Expression of Interest (EOI) Business

Expression of Interest (EOI)
for the provision of
Business Transformation Services
3 October 2013
Ref: 2013050
Important note:
Please read all sections of this EOI. By submitting a response to this EOI you will be deemed to
have accepted the EOI Rules.
I nland Revenue is changing to ma ke it faster and easier for all
New Zea landers to deal with us. Our changes wi ll create a
future tax and social policy system that helps deliver better
public services and ma kes New Zealand a good place to live,
work and grow a business .
The Transformation Market Brief released in August th is year
set out I nland Revenue's vision for the future, our
t ransformation goals and outcomes for New Zealand . Th is call
for Expressions of I nterest {EOI) is the next maj or step towards
change and we look forward to partici pation from potential
service providers .
Greg Ja mes
Deputy
Commissioner
Change
I nland Revenue's transformation is a large and complex
journey that will run across a number of stages over several
years. This EOI is the first stage of a proposed four-stage
procurement process, and will help us select a shortlist of
potential service providers with the capability, capacity and
experience to support the Transformation Programme, to
deliver the detailed design of the first stage and va lidate the
rema ining stages.
We expect to work with a number of service providers across a
range of areas during I nland Revenue's entire transformation
programme .
Our changes will make a real difference for New Zealand .
Through th is EOI and beyond we are looking for organ isations
who can work with us to build a 21st century tax adm inistration
that ma kes it easier, faster, and cheaper to do business with
I nland Revenue and across Government.
I invite you to read the goals, objectives and background
outlined in th is EOI document and supporting material, and
welcome your participation in the EOI process .
Greg James
Deputy Commissioner Change
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Table of Contents
1.
Background ....... ..... ..... . .... . .. .. ..... ................................................. ..... ..... . .. 3
2.
Purpose of this EOI .. ... .. .. ... .. ... ... .. ................................................. .... . .. .. . .. 3
Changing Inland Revenue •••••••••••••••••••••••••••••••••••••••.••••.••••.•••••••••••••••••••••••••••••• 5
3.
New Zealand Government agend a .. ..... ................................... .... .. ... .. ... .. ... .. 6
4.
IR for the Future . .. ... .. ... .. ... .. ... .. ... .. ... ..... ............................. .. ... .. ... .. ... .. ... .. 6
In Ia nd Revenue today ...................................................................................... 9
5.
Inland Revenue organ isational context . .................. . .................. . .. ... .. .. ... .... 10
Transformation Programme •••••••••••..••••.•••..•••..•••.••••.••••.••••.••••.••••.••••.••••.•••••••• 13
6.
Transformation background ... ..... ..... .............................................. ... .. ... .... 14
7.
Target Operating Model ... ..... ..... ..... ............................................ .. ... ..... .... 16
8.
Programme delivery approach ..... ..... .... .................................... ..... ..... ...... . 19
Scope of services •••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••••• 20
9.
Scope of services .... ... .. ... .. ... .. ..... ......................................................... .. .. 21
EOI process .••••..•••..•••..•••..•••.•••••••••.••••.•••..•••..•••..•••..•••.••••..•••..•••..•••..•••..•••..•••• 26
10.
Procurement process .. ... .. ... .. ... .. ... ..................................................... . .. .. . . 27
11.
Expression of Interest process .. .. ... .. ................................................ ..... .... . 30
Statement of requirements ............................................................................ 35
12 .
Statement of requirements .. .. ... .. ... .. ... .. ... .............................. ..... ..... .... .. ... . 36
13 .
Evaluation criteria .... .. ... .. ... .. ... .. ... .. ... .. ............................ ..... .... .. ... .. ... .. ... .50
Terms and conditions ..................................................................................... 51
14.
Terms and conditions of this EOI.. .. . .................................................... .. ... .. 52
Appendices ..................................................................................................... 60
Appendix A - Current-state technology infrastructure ......................... .. ... .. .... ..... ... 62
Appendix B - Conceptual application architectu re ................................. ..... ..... ..... .. 65
Appendix C - Some minimum contract terms ................................................. ... .. .. 68
Attachments ................................................................................................... 70
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1. Background
In August 2013, Inland Revenue released the Transformation Market Brief which set out
Inland Revenue's vision for the future, transformation goals and desired outcomes. An
overview of the procurement process to engage a service provider(s) in relation to the
Business Transformation Programme (''Transformation Programme" or "the Programme")
was also provided.
The Transformation Market Brief signalled Inland Revenue's approach and work
undertaken to date to deliver a "Portfolio of Change" in response to:
•
the Government's goa ls to derive better va lue from publ ic services (including
more integ rated All-of-Government services);
•
interna l pressures including ageing business processes and technology
infrastructure; and
•
changing customer needs including dem ands to interact electronica lly.
The aim of Inland Revenue's T ransform ation Programme is to address t hese issues and
deliver tangible benefits, includi ng the ability to implement policy and legislative changes
more quickly, and to provide Inland Revenue's customers with a range of interactive
services and information.
To deliver this business-led transformation , enabled by technology, capabilities are
required across many areas including, project management, change management,
business ana lysis, business process reengineering , solution architecture and software
development. While Inland Revenue possesses some of t hese capabilities, the scale and
complexity of the transformation will require additional skills and expertise. Inland
Revenue expects to work with a number of service providers across a range of areas
over the duration of the Programm e.
2. Purpose of this EOI
The scope of th is EOI includes a range of potential work t hat is required to support the
T ra nsform ation Programme . The pu rpose of this docu ment is to seek expressions of
interest from service providers with the capabi lity, capacity and experience in relation to
that range of work.
Suitably experienced and qualified service providers are invited to respond to this EOI,
from which I nland Revenue intends to invite a shortlist of pot ential service providers to
participate in a Competitive Dialogue stage, as described in section 10.4 ( I nland
Revenue's procurement process).
At the conclusion of the procurement process, Inland Rev enue intends to engage a
service provider(s) to deliver the detailed design of the first stage of the Transformation
Programme and validation of remaining stages.
For future work, I nland Revenue m ay choose to engage further the selected service
provider(s) , approach the market, or use another appropriate procurement process to
select a service provider(s) .
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Potential service providers responding to this EOI are referred to as " Participants" in this
document. To assist Participants with their responses, the document sets out:
•
the goals and intended outcomes of the Transformation Programme ;
•
Inland Revenue's ' current state';
•
key activities and milestones that have been ach ieved ;
•
Inland Revenue's 'target state';
•
details of the proposed four-stage procurement process (of which this EOI process
forms the first stage);
•
response requirements, instructions and key timelines;
•
the organisation information requirements, compliance requirements, and
m inimum capability and experience requ irements that I nland Revenue is looking
for Participants to meet or satisfy;
•
key requirements that Inland Revenue is looking for Participants to demonstrate;
•
the evaluation criteria and weightings that Inland Revenue intends to apply to the
evaluation of the key requirements, which is set out to assist Participants in
developing their responses; and
•
the terms and conditions of participation.
