Yale University Information Technology Services Administrative Systems. Software Service Level Agreement NERCOMP 2004 Annual Conference

Transcription

1 Yale University Information Technology Services Administrative Systems Software Service Level Agreement NERCOMP 2004 Annual Conference

2 Software Service Level Agreement Finance, Human Resources and Procurement, and Data Warehouse Table of Contents Executive Summary...3 Functional Process Owners...3 Objectives...3 Term...3 Metrics Reporting and Service Level Reviews...4 ITS-AS Service Areas and Service Level Commitment...4 Standard Hours of Application Availability...7 Maintenance Window...7 Escalation...7 Approvals...7 Schedule A Support Response Goals...8 Schedule B - Specific Projects Anticipated...9 Schedule C Metrics General...10 Schedule C.1 Metrics Finance...11 Schedule C.2 Metrics - Procurement...13 Schedule C.3 Metrics Human Resources and Payroll...14 Schedule C.4 Metrics Data Warehouse...15 Schedule D - Applications Included...17 Schedule E - Applications Excluded...19 Schedule F - Project Management Working Agreements...20 Schedule G - Other ITS Resources Available...21 Page 2 of 21

3 Executive Summary This software service level agreement (SLA) is part of the annual financial cycle of budgeting, service level agreement, recording actual data and reporting metrics. Budget SLA Time Reporting It is between ITS Administrative Systems (ITS-AS) and the business process owners of Finance, Human Resources and Metrics Procurement, and Data Warehouse (F&HR and DW). It summarizes the commitment of ITS-AS to provide all of the services required for reliable applications with acceptable performance that meet Finance, Human Resources and Procurement, and Data Warehouse requirements and support effective business processes. At the current staffing level ITS-AS and the functional process owners of Finance, Human Resources and Procurement, and Data Warehouse applications believe the risk of not being able to provide all required services is low. Functional Process Owners Finance Director, Financial Systems & Services Human Resources Director, Benefits & Human Resources Information Systems Procurement Executive Director, Procurement Data Warehouse Director, Office of Information Management Director, Integrated Administrative Systems Technical Process Owner Director, Administrative Systems Objectives Describe the breadth of ITS-AS software support and development service components Commit to a ITS-AS service level for each service component Establish initial metrics in the areas of: Software Reliability, Availability, Performance, Support Response Project and budgets Project plan vs. actual, Budgets vs. Actual Overall Client SatisfactionMeasured by interviews and/or surveys Provide a framework for managing individual projects Term FY 2004 Page 3 of 21

4 Metrics Reporting and Service Level Reviews Metrics will be reported monthly to the Directors and business process owners in F&HR. ITS-AS service levels will be reviewed with the Directors of F&HR at the end of each fiscal quarter or at any time upon request to the Director of ITS-AS. ITS-AS Service Areas and Service Level Commitment ITS-AS provides the full range of project management, business analysis, applications development, application testing, application and database security, server and storage architecture, change management, vendor relationship management and client relationship management services to plan, design, develop, test, deploy and support the software applications that underpin the Financial, Human Resources and Procurement, and Data Warehouse business processes. Fundamentals Communications Standard Tools And Technology Version Control Controlled Application Environments. Change Management Individual Security And Privacy Help Desk Support Vendor Software Evaluations ITS-AS Service Areas and Service Level Commitment ITS-AS will promptly notify the F&HR senior managers and business process owners whenever there is an adverse impact on an application covered by this agreement. Initial notification for severe or widespread impact problems will be within 15 minutes Messages will target the specific users affected Role or activity based selection criteria Multiple channels will be employed for critical communications Windows messaging Web status pages Voice mail Telephone trees Alternate means when electronic systems are not available All applications will be developed and maintained with standard tools and technology unless the client agrees that emerging tools and technology are more appropriate for a specific project. All development and support files including programs, web objects, files creating database objects, test plans and functional and technical documentation will be stored in a version control repository. Appropriately controlled environments for development, pre-production testing, production, training and special purposes (for example, upgrades) will be provided for each application covered by this agreement. ITS-AS employs a managed process including functional and technical approval for moving application components from development to pre-production test and from pre-production test to production and training. ITS-AS employs development standards appropriate to the scale and scope of the project but at least sufficient to ensure compatibility with other systems and applications, and ease of long term maintenance including transitioning maintenance from one developer to another. ITS-AS will stay informed on issues related to individual security and privacy and will work with clients to develop and adhere to institutional guidelines for individual security and privacy The ITS Help Desk is available for all ITS-AS developed systems ITS-AS will evaluate ability of vendor software to meet business requirements, in collaboration with client software security special requirements for software installation Page 4 of 21

