updates, as provided. Obtain authorization from ALCOLOCK for any deviation from these documented policies and/or procedures. Take the necessary time and resources to address and rectify any matters that may endanger the safe operation of a Client vehicle and or compromise the Program requirements or integrity to the satisfaction of ALCOLOCK. Document all non-compliance matters on the Application Software. Ensure that the vehicle installation and removal checklists are completed and that Client has signed the forms as acknowledgement. Retain original in the Client file. Report immediately to ALCOLOCK Program Manager any vehicle damage and potential claims from Clients together with a vehicle occurrence report (VOR) and any further documents. Complete and submit as required all appropriate forms to the satisfaction of ALCOLOCK. 2.9 Product, Accessory Equipment, Parts and Consumable Supplies Service Centre shall: Use Product and Accessory Equipment supplied by ALCOLOCK only for the authorized delivery of Alcohol Interlock Program Services. Under no circumstances allow any Product to be provided to persons other than Clients; Under no circumstances allow any Product to be used for purposes other than Client Program Services; Under no circumstances allow any Product or Accessory Equipment to be used with software programs other than the Application Software; Store all Product within ALCOLOCK specified environmental requirements in a secure, locked and private area that is not accessible to Clients; Follow all recommended ALCOLOCK maintenance procedures; Use only forms, documentation, notifications, and paperwork approved by ALCOLOCK and the Administrative Authority; Maintain adequate inventory levels of Product, Accessory Equipment, Parts and Consumable Supplies; Record, track and notify Clients who have not returned and/or damaged the Product; and, Record and maintain all return forms including shipping waybill numbers of returns made to ALCOLOCK or to other Service Centres. 2.10 Product or Accessory Equipment returned to ALCOLOCK Service Centre shall comply with all applicable ALCOLOCK shipping and return requirements and policies. All Product and Accessory Equipment return shipments to ALCOLOCK shall: Have each item individually, sufficiently and adequately wrapped; Include a complete packing slip identifying each item being returned with corresponding serial number and reason for return; Be shipped by courier with tracking number and proof of delivery; and, Be returned to ALCOLOCK service facility in the Territory within seven days of removal from a Client vehicle for testing and refurbishment as required. Repair and/or replacement cost of Product or Accessory Equipment resulting from inappropriate packaging or negligence shall be invoiced to Service Centre from which the shipment originated. 2.11 Relationship with Clients Service Centre will provide to ALCOLOCK its policies to ensure ethical and professional business relationships with Clients in order to guarantee service equity and program integrity. Service Centre shall: Provide ALCOLOCK with a copy of the policy and any updates or changes; Communicate its policies to all current and future employees; Take appropriate and documented action to address any policy breaches and prevent the behaviour or situation from reoccurring; and, Report these instances on a case by case basis to ALCOLOCK. 2.12 Communication with Administering Authority Communication with the Administering Authority shall be restricted to ALCOLOCK personnel. Service Centre personnel who wish to communicate with the Administering Authority shall obtain written consent from the Program Coordinator. 3.0 ADMINISTRATION 3.1 ITE Client Database Service Centre shall regularly ensure that the identity of all former or current Clients, as well as all Program data and related information pertaining to the Client is accurate and current. 3.2 Confidentiality Service Centre shall: Hold the identity of all former or current Clients, as well as all Program data and related information pertaining to the Client in the strictest confidence; Inform and train all current and future employees on the confidentiality requirements; Comply with all current freedom of information and protection of privacy legislation; Shred on site any and all program and Client documents that are not required to be retained; Transfer any and all documents in a sealed package and send by courier through a system that provides a tracking number. In the case of a single transaction, a scanned copy of the signed documents sent by email will be acceptable, but the originals must be sent in the next document shipment via ALCOLOCK procedural method; Record and maintain all document transfers, including shipping date and tracking number, as well as insuring a proof of delivery is obtained; and, Ensure all file transfer forms are completed accurately and accompany any document transfers to ALCOLOCK. 