Participants are encouraged to first refer to section 12.3 ( Minimum capability and
experience requirements) , followed by section 14 (Terms and conditions of this EOI),
before proceeding further.
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Part A:
Changing Inland
Revenue
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3. New Zealand Government agenda
In January 2012, the Government outlined four priorities which Inland Revenue directly
contributes towards, these are:
•
responsibly managing the Government's finances;
•
rebui lding Christchurch;
•
building a more competitive and productive economy; and
•
delivering better public services within tight financial constraints .
Inland Revenue also supports the Government's overall Information Communication
Technology {ICT) strategy and Better Public Services (BPS) objectives
( www. ssc.qovt.nz/better-public-services ) by delivering lower cost, customer-centric
services and being focused on cross Government opportunities to improve the way New
Zealanders access Government services . BPS initiatives such as New Zealand Business
Number (NZBN) or ReaiMe will be considered within the Programme's design principles .
4. IR for the Future
4.1 Vision and transformation goals
Inland Revenue contributes to the economic and social wellbeing of New Zealand by
providing high-quality tax and social policy services to the Government and all New
Zealanders.
I nland Revenue works with customers and other organisations to make tax compliance
easy and to g ive New Zealanders confidence that everyone pays and receives the right
amount. Inland Revenue 's vision is to be a world-class revenue organisation, recognised
for service and excellence.
IR for the Future has been developed as I nland Revenue's strategic blueprint for change
to deliver this vision. It describes a business-led, technology-enabled Transformation
Programme that aims to transform I nland Revenue into a customer-focused, world-class
revenue organisation over several years . Specifically, IR for the Future aims to deliver:
•
efficient self-management options for customers that provide speed and
certainty;
•
a broader approach to compliance based on smarter use of information and a
wider range of interventions;
•
a range of different working relationships with other organisations, including
strategic partnerships to deliver some services;
•
less transactional work and less direct contact with customers;
•
excellence in complex technical work;
•
more automation and streamlined information flows;
•
greater use of commercial IT products in Inland Revenue's systems and services;
and
•
a healthy culture which Inland Revenue staff value and thrive in .
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4.2 Summary of case for change
Inland Revenue needs to deliver existing services faster and more cost-effectively, and
to implement changes in tax and social policies more rapidly.
Technology improvements have raised expectations around service levels and the quality
of interactions. Customers now expect a seamless and secure online experience with
Government.
Given increases in complexity, and the fact that it has been over 20 years since Inland
Revenue 's last significant transformation, it is becoming difficu lt for Inland Revenue to
deliver its services from within its current framework.
Key challenges I nland Revenue is facing are outlined below:
•
Inland Revenue is increasing ly unable to rapidly and economically implement
policy changes and other Government priorities, such as the timely
implementation of the child support scheme changes ;
•
customer compliance levels are relatively high but they have been static or under
pressure and the targets set for 2015 will be difficult to meet;
•
taxation and social policy debt levels have been increasing , placing the integrity of
the revenue system at risk;
•
there is a risk of an operational failure that could severely impact Government's
ability to collect and distribute money; and
•
Inland Revenue is unable to satisfy the changing expectations of customers to
ma ke it easier and less costly to receive entitlements and meet obligations.
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4.3 How the change will benefit New Zealand
Benefits for New Zealand and I nland Revenue are summarised in the table below :
Benefit area
Summary
Improved customer
experience
Provide certainty to customers that they have met obligations,
simplify customer requirements, and Improve customers'
experience with Inland Revenue and Government.
Economic benefits to New
Zealand
Reduce customer compliance costs associated with meeting
tax and socia l policy obligations by reducing the ti me
businesses and other customers spend on tax compliance.
Improved revenue system
integrity
I ncrease voluntary compliance, and reduce errors, through
simpler systems, as well as reducing fraud associated with
filing incorrect tax information, not filing required obligations,
and/or obtaining social entit lements fraudulently.
Reduced time to implement
policy initiatives
Greater speed and less cost in introducing and implementing
policy changes within Inland Revenue and other agencies.
Financial benefits to the
Crown
Increase Crown revenue, and benefits to other Government
agencies, through increased compliance, improved accuracy of
tax assessments, reduced numbers of customers in debt, and
achieving productivity savings within Inland Revenue.
Reduced risk of operational
failure
Reduced risk of a technology or process failu re lim it ing In land
Revenue's ability to collect tax or disburse entitlements .
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Part B:
Inland Revenue today
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5. Inland Revenue organisational context
This section provides an overview of Inland Revenue's current state across key
dimensions including people, processes, policy and platforms.
5.1 Inland Revenue at a glance
As New Zealand 's principal revenue agency, I nland Revenue collects approximately 80%
of annua l core Crown revenue ($53 . 7 billion) and dea ls with 7.3 million customers.
Inland Revenue reaches more New Zealanders than any other agency. Each year, Inland
Revenue interacts with and provides services to a high volume of customers. For
instance in 20 12 alone :
•
Individuals - filed about 1.2 mi llion annua l tax returns;
•
Employers - about 195,000 employers filed 2 million employer monthly
schedules with PAYE deductions for employees during the year;
•
Companies - over 420,000 company returns were filed; and
•
GST payers- 3 million GST returns were filed by 630,000 registered customers.
Inland Revenue also plays an important role in administering a number of income-related
social policy products, including:
•
KiwiSaver: I nland Revenue administers the superannuation savings scheme by
collecting contributions from wage and salary earners and transferring them to
scheme providers for investment. In 2012-13, I nland Revenue distributed $3 .1
bill ion to scheme providers on behalf of 2.1 m illion members.
•
Working for Families Tax Credits: Inland Revenue jointly adm inisters this
programme with the Ministry of Social Development. In 2012-13, Inland Revenue
distributed $2 .6 billion in entitlements to support working families.
•
Child Support: in 2012-13, Inland Revenue col lected $435 million from 179,000
paying parents and distributed $226 million to custod ial parents.
•
Student Loan Scheme: I nland Revenue jointly admin isters this programme with
the Ministries of Education and Social Development (Study link). I n 2012-13,
Inland Revenue collected $ 1.1 billion in repayments from 711,000 borrowers.
•
Paid Parental Leave: I nland Revenue makes payments for the Ministry of
Business, I nnovation and Employment to parents who take leave from their job or
business to care for a child .