5 Vendor Relations Research And Development Plan Project Plan And Schedule Project Budgets Project Reporting Priority Setting and Release Schedule Bugs And Problems Tracking And Reporting Enhancement Request Tracking And Reporting Design and Develop Business Requirements Design Infrastructure Scalability Impact Analysis Coexistence With Desktop Apps Coexistence With Other Server Applications Risk Assessment ITS-AS Service Areas and Service Level Commitment vendor s financial viability long term application supportability and will partner with the client in a vendor recommendation or a make vs. buy recommendation as necessary per initiative. ITS-AS will develop and maintain vendor relationships with software vendors including evaluation of software offerings and negotiating initial and support renewal contract and license terms and conditions. ITS-AS will conduct periodic reviews (at least one per year) of vendor financial viability, service levels and alternatives. ITS-AS will evaluate emerging technologies, methodologies and best practices for development and infrastructure for opportunities to improve efficiencies and reduce costs. Project plans and schedules for projects will be appropriate to the scope and scale of the project but will include at least start date, release date(s), end date and resources. They will be provided on support initiatives on request. Project Budgets will be created in collaboration with the client for all development initiatives and will be provided on support initiatives on request. Project Budget detail will be appropriate to the scope, duration and complexity of the project. Project reports will be included in metrics reporting. Priorities and Release Schedules will be established by agreement between the development manager and the client with consideration for resources and client needs for projects (including enhancements) and support activities. All production and test bugs will be tracked with a bug tracking application and reported in formats agreed between the development manager and the client. All enhancement requests will be tracked with an enhancement tracking application and reported in formats agreed between the development manager and the client. Business requirements will be developed collaboratively between the client and the development manager. The client has primary responsibility to provide business requirements sufficient to design the application. Sufficient analysis will be performed to understand the business requirements and business process, business need, and the standard functionality and capability of vendor software (where applicable). The client has prime responsibility for ensuring the design meets business needs. The development manager has prime responsibility for ensuring the technical design of the solution, including application architecture and server and storage architecture, provides agreed upon functionality and meets agreed upon standards for reliability, redundancy, security, performance and availability. Infrastructure and infrastructure service level agreements will be provided per the client s requirements/budget. Shared infrastructure is preferred. Appropriate performance across the range of client anticipated usage for data entry, query, reporting and batch transaction processing for the application or system will be provided consistent with client s budget. The impact of the new application or functionality on users, application support, infrastructure, other systems/applications, maintenance, security, and backups will be determined and addressed Potential adverse impacts with other applications running on the user s desktop will be identified and addressed. Potential adverse impact with other applications on the same database, middle tier or web server will be identified and accounted for. Project risks, the impact of the risks on project success and the steps appropriate to minimize the Page 5 of 21

6 Documentation Authorized Access To The Application Authorized Access To Data Browser And Tools Compatibility Exception Handling Usability Features Test Development Testing Acceptance Testing Deploy Training Deployment Support Misc. Support Proactive Support Infrastructure Lifecycle Replacement Performance Improvement Vendor Application Point Release Implementations Maintaining Code Infrastructure Monitoring Backup Procedures ITS-AS Service Areas and Service Level Commitment risks, especially the risk of not achieving the budget or timeline, will be identified and mitigated. Documentation appropriate to the scope and scale of the project and sufficient for maintainability during the expected life cycle of the application will be developed Access to the application and database will be limited to authorized users per the client s and institutional requirements. Access to data within the application tables will be limited to authorized users per the client s and institutional requirements. Applications developed will perform as required by the client with the institutionally supported browsers and tools. ITS-AS developed applications will handle valid data and valid boundary conditions plus error conditions and other anticipated data and navigation exceptions. The applications will error check for all data and navigation errors per the client s business requirements. ITS-AS developed applications will incorporate usability features such as on-line edits, lists of values, context sensitive on-line help, graphical representations etc. that meet minimum client requirements defined for each project. Development unit and end-to-end tests include functionality, regression, integration, performance and load. The developer will typically perform these tests with the assistance of the client. Acceptance unit and end-to-end tests also include functionality, regression, integration, performance and load. The client will typically perform these tests with the assistance of the developer. ITS-AS will assist with user training and with developing user training materials as required by client. The technical infrastructure requirements servers, disk space, memory, network, subnets etc. will be determined and acquired with the assistance of the appropriate ITS departments. Deploying the application functionality to central and community users is typically the responsibility of the client. ITS-AS will provide all developer activities to support the reliable availability of production applications including all developer activities performed after software has migrated to the production environment, final user acceptance testing is complete and the client has accepted application. Support is provided 24x365 days per year except when the data center is closed for Christmas, Easter and Thanksgiving. ITS-AS will establish processes for early problem detection and work to mitigate them before they have a significant adverse affect on client and community users. ITS-AS will collaborate with clients to upgrade or replace infrastructure per the lifecycle replacement plan, to reduce costs or meet application requirements. ITS-AS will monitor application performance and will collaborate with F&HR to fix performance problems ITS-AS will implement all mandatory patches or upgrades and their prerequisites received from all vendors and one major Oracle applications maintenance pack. Non-mandatory Oracle minipacks and family packs will not be implemented. Upgrades from other vendors will be implemented per client requirements but typically no more than every other year. ITS-AS will rewrite problem or inefficient code (refactoring) where appropriate. Critical hardware and software infrastructure will be monitored. Problems will be fixed proactively including security patches. Backup procedures for both development and production files and databases will be developed, documented and communicated to the data center by ITS-AS and other ITS departments. Page 6 of 21

