Request for Proposal. Supporting Document 2 of 4. High Level IT Requirements for the Education Service Payroll

Transcription

1 Request for Proposal Supporting Document 2 of 4 High Level IT Requirements for the December 2007

2 Table of Contents 1 Introduction 4 2 Maintain Employee Information Requirements Information Business Rules Roles Statistical Information 11 3 Run Schools Reports Requirements Roles Statistical Information 15 4 Run Payroll Requirements Roles Statistical Information 17 5 Create Administrative Reports Requirements Roles Statistical Information 20 6 Maintain Payroll Business Information Requirements Information Roles Statistical Information 23 7 Update Service Support Event Requirements Roles Statistical Information 26 8 Manage Service Levels Requirements Roles Statistical Information 27 9 Supplementary Requirements Payroll Supplementary Requirements Non-Functional Requirements Policies and Standards IT Hosting Requirements Acquire and Maintain Software Acquire and Maintain Infrastructure Manage Changes Install and Accredit Solutions and Changes Manage Performance and Capacity 35 29/01/2013 Page 2 of 36

3 10.6 Ensure Continuous Service Ensure System Security Manage the Configuration Manage Data Manage the Physical Environment Manage the Operations 36 29/01/2013 Page 3 of 36

4 1 Introduction 1. The purpose of this document is to highlight the ministry s minimum high level system requirements that the vendor must deliver to support the business processes. 2. The requirements reflect the ministry s desired future Education Service Payroll state, not current state. 3. This document supports the main document for this RFP. 4. The ministry is seeking a business process outsourcing vendor who will use modern IT systems to support managing the business processes. 5. The document highlights key system functions that are important to the ministry. These functions include: standard requirements which are those the ministry considers part of a modern payroll system key ministry requirements which are those the ministry considers important or unique to the. 6. The document includes the ministry s high level requirements for hosting the IT systems. 7. The document is to be read in conjunction with the High Level IT Business Processes for the for information on the business processes that the IT functions support. 8. Please note this document is not a detailed requirements document. The ministry will work closely with the vendor to identify and document the ministry s detailed requirements. This will form part of the transition project. Please refer to the RFP document Appendix F: Transition project for the ministry s proposed transition approach. 29/01/2013 Page 4 of 36

5 9. The following diagram illustrates the ministry s IT system requirements: 29/01/2013 Page 5 of 36

6 10. The following table summarises the key projected annual number of users entering payroll information on-line. 11. The statistics are: projected annual statistics assuming the number of board of trustees (BOT) payroll representatives and team members remains constant. Process Activity Number of users requiring on-line access BOT payroll representatives Education Service Payroll Team members (ministry staff) 6,600 6,600 6,600 6,600 6, The following tables summarises the key annual Education Service payroll IT functions statistical information. 13. The statistics are: projected annual statistics based on incremental growth of 3% per annum for transactions based on no anticipated incremental growth for payroll runs. Process Activity Maintain Employee Information: key statistics Create a single pay for an employee and associated PAYE tax information 2,236,000 2,303,080 2,372,172 2,443,338 2,516,638 Capture personal information about an employee 2,236,000 2,303,080 2,372,172 2,443,338 2,516,638 Complete timesheets Manage leave Run School Reports 390, , , , , , , , , , , , , , ,926 29/01/2013 Page 6 of 36

7 Process Activity Run Payroll: key statistics Run pays in update mode (fortnightly) Run pays for terminations Run pays for adjustments Run multiple pays prior to Disbursement ,600 2,600 2,600 2,600 2,600 Create banking files 1,190 1,190 1,190 1,190 1,190 Create Administrative Reports Maintain Payroll Business Information Update Service Support 689, , , , ,317 Refer to 'Update Business Information' business process Refer to 'Manage Service Support Events' 29/01/2013 Page 7 of 36

8 2 Maintain Employee Information 1. This payroll function maintains employee information. This includes adding and changing employee information in the system. 2. This function supports the Manage Employee Information business process. 2.1 Requirements General Requirements 1. The function will include the system requirements to: create a single pay for an employee and associated PAYE tax information as it relates to payroll capture multiple jobs for an employee capture personal information about an employee create multiple bank accounts for individual employees record and maintain work patterns (rosters) complete timesheets define multiple disbursement dates capture an employees qualifications manage leave manage salary overpayments (debt) and re-payments manually enter salary details administer special annual leave entitlements - principals only Key Ministry Requirements 1. This function must include the ministry s system requirements to: accumulate service credit external service accrue holiday pay for teachers and principals process non-teaching holiday pay reverse terminations validate teaching job details manage mutually exclusive allowances. Accumulate Service 1. The function must be able to accrue and record service for all employees and jobs in the. 2. An employee s total service (across all jobs with all employers) within is required to be maintained because it determines an employee s eligibility to various leave and allowance benefits contained within the collective agreements. 29/01/2013 Page 8 of 36