In 2012-13 , Inland Revenue made $ 165 million in payments to 26,000 applicants. Inland
Revenue supports customers to manage their obligations and entitlements through a
variety of self-help and customer services. I n 2012-13 Inland Revenue:
•
received 6.4 million customer service contacts;
•
received 18 million self-help service enquiries;
•
made 90,000 outbound calls from contact centres as part of campaign work; and
•
delivered 22,000 events to assist customers includ ing sem inars, expos, advisories
and one-to-one visits .
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5.2 Organisational structure
As at 30 Ju ne 20 13, Inland Revenue employed 5,628 ( full-time equivalent) staff across
New Zea land. I nland Revenue is organised into nine business groups:
•
Change: is responsible for the design and delivery of Inland Revenue's
investment portfolio . Change brings together project and programme
management, portfolio support, service design and enterprise architecture
capability including ownersh ip of the transformation agenda;
•
Corporate Integrity and Assurance: provides independent advice and
assurance on the integrity of the tax system matters and Inland Revenue
governance. The group manages corporate legal, procurement, and risk and
assurance services, and has involvement in the Christchurch rebu ild;
•
Pe rformance, Facilities and Finance: provides financia l, accounting, planning
and reporting services, and manages I nland Revenue's property and facilities;
•
Infor m ation, Intelligence and Communications : manages and integrates
Inland Revenue's corporate and customer information, research , evaluation and
intelligence, and a range of communications and stakeholder services;
•
Office of the Chief Tax Counsel {OCTC): provides technical advice and services
on the correct interpretation and application of taxation law through public and
taxpay er rulings, disputes resolution, and escalations and advice ;
•
People and Culture: provides HR advice, tools and resources to build leadersh ip,
help shape organ isational culture, and ensure Inland Revenue has the right
people with the right skills in the right jobs ;
•
Policy and Strategy: is responsible for developing tax and related policy,
forecasting and analysis, strategic planning and drafting tax law;
•
Se rvice De live ry: manages services that collect revenue, disburse payments and
provide information to customers. Service Delivery works with customers and
other organisations to make compliance easy and give New Zealanders confidence
that people pay and receive the right amount; and
•
Technology Strategy and Operations: leads Inland Revenue's I nformation and
Commun ication Technology (ICT) strategy and provides I CT operations and
services to support business performance.
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5.3 Customers and channels
Inland Revenue provides services to three broad customer groups:
•
Individuals and Families: all individuals who are not registered to pay GST or
PAVE (as an employer) . Families include customers who have Working for Families
entitlements and child support entitlements and/or obligations;
•
Business Customers: includes small and medium enterprises (individuals and
entities who are registered for GST and/or PAVE); large enterprises (including all
non-individual entities with turnover exceeding $100 million (NZD)); and not-forprofit enterprises (includes all entit ies exempt from income tax and not belongi ng
to large enterprises); and
•
Third Parties: organisations I nland Revenue works with to enable customers to
receive entitlements and meet their obligations. This may include organisations
that interact with a customer on behalf of Inland Revenue, interact with Inland
Revenue on behalf of a customer, or interact with the customer and may influence
the compliance of the customer. Third parties also include organisations I nland
Revenue supports to meet external regulations.
New Zealanders access I nland Revenue services through a wide range of channels
including internet, email, face-to-face, fax, paper, telephone, employer, and via third
parties. The internet is the most widely used channel, but a considerable volume of
paper is still required for filing returns and correspondence. Inland Revenue's preference
is to use digital channels to improve services for New Zealanders.
5.4 Application and technology environment
I nland Revenue operates a mixed information technology model, combining internally
owned and supported services with managed services and leasing via third-party
providers.
The current key applications and technology infrastructure comprise:
•
approximately, 1,920 'back-end infrastructure' assets;
•
Oracle/Linux environment (Server OS, RDBMS, Data Warehouse, Middleware and
I ntegration);
•
decentralised location, management and operation of infrastructu re ;
•
over 7,000 desktop clients used by staff for access to I nland Revenue's systems;
•
core legacy based mainfra me environment (U nisys COBOL 74/ALGOL./UNC);
•
SAP corporate back-end environ ment (ERP ECC 6, PSCD, Finance, HR, Portal,
Business Warehouse);
•
Oracle/ Siebel ( Public Sector Suite); and
•
IBM (Document Manager, Workflow and Xpress Client).
The current technology infrastructure has evolved over time in response to business
needs, organisational priorities and project delivery timeframes. For additional
information on Inland Revenue's technology infrastructure and conceptual application
architectu re refer to Append ix A and Appendix B respectively.
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Part C:
Transformation
Programme
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6. Transformation background
In May 2008 , Inland Revenue commenced work to stabilise its ageing technology
platform , FIRST. Through this work, it became clear that Inland Revenue did not have
the right operating model or capabilities required to deliver effective services in the
future.
Inland Revenue's Execut ive Board agreed there was a compell ing case for change and a
transformation agenda was subsequently initiated . To date, Inland Revenue has
completed work across the first two phases of the Transformation Programme and work
is currently underway to ach ieve the objectives of a ' Mobilisation' phase .
.
.
Inland Revenue's
current position
Figure 1 : Transformation Programme phases
A summary of each phase is provided below, including the key milestones achieved.
Phase
Key activities and milestones
Con cept:
The Concept phase achieved the following objectives:
This phase focused on
determ ining what and
how In land Revenue
needed to change to
effectively meet current
demands and future
requ irements.
defined the problem and developed a high-level transformation
concept;
established a Transformation Programme Business Unit and
appointed a Deputy Commissioner to drive transformation plann ing;
explored what a transformed In land Revenue m ight look like and
possible pathways to ach ieve this fu t ure state. This work formed the
basis of a new strategic document, IR for the Future, w hich was
launched in March 2011;
engaged an external consultancy (Capgemini was engaged from
December 2011 to March 2013) to provide the expertise and
additiona l capacity required to assist with transformation plann ing
and definition; and
developed a baseline v ision and a delivery plan for a Programme
Business Case (completed in January 2012) .
Scope:
Th is phase focused on
delivering the scope of
the Transformation
Programme .
The Scope phase achieved the following objectives:
a current-state assessment was undertaken and a Target Operating
Model (TOM) was developed in collaboration with Capgemini ( in May
2012);
commenced work on the Programme Business Case. This involved
Treasury's " Better Business Cases" processes and independent
quality assurance (IQA) processes;
presented the Programme Business Case to Ministers and obtained
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Phase
Key activities and milestones
Cabinet agreement on the strategic direction;
developed a set of customer personas and scenarios to illustrate the
desired improvements to customer experiences across segments,
channels, products and services; and
commenced work to identify a service provider(s). This included the
engagement of Ernst & Young to develop a sourcing strategy and
procurement plan.