4.0 CLIENT INTERACTION 4.1 Client File & Program Forms The Service Centre shall open a file on each new Client, enter enrolment data, and maintain the file with accurate, complete and up-to-date data for every transaction involving the client, using ALCOLOCK supplied systems and forms. All procedural steps and other requirements set out in the Client Compliance Manual shall be observed at all times. 4.2 Client File Documentation The Service Centre shall Advise Clients who need to have vehicle serviced or repaired to provide the original or readable copies of supporting documentation (e.g. work orders, invoices etc.) at their next service appointment. Ensure all such documentation is correctly dated and marked with the Client name, driver license number and program number. Place and maintain in the Client file any supporting documentation or copies of documentation received from the Client. Record in the internal notes in ITE for the Client any information or matters of concern or observances during transactions. Retain paper files only to the extent allowed or required by ALCOLOCK or the Administering Authority. 4.3 Charges to the Client The Service Centre shall: Complete Client transactions through the ITE Application Software for all Program services. Permit only fees and charges as outlined on the Client Fee Schedule. 4.4 Surcharges The Service Provider shall: Permit only surcharges specified in Client Fee Schedule and approved by Service Provider. Permit the use of surcharges only in exceptional circumstances and pursuant to the Vehicle Installation Surcharge fee schedule. Notify Clients of the surcharge prior to application. Provide Clients with a written acknowledgement and quote of all surcharges applied. 4.5 Payment in advance Payment in advance is required for all Program services. The form of payment to be accepted shall be at the discretion of ALCOLOCK and shall be remitted directly to ALCOLOCK. If payment is accepted in any form other than as directed by ALCOLOCK, Service Centre shall be responsible for the loss if any. 4.6 Client complaints Client wanting to file a complaint form at the Service Centre shall be directed in the first instance to the Service Centre manager. Any concerns or complaints that the Service Centre manager is unable to resolve directly, either because a resolution cannot be achieved or because it involves the exercise of discretion beyond the Service Centre authority shall be referred promptly to the Program Coordinator. Clients shall be advised to contact the Program Coordinator for unresolved complaints. All complaints shall be resolved to the satisfaction of ALCOLOCK. 4.7 Information, Inquiries and Assistance Program Brochure & Client Training Video ALCOLOCK shall be responsible for the development and production of all Program brochures and training videos. ALCOLOCK shall provide such brochures and training videos to Service Centres. Service Centre shall use and maintain the brochures and training video in accordance with ALCOLOCK policies and procedures. Inquiries and Requests for information Service Centre shall: Respond to information or requests from Clients promptly and in a courteous, helpful manner. Direct Clients with questions regarding eligibility to the proper Administering Authority. Refer requests for information or inquiries relating to the Program which Service Centre cannot answer to the Program Coordinator. Respond to service inquiries within twenty four (24) hours of the initial contact from a Client; and within forty eight (48) hours of initial contact, rectify the problem which may include repair or replacement of the device. 4.8 Enrolment The Service Centre shall: Collect from the client, review and copy all necessary information and documentation pertinent to the Program in the Territory. Enrol the client in the ITE Application Software. Collect from the Client advance payment(s) for services to be rendered. File, submit and or distribute certificates and documents as required by ALCOLOCK and/or jurisdictional notifications Maintain the Client files as required by ALCOLOCK and jurisdictional specifications. 4.9 Installation and Training Prior to installation The Service Centre shall: Complete any outstanding or missing enrolment requirements. Conduct a vehicle inspection to determine that the mechanical and electrical parts of the vehicle that support the installation of an Alcohol Interlock are in acceptable condition. Provide an orientation, training and ALCOLOCK instruction manuals to Clients or other persons who may drive the vehicle(s) on the proper use of the Alcohol Interlock; jurisdictional requirements; how to clean and care for the system; what to do if the device malfunctions or is in need of repair; and any and all items on the training checklist. The training shall: Be conducted by trained, qualified and knowledgeable Service Centre personnel Be conducted in a separate area away from the general customer waiting area Be conducted individually for each client Include an instructional video provided by ALCOLOCK for Client training Continue training until Client(s) have a satisfactory level of proficiency with the use of the Alcohol Interlock prior to allowing the