9 3. Service must also be accrued and recorded at an individual job level for the purposes of determining such things as annual and sick leave entitlements as they relate specifically to the specified job. Credit External Service 1. Contained within the teaching and principals collective agreements are the provisions to credit external service to an employee s total service in the. 2. This external service would be gained in employment outside of the and may be credited for the purposes of salary increments and service towards sick leave entitlements. 3. The assessments of these external service credits are carried out by the ministry and the total service to be credited is added to the employee records. Accrue Holiday Pay for Teachers and Principals 1. Holiday pay for teachers and principals (excluding the Correspondence School) accrues at a rate of 30%. 2. There are specific rules around how and when this accrues (for example it does not accrue during term breaks). 3. In parallel with holiday pay, principals also receive an annual leave entitlement which must also be administered. Process Non-Teaching Holiday Pay 1. Non-teaching holiday pay is essentially standard and compliant with the Holidays Act Employees generally fall into three categories. These are: employees who work 52 weeks per year employees who do not work 52 weeks per year (eg term-time only employees) employees who do not work 52 weeks per year (e. term-time only employees) but have their pay annualised and paid over 52 weeks of the year. 2. Holiday pay payments are made under both the standard sections of the Holidays Act 2003 (Sections 21 28) and the Closedown periods sections (Sections 29 34). Reverse Terminations 1. Schools frequently advise Payroll Centres that an employee has resigned and holiday pay is paid to the employee. At a later date it is apparent that the employee has not in fact terminated but has actually transferred to another school. 2. In specified circumstances, the employee is not in fact entitled to receive the holiday pay when moving from one school to another. 3. In these specified circumstances the termination of the employee must be reversed and the holiday pay paid converted to normal salary, or else, the employee will be overpaid. Validate Teaching Job Details 1. Teachers may only be employed a maximum number of hours per week under the teaching collective agreements (currently 25 hours per week under the Primary Teachers Collective Agreement, and 22.5 hours under 29/01/2013 Page 9 of 36

10 both the Secondary Teachers Collective Agreement and Area Schools Teachers Collective Agreement) and can not work two jobs concurrently within or across collective agreements ie work patterns can not overlap. When a part-time employee has a change in hours or begins a position at a new school the total position fraction for all their teaching jobs needs to be validated. Where recorded, upon appointment or change of hours, work patterns need to be validated. 2. Validation of total position fraction for teachers is for all positions covered by a teaching collective agreement. 3. Calculation of a teacher s position fraction does not include any teaching position of which the teacher is currently on leave without pay. 4. Validation will also be required on entry of timesheet lines for short term relief teachers. Short term relief teachers may not work more than five hours in day or 25 hours per week. Short-term relief teachers with permanent or fixed-term part-time positions also can not exceed these maxima. 5. Where work patterns are recorded, irrespective of the collective agreements covering the position, overlapping work patterns need to be reported on. Manage Mutually Exclusive Allowances 1. Many allowances within the are mutually exclusive. This means that if an employee is receiving a particular allowance there is another allowance(s) the employee is not allowed to receive concurrently. 2.2 Information 1. Examples of the type of information are: employee personal details (for example postal address, licence details, visas, memberships, ethnicity, contact details, qualifications) employee employment agreement details employment status details deduction details. 2.3 Business Rules 2.4 Roles 1. Key business rules are: An employee administrator can make changes to the payroll information for any pay period before the pay is run. An employee administrator cannot enter their payroll personal information. 1. The employee administrator system role can perform this function. 2. The following business process roles can be assigned to this system role: BOT payroll representatives (employee administrator) Service Desk staff (payroll administrator) Teacher Salary Assessment team (employee administrator) Payroll Centre staff (payroll administrator). 29/01/2013 Page 10 of 36

11 2.5 Statistical Information 1. The following tables outline the key annual statistical information for this function. 2. The statistics are: projected annual statistics, based on incremental growth of 3% per annum for transactions. 3. The following table outlines the key annual statistical information for the general requirements for this function: IT Requirement General Requirements Average number of employees with single jobs per pay run 67,920 69,958 72,056 74,218 76,445 Average number of employees with multiple jobs per pay run 17,080 17,592 18,120 18,664 19,224 Total 85,000 87,550 90,177 92,882 95,668 Create a single pay for an employee and associated PAYE tax information 2,236,000 2,303,080 2,372,172 2,443,338 2,516,638 Capture multiple jobs for an employee 444, , , , ,816 Capture personal information about an employee 2,236,000 2,303,080 2,372,172 2,443,338 2,516,638 Source documents entered by vendor 75,000 77,250 79,568 81,955 84,413 Record and maintain work patterns (rosters) 200, , , , ,102 Complete timesheets 390, , , , ,948 Define multiple disbursement dates 75,000 77,250 79,568 81,955 84,413 Capture an employees qualifications 13,000 13,390 13,792 14,205 14,632 Manage leave 365, , , , ,811 Manage salary overpayments Manually enter salary details 15,600 16,068 16,550 17,047 17,558 Administer special annual leave entitlements - principals only 39,000 40,170 41,375 42,616 43,895 29/01/2013 Page 11 of 36