Mobilisation :
This phase Is focused on
supporting key
components of the
Transformation
Programme that require
mobilisation prior to the
delivery phase.
The Mobilisation phase is designed to deliver the following objectives:
agree the preferred option for the delivery of the Transformat ion
Programme in terms of the overall roadmap, scope, costs, benefits,
t iming and risks;
engage a service provider(s) to deliver Inland Revenue with the
detailed design of the first stage of the Transformation Programme
and validation of remaining stages ;
obtain all agreements, including Detailed Business Case funding and
contract approvals for Inland Revenue to engage a service
provider( s);
define the overall road map for the Transformation Programme and
other initiatives that Inland Revenue will undertake to deliver IR for
the Future; and
prepare Inland Revenue to manage and govern ongoing delivery of
the Transformation Programme.
Deliver:
This phase is focused on
provid ing In land Revenue
w ith the ability to
operate, as per the TOM,
through the
implementation of a set
of init iatives.
The Deliver phase will achieve the following key activities:
implement a governance model to enable oversight of the service
provider(s), design and the Programme;
onboard and manage the service provider(s) through the
established governance mechanism;
init iate and execute the functions necessary to deliver the
transformation;
segment the transformation into projects in accordance with the
proposed delivery model;
commence high-level monitoring of project progress to ensure the
delivery of outputs to plan ; and
commence solution and delivery of the t ransformation objectives.
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7. Target Operating Model
The Transformation Programme involves systematic and comprehensive transformation
of Inland Revenue's operating model (involving people, processes, policy and platforms) .
The Target Operating Model (TOM) defines Inland Revenue's 'target state', as shown
below. Refer to Attachment 3 for additional information on the TOM.
Support
'System'
Figure 2 : Target Operating Model {TOM)
7.1 What will be transformed?
The TOM describes a transformed Inland Revenue that will result in:
•
a s implified and flexible organisation stripping out duplication and
complexity;
•
an agile way of working that will result in a faster time to market for
Government policy and reduced cost of change;
•
significantly improved core ' collection' and ' disbursement' functions that
w ill result in greater revenue collection and which can be leveraged across
Government;
•
a new way of working across agencies, including:
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•
•
•
sharing and coordination, across database systems, of trusted data to
improve productivity, accuracy, detection of fraud and forecasting;
•
breaking down traditional agency boundaries to enable cross Government
and third party distributed delivery of services; and
•
provision of ' expert services' to support cross Government risk and fraud
analysis.
t ra nsf o rming productivity through:
•
greater use of third party capability;
•
greater use of digital channels which may also significantly reduce costs;
•
increasing the agility of the business to use 'better practice' through
people, processes, policy and platforms;
•
the reduction of paper inside I nland Revenue; and
•
managing resources proactively to cope with demand peaks and troughs .
improve d inte raction of citizens and businesses with Inla nd Rev e nue
through:
•
the use of digital channels to improve access to real-time information,
provide greater certainty to customers, and make it easier for customers
to interact with Inland Revenue;
•
working towards enabling a single view for a customer across multiple
agencies; and
•
developing of current and future state customer personas and scenarios to
describe the desired future state customer experience across customer
segments, channels, products and services. Refer to Attachment 4 for
more deta ils.
7.2 How will Inland Revenue transform?
Inland Revenue's transformation will be separated into stages and delivered over a
number of years, subject to specific Government approval at various stages. To reduce
the risks of a large-scale transformation programme, each stage will consist of a number
of smaller, discrete initiatives. Multiple reviews will also be performed across initiatives
and stages with access to on and off- ramps where appropriate.
The scope and timing of the transformation will evolve over time and w ill be subject to
ongoing Ministerial approval. As the Programme develops and evolves I nland Revenue
expects the precise nature and need for support from service providers will also evolve
and change.
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7.3 What are the outcomes of the Transformation Programme?
I nland Revenue will be looking to work wit h a service provider(s) to deliver the expected
outcomes of t he Transformation Programme. Figu re 3 provides an overview of t hese key
outcomes.
Enabling secure digital services
Advance channel strat egy work including redesigning website and
continuing development of customer tools with customers
Encourage customers to self manage and use digital channels
Improve the collection of GST and PAVE in formation from business
• Deploy services required to streamline PAVE, e.g. validation
checks
Develop integrated intelligence and interven tions for PAVE
Key Outcomes:
Compliance burden to fulfill Income and business taxes obligations
is further reduced
Less processing and fewer customer contacts surrounding income
and business taxes
Compliance assurance activities are Intelligence-led
• Increased reliability and flexibility (including policy agility) for
Income and business taxes
Streamline inco me & business t ax processes
i • Design of streamlined Income and business tax processes with
stakeholders
Proof of concepts and/or pilots to test key design concepts
, • Acquire/build additional services required to support Income and
business taxes
• Transition Income and business taxes to the future state
Key Outcomes:
Social policy processes are digital and streamlined
• Less processing and f ewer customer contacts surrounding soda!
policy
Enforcement activities are more focused and require fewer
resources
• Increased reliability and flexibility (Including policy agility) for
social policy products
Streamline social policy delivery
• Design of streamlined socjal oolicy deliyerv with stakeholders
• Proof of concepts and/or pilots to test key design concepts
Acquire/build additional services required to support social policy
delivery
Transition social policies to the future state
Complete delivery of the future Revenue System
' •
Key Outcomes:
The majortty of customers self-manage and use digital services
Digital border established
Businesses' compliance burden to fulfil PAVE [and GST] obligations
Is reduced
Improved data accuracy and certainty of Income tax deduct ions
and social policy entitlements and obligations for individuals
Less processing and fewer customer contacts
Customers have confidence that their personal in formation is
secure
]
Design, with st akeholders, of remaining services to be t ranslt lone.d !
Proof of concepts and pilot to test key design concepts
1
Acquire/build additional services
i
_. _. --·---·---------_)
Transition to the future state
K ey Outcomes:
• Revenue system is flexible &. government has policy agility
Infrastructure supporting the revenue system is robust
•
Revenue system compliance Is higher
Inland Revenue is intelligence-led, leaner and more productive
• Increased lnteroperablllty with other agencies/thi rd parties 1
•
•
Figure 3: Transformation Programme outcomes
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8. Programme delivery approach
The proposed Programme delivery approach aims to provide the necessary operating
guidelines, governance, arch itecture and business design inputs to define the
T ransformation Programme . During the procurement process, Inland Revenue will work
with potential service providers to further refine the approach to delivering the
Programme .
Programme Delivery Model
T he Programme Delivery Model comprises a number of interrelat ed delivery functions
necessary t o deliver a business transformation . Each delivery function is supported by
methods, tools and techniques. Please refer to section 9 {Scope of Services) for further
information on key aspects of the delivery model.