7 Standard Hours of Application Availability Finance, Human Resources and Procurement Applications Sunday 10 am through Saturday 9 pm Data Warehouse Community Users Monday through Saturday, 7 am - 9 pm; Sunday 10 am - 9 pm Data Warehouse Batch Processing Sunday through Friday, 9 pm - 7 am OFA Monday through Saturday, 8:30 am - 9 pm; Sunday 10 am - 9 pm Maintenance Window The maintenance window for Finance, Human Resources and Procurement applications and Data Warehouse is Saturday evening at 9:00 pm to Sunday morning at 10:00 am Escalation In order of escalation Technical Team Leader Senior Information Technology Manager for the Data Warehouse or the Associate Director of ITS Administration Systems Manager of Change Management Director of ITS Administration Systems ITS Chief Information Officer Approvals Initials Date Name Director, Financial Systems & Services Director, Benefits & Human Resources Information Systems Executive Director, Procurement Director, Office of Information Management Director, Integrated Administrative Systems Director, Administrative Systems Page 7 of 21

8 Schedule A Support Response Goals Urgency Level Show Stopper High Normal Low Information Request Support Response Goals - Production Description Server or major application outage or bug causing the client not to be able to perform critical business processes. Significant business or user impact. Significant application outage or bug impacting productivity or client not able to perform semi-critical business process. Major business process or user impact. Application outage or bug that is a significant concern to the client. Does not significantly interfere with the business process. Application bug that is a minor concern to the client. Does not significantly interfere with the business process. Request for documentation or informational requests. Issues that do not have a business process impact. Initial Response Time (Normal Business Hours) (1) Within 15 minutes Within 1 hour Within 1 business day Within 3 business days Within 4 hours Initial Response Time (Off-shift) Within 1 hour Beginning of next business day Within 1 business day Within 3 business days Noon of next business day Resolution Goal Less than four hours or by required deadline Less than two business days or by required deadline As negotiated between client and development manager As negotiated between client and development manager As negotiated between client and development manager Page 8 of 21

9 Schedule B - Specific Projects Anticipated Project Support SBT/AR Grant Billing Capital Management System Replacement Payroll Performance Improvements (archive and purge) HIPAA Compliance Upgrade Job Postings Resumix Upgrade Payroll Tax Reporting Benefit Statements MEI Replacement Move Parking and other systems off the mainframe Complete TMS compliance related work Complete DWH P-Card Project Complete FY03 FMT/SRC Project Complete Subcontractors Report Project Deploy isourcing Fully Deploy DWH Portal and Sunset WSR Business Process Owner All Finance Finance HR-Payroll HR-Payroll HR-Payroll HR-Payroll HR-Payroll HR-Payroll Finance HR-Payroll Finance Data Warehouse Data Warehouse Procurement Procurement Data Warehouse Page 9 of 21