12 4. The following table outlines the key annual statistical information for the key ministry requirements for this function: IT Requirement Key Ministry Requirements Accumulate service Credit external service 4,000 4,120 4,244 4,371 4,502 Accrue Holiday Pay for teachers and principals 1,196,000 1,231,880 1,268,836 1,306,901 1,346,109 Process non-teaching holiday pay 50,000 51,500 53,045 54,636 56,275 Reverse terminations for teachers/principals Validate teaching job details, and 1,170,000 1,205,100 1,241,253 1,278,491 1,316,845 Manage mutually exclusive allowances 520, , , , ,265 29/01/2013 Page 12 of 36

13 3 Run Schools Reports 1. This payroll function manages the system reporting process of: selecting from a list of standard reports entering pre-defined parameters generating the report. 2. This function supports the Generate Reports business process. 3.1 Requirements General Requirements 1. The function will include, but not be limited to, generating standard reports such as: employees being charged against the school for the current pay period before the payroll is run (trial run) details of pay deposited into bank accounts union membership licensing/certification for employees details of incremental pay information history reports annual accrual report. 2. The function will enable the report to be viewed on-line or printed Key Ministry Requirements 1. This function must include the ministry s system requirement to create reports such as: SUE Report Banking Staff Report Leave Report. SUE Report 1. SUE stands for Staff Usage and Expenditure. The term SUE is used in favour of the expanded term. The SUE Report refers to five separate components sent to schools, one of which is also called Staff Usage and Expenditure. 2. The SUE report is considered to be a unique requirement to the ministry. 3. The SUE report is the principle accounting document for schools and has an integral role in the compilation of school annual accounts. It is also treated as both an invoice for the direct debits taken from the school bank account and an accounting statement of what has been paid to school employees on behalf of the school. 4. Schools are required to scrutinise it thoroughly to ensure that their employees have been paid properly and accurately in terms of the provisions detailed in the appropriate collective agreement. It is very much a control report for which schools are accountable. 29/01/2013 Page 13 of 36

14 3.2 Roles 5. The report provides schools with information about their staffing costs, both those directly incurred by the school (through charging to Operations Grant funding codes) and indirect costs such as Teachers Salaries (paid for by the ministry but monitored to ensure schools do not overuse their ministry entitlement). 6. Schools can use the SUE report both to track their use of/expenditure on staffing, and to confirm that the correct payroll transactions have been actioned for staff. (The SUE report includes a variety of payroll actions undertaken by staff, such as periods of leave without pay, maternity leave, allowances paid, payroll adjustments such as reversals). 7. The SUE report can be posted, ed or available online. Schools may choose to download it, or receive a flat file by that can be uploaded into their various accounting packages. Banking Staffing Report 1. The Banking Staffing Report provides information on a school s usage of their allocated staffing entitlement (Full Time Teaching Equivalents FTTE). 2. The allocated staffing entitlement information is delivered fortnightly by the ministry s STEER system. Please refer to Maintain Payroll Business Information function. 3. The school s usage is determined by FTTE payments made through the payroll. 4. This information must then be brought together and reported to schools in the Banking Staffing Report. This report is included in the SUE Report. It is also reported to the ministry for use in the Teacher Payroll Data Warehouse (TPDW) and STEER system. Please refer to Run Payroll function. 5. Key characteristics of the Banking Staffing Report are: multiple inputs that are historical information and current information inputs containing payroll and non-payroll information complex report layouts large numbers of business rules multiple large output reports and files. Leave Report 1. Schools who currently receive the SUE Report also receive a Leave Report each fortnight. 2. This report details leave processed for the school during the pay period, and all employees entitlements and balances. 1. The employee administrator and payroll administrator system roles can perform this function. 2. The following business process roles can be assigned to the system roles. These are the: BOT payroll representatives (employee administrator) Service Desk staff (payroll administrator) Teacher Salary Assessment team (employee administrator) 29/01/2013 Page 14 of 36

15 Payroll Centre staff (payroll administrator). 3.3 Statistical Information 1. The following table outlines the projected annual number of transactions generated from reports being published. The table has three key sections. These are the: total number of report transactions number of report transactions for reports in the general requirements number of report transactions for reports in the key ministry requirements. 2. The statistics are: Based on current report profile grouped into low, medium and high complexity categories projected annual statistics based on no anticipated incremental growth. IT Requirement Number of reports with low complexity 342, , , , ,600 Number of reports with medium complexity 211, , , , ,300 Number of reports with high complexity 120, , , , ,026 Total 673, , , , ,926 Number of General Requirements Reports (transaction volumes) Number of reports with low complexity Number of reports with medium complexity Number of reports with high complexity 340, , , , , , , , , , , , , , ,000 Total 670, , , , ,000 Number of Key Ministry Requirements Reports (transaction volumes) Number of reports with low complexity Number of reports with medium complexity Number of reports with high complexity 2,600 2,600 2,600 2,600 2,600 1,300 1,300 1,300 1,300 1, Total 3,926 3,926 3,926 3,926 3,926 29/01/2013 Page 15 of 36