I
I
Ent erprise Architecture
I
I
I
Strategy
l
l
l
Governance and stage-ga ting
Programme management
)
Programme perfonnanoe monitoring and evaluat ion I Quality Assurance
l
Service provider- management
rlJB•Iroi'ZlJi'l
Ta111et Operating
Model a nd
Enterpri,se
)
Delivery management
Arc::bitectu re
Bu siness
Design
Framework
Definition
) System design }
I
I
I
Configure/
Migrate
}
Test
}
Verify
Integration management
Ted10ical infrastructure and environment management
Organisational change and engagement
}
Implement
}
Support/
Warranty
\
l
l
l
Figure 4: Prog ramme Delivery Model
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Part D:
Scope of services
9. Scope of services
The scope of this EOI includes a range of potential work that is required to support the
Transformation Programme. The purpose of this document is to seek expressions of
interest from service providers with the capability, capacity and experience in relation to
that range of work.
Su itably experienced and qualified service providers are invited to respond to this EOI ,
from which Inland Revenue intends to invite a shortlist of potential service providers to
participate in a Competitive Dialogue stage, as described in section 10.4 (Inland
Revenue's procurement process).
At the conclusion of the procurement process, Inland Revenue intends to engage a
service provider(s) to deliver the detailed design of the first stage of the Transformat ion
Programme and validation of remaining stages. The detai ls regarding the scope of the
first stage will be provided in later stages of the procurement process.
For future work, Inland Revenue may choose to engage further the selected service
provider(s), approach the market, or use another appropriate procurement process to
select a service provider(s) .
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The table below lists the key transformation capabil ity areas required of the service
providers.
Key transformation capability areas
Legacy migration
Master data management
Revenue collections
Receipting
B2B integration
Security strategy
Customer relationsh ip management
Knowledge management
Information management
Case management
Information sharing
Channel strategy
Document and records management
Leveraging organisational services
Product design
Identity management
Policy delivery
Online presence and usability
Service orientated architecture
Correspondence generation
Business process re-engineering
Continuous improvement
Business intelligence and analytics
Scalable infrastructure
Business activity monitoring
Business rules management
Workflow
Performance management
Campa ign management
Organ isational change management
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In delivering the transformation capability areas listed abov e, Inland Revenue may
require a service provider( s) to perform, or assist in performing, some of the delivery
roles outlined in the table below .
Delivery role
Example activities
Strategy
The strategy function provides the direction that In land
Revenue w ill pursue, and outlines the steps to ach ieve its
business goals in support of the stated business m ission .
Target operating model (TOM)
and enterprise architecture
framework defin it ions
The TOM defines the future state capabilities across policy,
processes, people, and platforms that are required to
deliver on IR for the Future.
The enterprise architecture framework defin itions function
provides the frameworks, methods, principles and
standards which are used to define the architecture and
common business, information and system services for
In land Revenue.
The enterprise architecture framework definitions are based
on The Open Group Architecture Framework v9 (TOGAF9),
supplemented by the Integrated Arch itecture Content
Framework, and use Arch imate as the modelling notation
and SPARX-EA as the modelling tool and repository.
Governance
The governance function provides the model, structure,
process and involvement required of governance groups
across the stages of the delivery programme .
Enterprise architecture
The enterprise architecture function provides the organ ising
logic for and definition of the business and information
services and systems that reflect and realise the TOM .
Enterprise arch itecture includes the development of the
content for the common services models for business,
information, information systems, technology infrastructure
and security at the conceptual and logical levels of the
architectu re framework, and the cor responding solution and
integration architectures that realise these services.
Programme management
The Programme management function provides a
framework for Inland Revenue to manage multiple related
projects concurrently.
The Programme management framework is implemented
through the Programme Management Office whose primary
focus is to manage the scope, schedule, resources, quality,
change management, performance, i ntegration, finance and
governance of the Programme .
Programme performance
monitoring and evaluation
The Programme performance monitoring and evaluation
function will measure performance in the Programme. It will
function over the life of the Programme and measure the
Programme performance and intended benefits.
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Delivery role
Example activities
Service provider management
The service provider management function will manage the
service provider( s) over the life of the Programme and
outlines the core integration with supporting/related
business functions including procurement and the business
as usua l {BAU) commercial team.
Business design
The business design function focuses on defining Inland
Revenue's business process, design, and requirements
management. It covers the comp letion of personas,
scenarios, process maps and supporting business
requ irements. The outputs from the function w ill enable the
articulation of business requirements so that t hey are
solution agnostic. The ha nd-over of execution
responsibilities is between the business design and systems
design components.
Delivery - Delivery
management
The delivery management function articulates the approach
applied to the delivery of the initiatives.
Delivery - Systems design
The system design function translates the high level
business requirements and solution architecture inputs into
detailed requirements and specifications of a system so that
it is fit for purpose.
Delivery - Configure/migrate
The configure function refers to building and/ or
configuration of new services, processes, solutions and
capabilit ies related to a specified scope when a particular
part of the Programme is being delivered.
The migrate function refers to the transition of existing
services, processes, FIRST system resources (logic and
data) and updating the operating model of In land Revenue.
Delivery - Test
The test function proposes several test cycles to confirm
t he system has been built correctly as per the business,
functional and techn ica l requirements defined in the system
and techn ica l design.
Delivery - Verify
The verify function allows the evaluation of a system in
terms of its fitness for use as part of the operating model of
Inland Revenue. It includes acceptance testing, load
testing, security testing and non- functional testing of the
system developed.
Delivery - Implement
The implement function executes the activities necessary to
deploy the newly built and tested service platform and
modified legacy systems into production.
Delivery - Hand-over/ business
acceptance
The hand-over/ business acceptance function involves the
formal handover of the system from the service provider(s)
to Inland Revenue business.
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Delivery role
Example activities
Delivery - Support/ warranty
The support/ warranty function is support provided by the
service provider(s) and/ or Inland Revenue's internal IT
resources which monitor the system and provide technica l
and functional support to enable smooth ongoing
operations.
Integration management
Integration management p rovides the end-to-end
alignment of all project delivery stages to the TOM,
intended outcomes and the overall enterprise arch itecture
and business design. The function removes siloed delivery
and focuses on outcome-based delivery.
Technical infrastructu re,
security and environment
management
Techn ical infrastructu re, secu rity and environment
management function provides the design, setup, data
privacy and ongoing ma intenance of the technical
environment across Inland Revenue and the new service
p latform.