Client(s) to leave the premises upon completion of the installation Be acknowledged by Client on the training checklist. Check the vehicle insurance and registration for accuracy and notify Client if expired or about to expire or do not match enrolment information. If the vehicle is registered to another person other than the Client obtain a signed written permission form; and check to ensure the name of the permission form matches the vehicle registration. Notify the Program Coordinator of any case where a Client cannot meet all the installation requirements and notate the Client electronic and paper file of such matter. Provide to the Client and any other operator of the vehicle the ALCOLOCK contact telephone and facsimile numbers, and the after hours telephone number for any emergencies resulting from the operation or use of the device. Execute the Service Agreement as follows: Prior to the Client signing the Service Agreement, review with the Client the agreement for accuracy and completeness in regard to all essential provisions. Provide Client an opportunity to read the Service Agreement, ask questions, seek advice from their own advisors and or draw their own conclusions before signing the document. Do not provide the Client with advice concerning the Service Agreement or its interpretation. Do not change the standards or provisions of the Service Agreement in any way. Ensure Clients sign and or initial all the required areas on the Service Agreement. Retain one (1) copy of a Client Service Agreement per program number. Refer questions pertaining to matters beyond their knowledge or authority to the Program Coordinator. Installation The Service Centre shall: Perform and conduct all installations in a professional manner and in full compliance with all security measures, procedural steps, technical specifications, and instructions described in the ALCOLOCK installation manual or provided by ALCOLOCK technical support services. Perform installations with only trained and approved installers. Perform all work in the designated area of the Service Centre where Clients are not permitted to enter. Install Alcohol Interlock units with the STANDBY feature only on commercial vehicles. 4.10 Ongoing Services All scheduled or unscheduled service, including calibration checks, as may be applicable, must be carried out in full compliance with all security measures, procedural steps, technical specifications and instructions set out in the service manual. The Service Centre shall: Conduct a physical inspection of all Alcohol Interlock components, wiring and connections for evidence of tampering. Document, provide photographic evidence, and report all cases of tampering, suspected tampering or flagrant abuse of program conditions to ALCOLOCK within 24 hours of discovery. Download the event log data, and review the Summary/Highlights Reports with the Client each time the vehicle is serviced. Notate the Client file of any explanation of questionable events the Client may offer or supporting documentation he/she may provide. Schedule the next service date according to jurisdictional requirements or the number of days paid in advance by the Client, to a maximum of 180 days. Affix the ALCOLOCK service reminder cling sticker to the inner left location of the windshield of the client vehicle in accordance with local motor vehicle safety regulations. Restrict access to Client events log data to trained and/or designated personnel. 4.11 Removal At the time of the removal appointment, all Clients shall be asked to complete an “exit” survey on the form supplied via the ITE Application Software. Completed forms are to be forwarded to the Program Coordinator. 5.0 ADDITIONAL REQUIREMENTS Specific requirements for any Jurisdiction within the Territory which differ from the Program Services or Service Delivery Standards that are otherwise uniformly provided within the Territory shall be noted herein. 6.0 GLOSSARY OF TERMS “Accessory Equipment” means items of a specialized nature which are needed for training of Clients, installation, calibration or servicing of the Products including, without limitation demonstration test units, computer interface units, and calibration stations; “Administering Authority” means the court, driver licensing, or other governmental department that is responsible for administration of the Alcohol Interlock Program within the Territory. “Alcohol Interlock” means a breath alcohol testing instrument that is interconnected with the power, control and starting circuits of the vehicle, the purpose of which is to prevent a driver from starting the vehicle engine if his breath alcohol concentration is above a preset limit. Descriptive terms such as “ignition interlock device” and “breath alcohol analyzed ignition interlock device” (BAIID) are included within this definition. “ALCOLOCK” means the service mark of ACS in relation to the alcohol interlock program services that are provided by ACS and its affiliates. “Application Software” means proprietary computer software known as InterTrack Enterprise™ (ITE) and