16 4 Run Payroll 1. This payroll function describes how the payroll system is to be run. 2. This function supports the Enter and run Payroll business process. 4.1 Requirements General Requirements 1. The function includes standard system requirements such as: running pays in non-update and update modes running multiple pays prior to disbursement running pay, locking updates to employee information for that pay period but still allowing other updates to employee information viewing on-line pay previews (including the functionality to run a projected online pay for individual employees) creating statutory IRD files and forwarding directly to the IRD or to the ministry as required creating superannuation provider (including KiwiSaver) files and forwarding directly to the superannuation provider, IRD or to the ministry as required creating banking files and forwarding directly to the ministry s bank or to the ministry as required creating all financial accounting in relation to the payroll, including multiple General Ledger postings for each payroll run disbursing in multiple currencies Key Ministry Requirements 1. This function must include the ministry s system requirement to create: payslips payroll files. Create Payslips 2. Payslips are produced for all employees when a change in pay occurs. In addition, payslips are to be produced every pay period for employees: employed under the School Caretakers and Cleaners (including Canteen workers) Collective Agreement. who specifically request a payslip every fortnight. 3. Payslips are delivered to employees by post or electronically by . Create Teacher Payroll Data Warehouse File 1. The ministry operates a data warehouse called the Teacher Payroll Data Warehouse (TPDW). This function is to generate a file every pay period in a variety of formats, including flat files and spreadsheets. 2. The files contain pay details, factors, allowances and deductions. The data relates to all employees in, not only teachers as the name implies. 29/01/2013 Page 16 of 36

17 4.2 Roles 3. The total size of the download is approximately MB. 4. The file will be transferred to the ministry via the Education Sector Integration Service (ESIS). Please refer to the RFP document Appendix G: Ministry and Government Projects for further information on the ESIS. 5. A backup process is to be available if the file transfer fails. 1. The payroll administrator or system clock system roles can perform this function. 2. The following business process roles can be assigned to the payroll administrator system role. These are the: Service Desk staff Payroll Centre staff. 4.3 Statistical Information 1. The following table outlines the key annual statistical information for this function. 2. The statistics are: projected annual statistics based on no anticipated incremental growth for pay runs, the number of input files and the number of output files based on incremental growth of 3% per annum for payslips. IT Requirement General Requirements Run pays in non-update mode Run pays in update mode (fortnightly) Run pays for terminations Run pays for adjustments Run multiple pays prior to Disbursement Create statutory IRD files and forward Create Superannuation Provider files 2,600 2,600 2,600 2,600 2, ,600 2,600 2,600 2,600 2, Create banking files 1,190 1,190 1,190 1,190 1,190 Create all financial accounting Disburse in multiple currencies /01/2013 Page 17 of 36

18 IT Requirement Key Ministry Requirements Number other output files 26,000 26,000 26,000 26,000 26,000 Number payslips printed 650, , , , ,581 Number payslips not printed 800, , , , ,407 Total 1,450,000 1,493,500 1,538,305 1,584,454 1,631,988 29/01/2013 Page 18 of 36

19 5 Create Administrative Reports 1. This payroll function manages the system reporting process to: select a report from a list of standard reports, enter a report period and generate the report create a report, including defining layout of report and report fields. 2. This function supports the Generate Reports business process. 5.1 Requirements General Requirements 1. The function will include, but not be limited to, generating standard reports such as: Leave Report Year to Date Funding Indicators Summary. 2. The function includes generating all standard reports defined in the Run Schools Reports function. 3. The function includes the capability for the user to create custom reports, including: creating reports from standard report templates creating reports from blank templates adding database fields adding common formulas (for example mathematical, date/time, conditional) previewing reports defining when report is run (for example immediately or out-of-hours) generating report on-line or printing report loading the report as a standard report Key Ministry Requirements 1. This function must include the ministry s system requirement to: generate ACC end of year reports generate finance reports. Generate ACC End of Year Reports 1. This is a series of reports to allow the ministry to calculate the ACC levy for each school. Generate Finance Reports 1. The finance reports are used by the ministry to administer the Education Service Payroll finances. In some cases the reports are sent to third parties also. 2. These reports are considered a standard requirement, but are documented here to ensure visibility. 29/01/2013 Page 19 of 36