Organ isational change
management and engagement
The organisational change management and engagement
function defines the framework fo r stakeholder
management, communications and engagement ( including
a compelling case for change), determining change impacts
and business readiness to implement the change, and
developing robust change plans includ ing people transition,
tra ining and culture change.
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PartE:
EOI process
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10. Procurement process
10.1 New Zealand Government Procurement
New Zealand Government procurement is based on principles the Government Rules of
Sourcing and good practice gu idance. Collectively these provide a broad framework that
supports accountability, sound practice and successful procurement outcomes. This
framework is designed to attract creative and talented commercial service providers to
deliver innovative and effective solutions, and to provide the best value for New
Zealanders. See www .procurement.govt.nz for more details.
By encou rag ing productive engagement with businesses through smart procurement, the
Government aims to become more competitive in international markets and support
national econom ic growth.
10.2 Inland Revenue procurement standards and probity protocols
Inland Revenue has appointed an independent Probity Auditor (Audit New Zealand) to
formally audit each stage of the procurement process.
For each stage of the procurement process careful consideration will be given to any
specific probity protocols with a view to providing a fair and level ' playing field' for all
service providers. For more detailed information about procurement processes at I nland
Revenue visit www.ird.qovt.nz/ procurement which has been specifically designed for
service providers interested in supplying Inland Revenue.
This website also provides information on Inland Revenue's supplier feedback process,
which is a service managed by Inland Revenue. It provides an avenue for Participants to
provide feedback regarding any issues related to the procurement process.
10.3 Previous engagements
Inland Revenue has received assistance from severa l externa l service providers du ring
the plann ing stages of the Transformation Programme, including Capgemini and Ernst &
Young. When considering whether any past or existing service provider may participate
in further procurements relating to the Transformation Programme, I nland Revenue w ill
assess the scope of the service provider's prior engagement.
Where Inland Revenue considers that any advantage, or perceived advantage, a service
provider may have obtained by virtue of their prior engagement has been appropriately
mitigated, Inland Revenue may permit the service provider to participate in future
procurements relating to the Transformation Programme. This will depend on the service
provider complying with Inland Revenue's probity requ irements, which may d iffer
depending on particular circumstances.
Inland Revenue has made a decision not to exclude Capgemini from participating in any
future stages of the Transformation Programme, incl uding any procurement process for
the provision of transformation services, subject to any applicable probity requirements
being met.
Inland Revenue is aware that Capgem ini's involvement in the Concept and Scope phases
of the Transformation Programme may give rise to a perception that they have an
advantage in further procurement relating to the Programme. This EOI document and
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the supporting information provided have been developed with these considerations in
mind. Ernst & Young were engaged on the understanding that the services required to
develop the procurement approach for the Transformation Programme would exclude
them from participating in the procurement process.
10.4 Inland Revenue's procurement process
Objectives
Inland Revenue is conducting a four-stage procurement process to identify a service
provider(s) to assist with the Transformation Prog ramme. The objectives of the
procu rement process are to :
•
seek expressions of interest from service providers w ith the capability, capacity
and experience to support delivery of the Transformation Programme;
•
achieve high-quality of delivery by ensuring that contract(s) is/are awarded to a
service provider(s) who can meet the requirements specified by I nland Revenue
(section 12 Statement of requirements) in line with quality expectations;
•
achieve a cost-effective outcom e by agreeing commercial arrangements with a
service provider(s) that appropriately addresses scope, quality, time, cost,
benefits and risk; and
•
engage a service provider(s) to deliver the detai led design of the first stage of the
Transformation Programme and validation of remaining stages.
Procurement s t ag es and timeframes
Timelines for the four stages of the procurement process are provided in the table below.
Participants should note that these timeframes are indicative only and as such, may be
subject to change by Inland Revenue :
Procurement stage
Estimated duration
Expression of Interest
October - December 2013
Competit ive Dialogue
January - Ma rch 2014
Request for Proposals
Apr il -June 20 14
Negotiation
June -July 2014
Expression of Inte re st {EOI):
The EOI stage aims to identify service providers with the capability, capacity and
experience in relation to the range of work required to support the staged delivery of the
Transformation Programme. The expected outcome of the EOI stage is a shortlist of
service providers to be invited to participate in the Competitive Dialogue stage.
Compe titive Dialo gue {CD): CD is a process recommended by the Ministry of
Business, Innovation and Employment for use in complex procurements. During CD,
I nland Revenue may engage in discussions with the shortlisted service providers on
proposed approaches and contractual documents, prior to a Request for Proposa l stage .
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Through CD, Inland Revenue aims to:
•
collaborate with a shortlist of service providers to create a shared vision and
common understanding of proposed approaches;
•
refine the scope and requirements of the Transformation Programme and assess
feasibi lity and alignment with the Programme's objectives;
•
develop and agree in principle a commercial framework, including indicative costs
and associated contractual documents; and
•
examine cu ltural f it and the suitability of shortlisted service providers to enter into
a relat ionsh ip with I nland Revenue.
T he CD process m ay include a series of briefing sessions, interviews and service provider
presentations covering key aspects of the Programme and proposed contractual
documents. I nland Revenue may also conduct site visits to the premises of service
providers or nom inated client reference sites.
Inland Revenue intends to send an invitation to t he shortlisted service providers from the
EOI stage to participate in the CD stage on 20 Decembe r 2013 . CD will commence in
m id-January 20 14 and is intended to run until the end of March 2014 . Service providers
who accept an invitation to the CD stage may be required to :
•
mobilise key personnel or teams to participate in the CD process;
•
engage in discussions on technical, commercial and legal aspects;
•
prepare and present relevant information during the CD process;
•
make available information requested by Inland Revenue for the purposes of the
CD stage incl uding additional referee detai ls; and
•
agree to terms and conditions for the CD stage.
Re quest for Proposal {RFP}: During the RFP stage, Inland Revenue intends to formally
request proposa ls from shortlisted service providers and ask that they outline their
proposa ls in terms of scope, quality, t ime, cost, benefits, and risks, and on the terms of
contractual documents developed in t he CD stage .
The expected outcome of the RFP stage is to identify a service provider(s) to progress to
the Negotiation stage.
N egotiation: In th is stage, Inland Revenue will seek to reach a final agreement on
contractual terms, conditions and specifications with a service provider(s) identified in
the RFP stage. Actual contract execution will be subject to necessary approvals, including
at t he Ministerial level. It will only be following any contract execution that Inland
Revenue is bound (on the terms of the agreement) to a service provider(s).
Set out in Appendix C are some minimum contract terms which I nland Revenue will be
reflecting in any agreement it enters into with any service providers in relation to the
Transformation Programme. Appendix C does not contain an exhaustive list, and the
wording in Appendix C does not represent the actual contract wording.