its suite of applications developed by ACS and provided as a service over the internet for use by Service Providers, Service Centres, and others authorized by ACS for the delivery of Program Services, and includes any upgrades thereto. “Client” means an individual mandated or permitted by courts or driver licensing authorities to install an Alcohol Interlock in a vehicle as a condition of probation or license reinstatement, and who is participating in a Program with ALCOLOCK; “Client Record” means personal or Program-related information about a Client in any form or in any medium, whether in written, printed, photographic or electronic form or any other form; “Client Compliance Manual” means any proprietary materials, in either printed or electronic form, developed by ALCOLOCK for use by Clients; “Commencement Date” means the date first named above; “Confidential Information” has the meaning ascribed to it in the Confidentiality and Non-Disclosure Agreement; “Consumable Supplies” includes supplies such as mouthpieces and calibration solution. “Jurisdiction” means any administrative, geographic or political subdivision of the Territory within which Program Services or Service Delivery Standards that are otherwise uniformly provided in the Territory may be altered; “Parts” means proprietary materials used for the installation, servicing and removal of the Products; “Person” includes, without limitation, a partnership, corporation, trust and an individual; “Price Schedule” means the ALCOLOCK price list for Accessory Equipment, Parts and Consumable Supplies as may be amended from time to time; “Product” means the Alcohol Interlock(s) which includes a sample head or handset (HS) and a relay module, control module or interface module (RM) together with a cable assembly for connection to the vehicle, antennae and peripheral items such as alarm horns, light bar assemblies and biometric modules. For clarity, Products do not include commercial versions used for purposes other than compliance Programs; “Program” means a structured activity in which Client is enrolled during a period of license restriction or probation, during which the Product is installed in the Client vehicle, and for which there are requirements for monitoring of the activity, periodic servicing of the Product, and completion of compliance reports to the Administering Authority for the Program; “Program Coordinator” means the person at ALCOLOCK that is designated to respond to inquiries from Service Centres, to ensure compliance with Service Delivery Standards, and to report to Administering Authority within the Territory. “Program Fee” means amounts payable by Client to ALCOLOCK for the services listed in the Client Fee Schedule of the Service Agreement. A service invoice is generated by the Application Software at the time of the service transaction(s) which Client is required to pay before the work is undertaken. Service Centre must ensure that all amounts invoiced to Client are paid to ALCOLOCK; “Program Services” means the services provided for the Program which includes installation, periodic servicing, calibration verification and removal of the Product, together with training and monitoring of Client, retrieval of stored event log data and reporting to Administering Authority; “Purchase Order” means a firm and unconditional written commitment by Service Centre to purchase or acquire the items referred to therein. Purchase Orders will be in a form satisfactory to ALCOLOCK and may not modify the terms of this Agreement; “Service Agreement” means a written agreement between a Client and ALCOLOCK (or an affiliate of ALCOLOCK) for the delivery of Program Services and the payment of Program Fees together with their respective responsibilities as it may exist from time to time; “Service Centre” means a party authorized by ALCOLOCK to provide selected Program Services for Clients in a fixed facility and through mobile services which includes training of Clients; and installation, monitoring, calibration and removal of the Product; “Service Delivery Standards” means policies, procedures, directives and guidelines established, amended and updated by ALCOLOCK from time to time, the current version of which is attached hereto; “Service Facility” means the physical location of the Service Centre where Clients attend to obtain Program Services; “Technical Support Materials” means proprietary materials, in either printed or electronic form, developed by ALCOLOCK for use by Service Centres and others authorized by ALCOLOCK for the delivery of Program Services, including installation and servicing of Product, training of staff and Clients, management of data collected, and reporting to Administering Authority; “Term” means the indefinite period specified in this Agreement between ALCOLOCK and Service Centre; “Territory” is the territory referred to in the Service Provider and Service Centre Agreements; and “Work” shall mean the Program Services and procedures to be conducted by the Service Centre. 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