20 5.2 Roles 3. The reports need to comply with the New Zealand International Financial Reporting Standards (please refer to the References section in the RFP document). 4. These reports are to be delivered to the ministry in both hard copy and electronically as required. The reports include: Deduction Reports Deductions Multiple Payees Direct Credit Schedule Direct Debits by Funding Direct Debits by Payment Type EMS Schedule General Ledger Interface Inland Revenue Department (IRD) Files Pay Listing Group Totals Report of Funding Indicators Superannuation Deduction Schedule Report Superannuation Scheme Subsidy Reports Year to Date Funding Indicators Summary. 1. The payroll advisor and payroll administrator system roles can perform this function. 2. The following business process roles can be assigned to the system roles. These are the: ministry s team (payroll advisor) Service Desk staff (payroll administrator) Payroll Centre staff (payroll administrator). 5.3 Statistical Information 1. The following table outlines the projected annual number of transaction generated from reports being published. 2. The table has three key sections. These are the: total number of report transactions number of report transactions for reports in the general requirements number of report transactions for reports in the key ministry requirements. 29/01/2013 Page 20 of 36

21 3. The statistics are: projected annual statistics including the statistics for generating all standard reports defined in the Run Schools Reports function, based on no anticipated incremental growth. IT Requirement Number of reports with low complexity Number of reports with medium complexity Number of reports with high complexity Total Number of reports created Number of General Requirements Reports (transaction volumes) Number of reports with low complexity Number of reports with medium complexity Number of reports with high complexity Total Number of reports created Number of Key Ministry Requirements Reports (transaction volumes) Number of reports with low complexity 5, Number of reports with medium complexity 1, Number of reports with high complexity Total /01/2013 Page 21 of 36

22 6 Maintain Payroll Business Information 1. This payroll function maintains the payroll business information. This includes adding and changing payroll business information in the system. 2. This function supports the following business processes. These are: managing employee information updating business information running payroll. 6.1 Requirements General Requirements 1. The function will include the system requirements to: receive electronic files and process the transactions against individual employees (for example timesheets, deductions, fortnightly school direct debit file) create and update and individual payroll business information records process bulk updates to employees (for example collective agreement changes) process 200+ allowance types, including but not limited to the capability of treating allowances as taxable, non-taxable, superable, non-superable, included and excluded in holiday pay earnings manage multiple superannuation schemes accrue and record usage of 100+ leave types, both paid and unpaid. This will include but will not be limited to, ongoing accrual by pay period, leave calendars, automated leave prioritisation. Accrual functionality is to be flexible dependent upon employment classification. create 100+ deduction types (this number will increase) including administration with deduction agencies load NZ Post data formatting files capture specific holiday pay business rules for teachers and principals Key Ministry Requirement 1. This function must include the ministry s system requirements to: process the STEER input file manage complexity manage exceptions. Process the STEER Input File 1. The STEER system captures and maintains information about the staffing (teacher) levels in schools. 2. The ministry will provide an input file each fortnight with up-to-date information on school entitlement data, for each school, for each pay period. 3. The file has over 50 columns and over 3000 rows. 4. This function must include loading this file into the system. 29/01/2013 Page 22 of 36

23 Manage Complexity 1. This function must include a table containing school details and collective details that can be maintained. The table will contain information such as address details, banking staffing entitlements, school type, and school specific allowances. Manage exceptions 2. This function must include the capability to manage exceptions by overriding the payroll business information for individual employees. 6.2 Information 6.3 Roles 1. Examples of the type of information are: payroll periods for a calendar year salary scales, grades, overtime and other information contained in individual contracts and collective agreements tax information bank information school information extra hours and overtime leave taken allowances ACC claims and reimbursements corrections for previous pay periods. 1. The payroll systems administrator or system clock system roles can perform this function. 2. The IT system support staff can be assigned to the payroll systems administrator system role. 6.4 Statistical Information 1. Please refer to the Update Business Information business process in the High Level Business Processes for the supporting document for information on the projected annual statistics for the number of files to be received. 29/01/2013 Page 23 of 36

24 2. The following table illustrates the level of complexity required by outlining the details on each collective agreement: Collective Agreement Salary Rates Eligibility determined by Eligibility Criteria Can Eligibility be determined electronically? Service types Service Business Rules Allowances Eligibility Criteria Leave Types - Paid Leave Types - Unpaid Primary Principals Collective 14 MOE 3 Yes Secondary Principals Collective 14 MOE 3 Yes Area School Principals Collective 14 MOE 3 Yes Primary Teachers Collective 380 SAU No Secondary Teachers Collective 380 SAU No Area School Teachers Collective 300 SAU No Correspondence School - Early 300 SAU No Childhood Community Education Personnel 100 School N/A N/A Secondary & Area School Groundstaff 4 School N/A N/A Kaiarahi i te Reo Collective/ATSSD/SEA 100 School N/A N/A School Caretakers & Cleaners (including 10 School N/A N/A Canteen workers) Support Staff in Schools 110 School N/A N/A /01/2013 Page 24 of 36