10 Schedule C Metrics General Type Description Metric Type and Frequency of Reporting Client Satisfaction Overall 7 or above on a scale of 10 Client satisfaction as measured by annual survey for support and post project survey for development. System Availability 99.5 % Monthly text report detailing each outage including (applications and data cause. Metric calculation: Outage hours / Hours warehouse) scheduled to be available. Overall Client Satisfaction Availability Availability Reliability Application Module Availability Yale developed module bugs occurrences (support) Page 10 of % Monthly text report detailing each outage including cause. Metric calculation: Outage hours / Hours scheduled to be available. Baseline by agreement with client. Reduced number of bugs per period over time by agreement with client. Reliability Help Desk Calls No more than 100 combined application and DW calls during a semi-monthly reporting period Support Response Projects, Budgets and Related Areas Projects, Budgets and Related Areas Projects, Budgets and Related Areas Projects, Budgets and Related Areas Projects, Budgets and Related Areas Achieving Yale developed module bugs resolution goal Budget variances Effort Allocation between support and development 90% of tickets resolved within resolution goal by severity. Annual, capital, support and project budgets Actual vs goal Monthly graph of problems per day Graph of help desk calls updated simi-monthly Monthly text report detailing each bug, it s priority and resolution time. Monthly budget to actual reports Actual vs budgeted time spent on Yale application support Vendor application support Development Projects completed Actual projects completed Actual time for projects completed Achievement of fiscal year goals Employee Development Actual vs goal Actual versus projected training hours survey data Achievement projected quarterly, actual reported after end of fiscal year. Quarterly actual to goals report Annual Survey

11 Schedule C.1 Metrics Finance Type Description Metric Type and Frequency of Reporting Application Response Time Open Query Save Measure clock time at predetermined periods during the (90% of tests less than Form Data month (the day after the monthly close for example). baseline) Precise and other monitoring tools data that can be correlated to the user experience. Labor Schedule Form 20 secs 20 secs 10 secs User surveys. Labor Distribution 20 secs 20 secs 10 secs Adjustment Form Journal (JSA) Entry Form 20 secs 20 secs 10 secs Time Entry Form 5 secs 10 secs 5 secs LD Authorization Form 20 secs 20 secs 10 secs Journal (JSA) 20 secs 20 secs 10 secs Performance Authorization Form End User Apps Reports All end users reports < 2 minutes Unless they are pending waiting for the concurrent manager to free up Measure clock time at predetermined periods during the month (the day after the monthly close for example). Precise and other monitoring tools data that can be correlated to the user experience. User surveys. Performance Performance Key Business Process End-to- End Time Completion Goals. Process Labor Distribution Weekly Biweekly Semimonthly Monthly Pension Baseline elapsed time established by process owners. <2.5 hours <3.0 hours <2 hours <4 hours <2 hours Monthly report of actual vs. standard for each listed process. Quarterly with actuals provided by process owners Page 11 of 21

12 Schedule C.1 Metrics Finance Type Description Metric Type and Frequency of Reporting JSA (GL Journals) Daily < 3 hours Quarterly with actuals provided by process owners Processing RIF (Cash Receipts) Daily < 6 hours Quarterly with actuals provided by process owners Processing) Performance Performance Page 12 of 21

13 Schedule C.2 Metrics - Procurement Type Description Metric Type and Frequency of Reporting Application Response Time Open Query Save Measure clock time at predetermined periods during the (90% of tests less than Form Data month (the day after the monthly close for example). baseline) Precise and other monitoring tools data that can be correlated to the user experience. Requisition Form 20 secs 20 secs 10 secs User surveys. Purchase Order 20 secs 20 secs 10 secs Web Invoice Payment 20 secs 20 secs 10 secs Performance End User Apps Reports All end users reports < 2 minutes Unless they are pending waiting for the concurrent manager to free up Measure clock time at predetermined periods during the month (the day after the monthly close for example). Precise and other monitoring tools data that can be correlated to the user experience. User surveys. Performance Key Business Process End-to- Baseline elapsed time established by Monthly report of actual vs. standard for each listed End Time Completion Goals. process owners. process. Performance Invoice Import < 2.5 hours Quarterly with actuals provided by process owners Page 13 of 21

14 Schedule C.3 Metrics Human Resources and Payroll Type Description Metric Type and Frequency of Reporting Key Business Process End-to- Baseline elapsed time established by Monthly report of actual vs. standard for each listed End Time Completion Goals. process owners. process. Payrolls (end-to-end business Monthly with actuals provided by process owners process times) Weekly < 7 hours Biweekly < 7.0 hours Semimonthly < 3.0 hours Monthly < 9.0 hours Pension < 2.5 hours Performance Performance Performance Resumix (HR Applicant System) < 20 seconds for the typical query < 3 minutes for typical large query Monthly with actuals provided by process owners Page 14 of 21

15 Schedule C.4 Metrics Data Warehouse Type Description Metric Type and Frequency of Reporting Reliability DW On-Call Responses No on-call response results in DW up late or up with previous day s data Semi-monthly detail of on-call responses and effect on up-time. Performance DW queries > 9 minutes No more than 100 queries per semimonthly period Graph of queries > 9 minutes updated Semi-monthly Page 15 of 21