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11. Expression of Interest process
This section provides Participants with details of the EOI process including instructions
for responding to this EOI, submission and evaluation of responses, and notification of
outcomes. It also includes information regarding indicative timeframes and
communication protocols.
The table below outl ines the timeline for the EOI process. Participants should note that
these timeframes are indicative only and as such, may be subject to change by Inland
Revenue.
I
Activity
Date
Rele<!lse this EOI document
3 Oct 20 13
Closing di!!te for questions/clarification
1 Nov 2013
EOI response closing date
13 Nov 2013
Evaluation of EOI responses
14 Nov 2013 - 20 Dec 2013
Participants notified of out come
20 Dec 2013
Debriefs (where requested) for unsuccessfu l Participants
From 13 Jan 2014
11.1 Responding to this EOI
Communication with Inland Revenue
All enquiries regarding this EOI must be directed in writing via email to Rob Sansom
('Contact Officer') at [email protected] with " Re: 2013050 Business Transformation
Services" in the subject line of the email.
Any request for additional inform ation, clarifications or questions in relation to t his EOI
must be subm itted to the Contact Officer no later than 4pm (NZDT) 1 Nove mber
2013 . All communications in relation to th is EOI are subject to the terms and conditions
of th is EOI referred to in section 14 .
Communication regarding this EOI will only be accepted in writing v ia email to the above
address. Any Partici pant breaching this requirement may be excluded from this EOI
process and future stages of the procurement process.
Where appropriate in Inland Revenue's opin ion, requests for clarification, along with any
response given, may be shared on the Government Electronic Tenders Service (GETS)
website www.gets.govt.nz
EOI Rules
By submitting a response to this EOI Participants will be deemed to have accepted the
EOI Rules (as defined in clause 1 section 14) . The EOI Rules will apply to, and
throughout, this EOI.
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11.2 Submission of responses
Responses must be submitted via email to [email protected] no later than 4pm
(NZDT) 13 November 2013 . Inland Revenue reserves the right, in its sole discretion,
to either consider or reject late responses.
I n subm itting a response, Participants must adhere to the following general instructions:
•
all EOI response documents m ust quote the Inland Revenue reference for t his EOI
" 20 13050 EOI Business Transformation Services" ;
•
responses m ust be subm itted in accordance with sections 11 .1 (Responding to
th is EOI), this section 11.2 (Submission of responses) and section 14 (Term s and
conditions of this EOI);
•
responses m ust address all of the requirem ents listed in section 12 (Statement of
requ irements). Responses should clearly reference t he relevant requ irement
number (e.g. "KR-1.1");
•
when providing a response, Participants must clearly state all assumptions m ade
in their response, what t hose assumptions are in relation to, and any potential
impact of t hose assumptions;
•
responses including all appendices and attachments should be provided in PDF fi le
format;
•
responses greater than lOMB in size should be broken into sequentially numbered
emails of l OMB or less;
•
responses should be dear and concise and must not include sales or marketing
literature which is general in nature; and
•
as a guide, Participants shou ld seek to li mit responses to each individual key
requirement (i.e . KR- 1. 1 to KR- 5.5) to one single sided A4 page. Note that
questions KR-2.9a- KR- 2 .9i are considered separate requirements.
When providing references, Participants are asked to on ly provide details of referees with
availabi lity for reference checks between the periods of 4 - 10 December 20 13 .
Inland Reven ue intends to send an email confirmation to Participants acknowledging
their response. I f Participants do not receive an acknowledgement, it is their sole
responsibility to seek confirmation t hat I nland Revenue received their response .
Formatting r equirements for EOI responses
Responses submitted to this EOI must include the items listed below in the order
prescribed. Responses that deviate from this structure and/ or do not include any of the
items listed below may not be considered.
II Items
1
Cover letter (optional)
2
Executive summary ( optional)
3
Organisat ion Information requirements
Completed rate card
Section 12 . 1
Attachment 1, Schedule 1
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4
Compliance requirements
Section 12.2
Completed Tax Check Form(s)
Attachment 2
5
Minimum capability and experience requirements
Section 12.3
6
Key requirements
Section 12.4
Completed curriculum vitae for key
personnel proposed for lead roles
Attachment 1, Schedule 2
Completed risk assessment
Attachment 1, Schedule 3
Please note that Inland Revenue w ill treat the 'soft copy' of the response as the publ ic
record for the purposes of the Publ ic Records Act 2005.
11.3 Consortium responses
If Inland Revenue were to select a consortium as a service provider, Inland Revenue's
expectation is that it would contract with one legal entity ( which is of substance)
representing the consortium. Any consortium submitting an EOI response should note
that Inland Revenue is seeking information an d responses in respect of one or more of
the following elements of a consortium ( as applicable and appropriate):
•
the legal entity representing the consortium for the purposes of this EOI
("Consortium Representative") ;
•
the organ isations making up the consortium ( each a " Consortium Member") ;
•
the consortium as a group comprising the sum of its Consortium Members
("Consortium ") ; and
•
the legal entity that the Consortium proposes wou ld contract with Inland Revenue
on behalf of the Consortium ("Consortium Entity" ).
11.4 Evaluation of responses
The evaluation process consists of two steps. The first step assesses the organisation
information requirements (section 12.1), compl iance requ irements (section 12. 2), and
min imum capability and experience requ irement (section 12.3).
Responses must meet these requirements to Inland Revenue's satisfaction in order to
progress to the second step of the evaluation process. The second step of the evaluation
process involves scoring responses against set evaluation criteria in respect of the key
requirements (section 12.4) .
The table below summarises the statement of requirements for this EOI, and gives an
indication of how information provided by Participants for each of the requirements will
be assessed during the evaluation process.
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Section
Requirement
Assessment of response
Evaluation process - step 1
Organisation
information
requirements
(section 12.1 }
01-1: Organisation details
01-2: Primary contact details
Not scored but noted: Full and current
organisation details must be supplied.
01-3: Consortia
01-4 : I nsurance
01-5: Rate card
01-6: Subcontractors
Compliance
requirements
(section 12.2}
CR-1: Declaration
CR-2: Financials
Not scored but must be to IR's
satisfaction : The information provided in
this section will be used to gain
understanding of the operational stability
and suitability of the service providers .
Minimum
capability and
experience
requirement
(section 12.3}
MC-1: Transformation programme
experience and innovation
Pass/ Fail : Service providers must meet
these minimum requirements. Failure to
do so will exclude their response from
being further evaluated.
Evaluation process- step 2
Key
requirements
(section 12.4 }
KR-1: Transformation capability
KR-2: Transformation programme
experience and in novation
Evaluated : These requirements will be
eva luated accord ing to specific criteria
outlined in section 12.4.