25 Collective Agreement Salary Rates Eligibility determined by Eligibility Criteria Can Eligibility be determined electronically? Service types Service Business Rules Allowances Eligibility Criteria Leave Types - Paid Leave Types - Unpaid Special Residential Schools 180 School N/A N/A Blind and Low Vision Education Network NZ Correspondence School - Non Teaching Correspondence School Teacher Aide Individual Employment Agreements Out of Hours - Music 76 School N/A N/A School N/A N/A N/A School N/A N/A School N/A N/A 5 5 N/A N/A /01/2013 Page 25 of 36

26 7 Update Service Support Event 1. This service support function updates a service support event. This includes creating and changing a service support event. 2. This function supports the Service Support business processes. 7.1 Requirements General Requirements 7.2 Roles 1. A service support event is any communication between the business process roles, or an incident that disrupts business process or IT systems. A service support event can be: a payroll information request an employee information request a business rules request a business process incident an IT system incident. 2. The function will include the system requirements to: capture, update, prioritise, and escalate events automate reminders to complete events, based on service level agreements perform self service by searching for events in a knowledge base capture key process metrics manage the resolution process of problems (recurring event business process and IT incidents) manage the process of changes (resolution of events) to business processes and IT systems automate workflow management of events generate reports, including on-line, hardcopy and balance score card presentation. 1. All system roles can perform this function. Therefore, all business roles can also perform this function. 7.3 Statistical Information 1. Please refer to the Manage Service Support Processes business process in the High Level Business Processes for the supporting document. 29/01/2013 Page 26 of 36

27 8 Manage Service Levels 1. This service delivery function enables the performance reporting of business processes, hosting requirements and IT systems against agreed service levels. 2. This function supports the service delivery business process. 8.1 Requirements General Requirements 8.2 Roles 1. The function will include the system requirements to: capture services and associated metrics capture manually and automatically actual service metrics generate reports, including on-line, printed, balance score card presentation and downloading report information store historical, current and forecasted information. 2. The ministry will work collaboratively with the vendor to define the information requirements for this function. Examples of the type of information categories are: service support metrics service delivery metrics business process metrics IT hosting requirements metrics IT system metrics financial metrics. 1. The Payroll Service Delivery Manager system role can perform this function. 2. The ministry s Service Delivery Manager can be assigned to this system role. Please refer to the Contract and Relationship Management for the Education Service Payroll supporting document. 8.3 Statistical Information 1. Please refer to the Manage Service Delivery Processes business process in the High Level Business Processes for the supporting document. 29/01/2013 Page 27 of 36

28 9 Supplementary Requirements 1. The supplementary requirements outline requirements that are not easily captured in the sections that describe the IT functions. The key supplementary requirements are: payroll supplementary requirements non-functional requirements school desktop hardware support the ministry s desktop hardware support policies and standards. 9.1 Payroll Supplementary Requirements General Requirements 1. The following are the general payroll supplementary requirements: Every function within the payroll system is effective date driven (both future and retrospective), with automated calculation of both the current pay period and arrears. The payroll system will carry out complex payments with multiple methods of payment calculations, including but not limited to annual salary (35 40 hours a week), weekly and hourly pay rates, timesheet only employees, 5 day workers, 7 day workers, 24 hour shift workers, payment by % FTTE, seasonal, or any combination of these. There are multiple pay cycles (for example weekly, fortnightly, fourweekly, monthly and out of cycle ). The payroll system has multiple companies processing. There need to be different security levels at an individual record level (for example no access, read-only, edit). The payroll system has New Zealand legislative compliance. The payroll system can produce out of cycle pays for individual employees on demand (with full payroll functionality). The payroll system has real time data validation maintained by system business rules. The payroll system has no restriction on the number(s) of codes available (for example deduction types not to be limited to 99 by a twodigit numeric field) Key Ministry Requirements 1. The payroll supplementary requirements must include the ministry s system requirements to: assign postcodes access by School Desk desktop hardware access by the ministry s desktop hardware transfer files via ESIS 29/01/2013 Page 28 of 36