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17 Schedule D - Applications Included Finance, Human Resources & Procurement Applications GA Booking Pledges GA Capital Management System II GA COEUS GA Cris Indirect Costing System (IDC) GA Endowment Information GA Endowment Pooled Units System (EUS) GA Envision Risk GA Grants & Contracts Receivable System (SBT) GA KSS GA Moveable Equipment Inventory (MEI) GA Oracle Apps - AR GA Oracle Apps - FA GA Oracle Apps - FASB GA Oracle Apps - GL GA Oracle Apps - GM GA Oracle Apps - JSA GA Oracle Apps - LD GA Princeton Asset Management (PAM) GA RIF - Receipts Identification Form GA Treasury Workstation GA YAS - Yale Authorization System HR HR, Tax Reporting Applications HR Kronos HR Oracle Apps - HR HR Oracle Apps - Payroll HR Payroll Repository/Workbench HR PTO Reports HR Quantum Tax Tables HR Resumix HR Time Entry HR Windstar - International Taxes PR/HR Formscape PR AccuShip PR Custom Commitments PR E-Travel PR Oracle Apps - AP PR Oracle Apps - isupplier PR Oracle Apps - PO PR P-Card/SWAP PR WebMethods PR Web Invoice Payment (WIP) PR Workflow Page 17 of 21

18 Schedule D - Applications Included Finance, Human Resources & Procurement Applications Data Warehouse Data Warehouse Batch DW ad-hoc Brio Queries DW Financial Review Tool DW Portal Oracle Express Analyzer Oracle Financial Analyzer Web Statements and Reporting (through October 31, 2003) Page 18 of 21

19 Schedule E - Applications Excluded Brio User Group Query Library Note: Coverage for excluded applications can be negotiated separately at any time during the year. Page 19 of 21

20 Schedule F - Project Management Working Agreements Each project will have a separate project management working agreement at a level of detail that the client agrees is sufficient to the scale and scope of the project. These are often referred to as Project Charters. The objectives of this working agreement are to: Foster an understanding of the project goals, objectives and schedule Define the project scope Set expectations for both ITS-AS and F&HR for tasks, responsibilities, due dates and the formality of project planning and monitoring. Component Business Purpose Scope, Assumptions and Features Timeline and significant milestones Project Budget and Approved Funding Project Roles and Responsibilities Level of Detail in the Project Plan and Project Monitoring Impact Analysis Description Describe the business problem to be solved, the benefits of the project and the metrics to quantify the realization the benefits. Define what is included in the project, what is excluded from the project and what is required for the project to be complete. Include assumptions that form the foundation for the scope and the requirements for key features and functionality. Define the time line and significant milestone dates Start, Solution Design, Training, End-to-End Testing, Pre-production Testing, Deployment, and Production go-live dates. Note any dates that are inflexible and why. Include items such as equipment, software, consulting services, hardware/software maintenance, training, and travel. The project budget plus the margin of error must not exceed the approved funding Determine the project roles and responsibilities and the project staff at a minimum for the Project Sponsor, Project Manager, Functional Lead, Technical Lead, Test Lead and developers. Include the percentage of time allocated to the project by each person assigned. Designate the level of detail required in the project plan and in project budget to actual dollars and hours monitoring to provide appropriate project organization and oversight Note significant impact of new system/application on users, support, infrastructure, other systems/applications and security. Page 20 of 21

21 Schedule G - Other ITS Resources Available Resource ITS-Support Help Desk ITS-Support User Accounts ITS-Support Desktop Technologies ITS-Support Desktop Support ITS-DNO Data Network Administration ITS-Security Information Security Office ITS-Systems Data Base Administration ITS-Systems Data Center ITS-Systems Systems Administration ITS-AS Change Management ITS-T&P Technology and Planning Role Provides first tier support for ITS-AS applications Maintains users and user privileges within applications. Maintains access levels within MS Windows security Performs research and development on desktop applications and applications compatibility. Provides standard application access paths through Yale Administrative Menu System (YAMS) and approved desktop software and patches through PC Amigo Provides on-site and remote user support for desktop applications including software installation, diagnostics and repairs Provides network support and maintenance Ensures security of servers, applications and desktops Provides Oracle database and Oracle system administration Provides a secure server location with appropriate staffing and procedures for monitoring and program execution for processes, backups, restores and disaster recovery Administers operating systems and other administration for servers located in data centers, provides server and storage architecture Provides development standards, metrics reporting, migration process, test plans, deployment plans, vendor negotiations, vendor relations. Support for shared tools (CAS, for example), application architecture, server and storage architecture Page 21 of 21