29 authenticate using the New Zealand Education Sector Authentication and Authorisation shared service (ESAA). Assign Postcodes 1. In addition to the above payroll supplementary requirements, the ministry requires all address fields to comply with the standard NZ Post address formatting. 2. Due to the size of the a large number of payslips and reports are posted each year to employees and schools respectively. 3. The ministry receives a discount from NZ Post for the mailing of these items. However, this discount is conditional upon postal address formatting and use of post codes. 4. It is a requirement that address fields comply with the standard NZ Post formatting and have functionality to automatically allocate correct post codes based upon the employee/school postal address. 5. NZ Post provides the appropriate data files to enable this to occur. Access by School Desk Desktop Hardware 1. Schools currently have in excess of 100,000 desktops comprising both PCs and Macintoshes. The ministry does not set a defined standard for schools and there is an arrangement in place to assist schools in purchasing additional equipment. The response needs to include minimum desktop requirements for on-line access. This includes both PC and Macintosh desktops. 2. Schools require browser based access and the software is to have no footprint on the desktop. Access by the Ministry s Desktop Hardware 1. The ministry will access on-line using the ministry s PCs and laptops. 2. Please refer to the Standard hardware available reference document for the ministry s desktop hardware standards. Transfer files via ESIS 1. All electronic files will be sent and received via the Education Sector Integration Service (ESIS). 2. This service supports information technology interoperability between organisations and systems. 3. Please refer to the RFP Appendix H: Ministry and Government Projects. Authenticate using ESAA 1. Access to all IT systems by Education sector staff, i.e. BOT payroll representatives and the ministry s Education Service payroll staff, will use the New Zealand Education Sector Authentication and Authorisation shared service (ESAA). 2. Please refer to the supporting Education Sector Authentication and Authorisation (ESAA) Briefing Paper. 29/01/2013 Page 29 of 36

30 9.2 Non-Functional Requirements 1. The non-functional requirements highlight the technical implications of deploying the vendor s IT systems to ministry staff. 2. The following table outlines the ministry s non-functional IT requirements: Non- Functional Requirement Runtime qualities Availability Reliability Recoverability Resilience Security Performance Scalability Description Time system is to be available offering non-degraded service for normal business hours of 7.00am to 7.00pm. Inherent immunity of the system not to fail, due to unexpected internal or external faults. This is evaluated in the context of the likelihood of the fault, the severity of the fault and the resulting impact. Ability to re-establish defined levels of functionality after a significant external event. Requirement includes business continuity and disaster recovery planning. Ability for the system to continue service after individual component failure. Ability to authenticate users and authorise access at appropriate levels and ensure data confidentiality. Key to achieving this is to ensure: confidentiality privacy data integrity. All web pages must download within three seconds during an average load and five seconds during a peak load. Performance is for normal business hours of 7.00am to 7.00pm. Ability to accommodate future increases in number of users, database sizes and processing loads, without design or coding and with minimal degradation of other critical functions and nonfunctions. Metric 7 days a week for 20 hours Failure outside running the pay 0.01% Failure running the pay %. Less than 8 hours. No single point of failure in hardware components Security to be based on requirement of high risk with severe impacts for the ministry if unauthorised modification or destruction of information. Based on standard performance, e.g. screen refresh: 80% of time at 3.0 secs 90% of times at 3.8 secs 99% of times at 6.6 secs managed time out 30 secs. 10% transactional volume increase each year. 29/01/2013 Page 30 of 36

31 Non- Functional Requirement Usability Interoperability Traceability Description To make the system easy and efficient to learn and use correctly. The ability to easily adapt the application to different operating environments or platforms without significant redevelopment, cost or time-delay Ability to retain specific details of business, transactional and data changes. Non-Runtime qualities Flexibility Ability to enhance existing services, accommodate new services and product types without significant changes to design. Information Management Maintainability Ability to retain, archive and purge business data and otherwise treat data as a corporate asset. Ability to manage the system efficiently, finding and removing faults, improve performance, carry out modifications and infrastructure upgrades. Metric The system should allow users to use the systems with under two hours training. The solution can interoperate with other systems via Education Sector Integration Services. Refer to the Education Sector Authentication and Authorisation (ESAA) Briefing Paper Complete capability to retain all details of business, transactions, authentications, firewall and system activity and data changes. User Configurable for 80% of incidental functional rules without technical support. Further Technical Changes should be via configuration in preference to customisation which should be minimal. Modular design in which components are highly cohesive and loosely coupled, communicate between components via messages and the internal implementation of each component is hidden from other components. Easily understood solution architecture and application design (domain model, database design, etc), in a commonly used development language which is easily understood and enhanced by an experienced developer. High capability to retain and archive business data and treat data as an overall ministry asset. Documented system. Experienced developer can make changes within 3-4 weeks of first seeing system. 29/01/2013 Page 31 of 36

32 Non- Functional Requirement Affordability Description Metric Ability to effectively utilise ministry s investment. Preference for configuration of systems versus customisation due to higher cost of customisation or bespoke components. Please refer to the Contract and Relationship Management for the supporting document for the proposed approach to improve the effectiveness and efficiency of the ministry s investment in the. 29/01/2013 Page 32 of 36

33 9.3 Policies and Standards 1. The ministry requires that the IT systems adhere to the applicable government standards as well as specific ministry standards. 2. Compliance with each standard will be assessed separately. 3. The ministry will provide guidance on interpretation of detailed policies and standards. 4. Key policies and standards are: All-of-government Authentication Programme, including government shared services (Government Logon Service, Identity Verification Service, and Future Services) Education Sector Authentication and Authorisation (ESAA). For further information refer to the Education Sector Authentication and Authorisation (ESAA) Briefing Paper Education Sector Metadata standards New Zealand e-government Domain Name Moderation New Zealand e-government Interoperability Framework (NZ e-gif) Version 3.2 New Zealand e-government Locator Service Metadata Element Set Version 2.1 New Zealand e-government Web Standards and Recommendations v1.0 NZ ICT Security Manual NZIST402:2007 Privacy Impact Assessment Handbook Security in the Government Sector Government Communications Security Bureau: ISO/IEC 15408, otherwise known as the Common Criteria (CC) The ministry s Application Access Security Policy The ministry s Application User Account Policies The ministry s Internet Domain Names for Web Sites and The ministry s Web Channel Development Policy. 29/01/2013 Page 33 of 36

34 10 IT Hosting Requirements 1. The high level hosting requirements important to the ministry are: acquire and maintaining software acquire and maintaining infrastructure manage changes install and accrediting solutions and changes manage performance and capacity ensure continuous service ensure system security manage the configuration manage data manage the physical environment manage the operations 2. This section includes the role the ministry will perform Acquire and Maintain Software 1. There are to be well established project management and project life-cycle methodologies that are well understood and generally used. 2. The practices are to be based on a best practice framework such as Prince2 or PMBOK. 3. When there is the potential for key business impacts, the ministry will participate in the implementation planning process Acquire and Maintain Infrastructure 1. There are to be good infrastructure maintenance practices in place that focus on reusability, scalability, flexibility, integration and minimising business impact. 2. When there is the potential for key business impacts, the ministry will participate in the implementation planning process Manage Changes 1. There is a defined change management process in place, including categorisation, prioritisation, emergency procedures, change authorisation and release management. 2. The ministry requires an optional review role in the process. 3. When there is the potential for key business impacts, the ministry requires an approval role in the process Install and Accredit Solutions and Changes 1. There is to be testing so that applications and infrastructure solutions are fit for the intended purpose and free from errors, and planning for releases to production. 29/01/2013 Page 34 of 36

35 2. An established testing methodology and an appropriate release planning process are to be in place. 3. When there are key business impacts, the ministry will participate in testing including performing user acceptance testing and penetration testing of any on-line services Manage Performance and Capacity 1. There are processes and tools available to measure system usage, performance and capacity. 2. Performance monitoring is to be from Access device to database, including systems, enterprise hardware, storage area networks and network infrastructure. The monitoring functionality will include alerts to the ministry. 3. There is to be comprehensive reporting to the ministry Ensure Continuous Service 1. There is to be a continuous service plan which is regularly reviewed and updated. 2. The IT continuity plan is to be documented and based on system criticality and business impact. 3. Back-up and restore services are to have appropriate enterprise storage devices with media management and off-site storage. Back-ups are to be: created on a daily basis transported to a secure remote site. 4. There is to be a production site and disaster recovery site with appropriate physical separation. These sites are to be in New Zealand. 5. Regular testing of business continuity plans, including disaster recovery, is to be conducted. This testing is to include: IT systems communications technology supporting infrastructure business and IT support processes post-test reviews. 6. The testing is to occur at least annually with no less than 24 hours notice. 7. The testing will include reasonable scenarios, such as various sites and cities being disrupted. 8. The ministry will participate in the business continuity testing. 9. The vendor will need to provide how they comply with New Zealand government initiatives that relate to business continuity (for example pandemic planning) Ensure System Security 1. There are to be appropriate security policies and practices in place. Please refer to Policies and Standards for further information. 2. The responsibilities for IT security are to be clearly assigned, managed and enforced. 29/01/2013 Page 35 of 36

36 3. IT security risk and impact analysis is to be consistently and frequently performed. 4. Security services are to ensure that virus or hacking attacks can be rapidly detected and defended against without unnecessarily compromising the overall service the ministry receives. 5. Remote access is to be through a De-Militarised Zone (DMZ) infrastructure with an appropriate security buffer through a combination of routers, firewalls and border security services Manage the Configuration 1. There are to be processes and tools in place that ensure the integrity of the hardware and software configuration. 2. An accurate and complete configuration repository is to be in place Manage Data 1. There is to be a key focus on maintaining the completeness, accuracy, availability and protection of data. 2. There are to be procedures in place to manage the media library, backup and recovery of data, and ensure proper disposal of media. 3. The ministry will work closely with the vendor to define detailed requirements that meet ministry and New Zealand government compliance requirements Manage the Physical Environment 1. A controlled data centre computing environment is to be in place in that protects computer assets and business data, and minimises the risk of business disruption. 2. The physical locations of the data centres, including the disaster recovery site, are to be within New Zealand. 3. Data centres are to have appropriate physical security, power filtering (UPS), backup generator, and fire detection and suppression Manage the Operations 1. The computer operations must ensure a complete and accurate processing of data through clearly defined and documented processes that schedule data processing, protect sensitive output, and monitor and maintain infrastructure. 2. There are to be appropriate support and engineering services in place. 29/01/2013 Page 36 of 36