KR-3: Organisational skills,
expertise and innovation
KR-4: Key personnel
KR-5: Additional considerations
Inland Revenue reserves t he right n ot t o consider a response, or take a response forward
to the second step of the evaluation process, if in relation to the first step:
•
the information requested in the statement of requirements sections is not
provided or is, in I nland Revenue's opinion , incomplete or inaccurate; and/ or
•
having reviewed the information provided in response to the organisation
information requirements and the compl iance requ irements sections, I nland
Revenue determines ( in its sol e discretion) that it would not be suitable or
appropriate to further consider th e Participant as a potential service provider .
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Inland Revenue will not take a response forward to the second step of the evaluation
process if a Participant's response is ' no' to the minimum capability and experience
requirement.
11.5 Notification of Outcome
Inland Revenue currently intends to advise each Participant of the outcome of its
response via email on 20 December 2013 .
Successful Participants will be formally invited to partici pate in the Competitive Dialogue
stage and will be provided with a pack of information that wi ll provide an overview of the
approach, activities and t im ing.
For unsuccessful Participants the notification of outcome will include instructions on how
debriefs may be arranged. Debriefs may be in the form of an email, phone call or
meeting depending on the circumstances and available resources.
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Part F:
Statement of
requirements
\ .....
~
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12. Statement of requirements
Inland Revenue's Transformation Programme is a large and complex journey that will run
across a number of stages over several years. This section details the requirements that
Participants must address when submitting a response to this EOI.
Section
Assessment of response
Evaluation process - step 1
Organisation information requirement s (section 12.1)
Not scored but noted
Com pliance requirements ( sect ion 12.2)
Not scored but must be to
IR' s satisfaction
Minimum capability and exper ience requ irement (section 12.3)
Pass/ Fail
Evaluation process - step 2
Key requirements (section 12.4)
Evaluated
Evaluation criteria for the key requirements, including weightings, are provided in
section 13 ( Evaluation criteria) to assist Participa nts in developing their response .
Through addressing the requ irements, Participants will need to demonstrate their
understanding of, and their capability, capacity and experience to support the staged
delivery of the Transformation Programme.
Only responses that are taken past t he first step will be evaluated and scored against t he
evaluation criteria, outlined in section 13 ( Evaluation criteria).
If any information requested in section 12 .1 is not directly applicable to a Participant , t he
Partici pant shou ld either provide equiva lent information wh ich is applica ble to their
individual circumstances, or provide a br ief explanation as to why t he information
requested is not applicable.
Participants must also ensure t hat any inf ormation provided in their response, in relation
to sections 12. 1- 12.4, is current, complete and accurate.
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12.1 01: Organisation information requirements
Participants m ust respond to the ' Organisation information requirements' detailed below.
Description
01-1.1
Organisation details
Each response must include the following details regarding the organisation:
a.
full legal name of the organisation;
b.
t rading name of the organisation (if different from 'a');
c.
registered New Zealand GST number (if applicable);
d.
full street address of the main place of business In New Zealand (or overseas if
the organisation does not have a place of business In New Zealand);
e.
full postal address (if different from 'd');
f.
registered office {if different from ' d'); and
g . provide an overview of your organisation Including ; current size and presence
in New Zealand, Australia and globally; and, the number of employees for each
of these locations.
A Consortium should provide the above details in respect of the Consortium
Representative, the Consortium Entity and each Consortium Member, with each being
identified as either the Consortium Representative, Consortium Entity or a Consortium
Member.
01-1.2
Primary contact details
Each response should specify a ' primary contact', being an individua l (or ind ividua ls)
who holds the authority with in the organisation to negotiate contractua l terms without
further reference to others in the organisation (or Consortium). Details shou ld include:
a.
full name;
b.
title;
c.
office phone number;
d.
mobile phone number; and
e.
email address.
A Consortium should provide the above details in respect of the Consortium
Representative.
01-1.3
Consortia
Where a Consortium response is submitted, the following additional information must
be included in the response :
a. the legal relationship between all Consortium Members (including any proposed
lega l relationships which have not yet been established);
b. the actual or proposed legal name of the Consortium Entity that may enter into
any contract with Inland Revenue; and
c.
the Consortium Members past experience working together.
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Description
01-1.4
Insurance
Each response should provide deta ils of any insurance held and amount of cover,
including Public Liability, Professional Indemnity and Property Damage .
A Consortium should provide the above details in respect of the Consortium Entity and
each Consortium Member.
01-1.5
Rate card
Each respon se should include standard daily rates (NZ$ and exclusive of GST) by
completing Attachment 1 -Schedule 1.
A Consortium should provide the above details In respect of the Consortium Entity.
Note that the rate card is for information purposes only and will not be evaluated.
01-1.6
Subcontractors
Where known at the t ime of responding to this EOI, provide the fu ll legal name of any
subcontractors that you may use, or w hich you propose t o use, on the Transformation
Programme.
A Consortium should provide the above details in respect of the Consortium Entity.
12.2 CR: Compliance requirements
Participant s m ust respond t o t he ' Compliance requ irement s' detailed below.
Description
CR-1 .1
Declarations
Confirm whether or not any of the following apply to your company/ organisation, or
any of Its directors (or equivalent), any of its senior officers (e.g . CFO) and any key
personnel proposed in response to KR-4.3 in section 12.4 below, and if any do apply,
please provide full details:
a.
a state of bankruptcy, insolvency, administration, statutory management,
liquidation, winding up, or receivership, or similar Insolvency process;
b.
is/ are subject to legal proceedings, or any government or regulatory
investigation or inquiry;
c.
has been convicted of a criminal offence related to business or professional
conduct; or
d.
has outstanding ta x obligations, including obligations related to the payment of
taxes (Participants are required to complete an IR822 Tax-check form (see
Attachment 2))
A Consortium should prov ide the above details (including the Tax-check form IR822)
In respect of the Consortium Representative, Consortium Entity and each Consortium
Member with each being identified as either the Consortium Representative,
Consortium Entity or a Consortium Member.
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Description
CR-1.2
Financials
Provide an overvi ew of you r organisation's financials for the past three years ( or if the
organisation has operated for less than three years, an o verview of the organisation 's
financials for such period as the organisation has been operating ). Include company
revenue and company net income for New Zealand, Au stralia and global operations .
A Consortium should provide the above detail in respect of Consortium Representative,
Consortium Entity and each Consortium Member with each being identified as either
the Consortium Representative, Consortium Entity or a Consortium Member.
12.3 MC: Minimum capability and experience requirement
Participants must confirm whether they meet the mi nimum capability and experience
requirements listed below. Participants must also ensure t hat the minim um capabi lity
and experience requ irement s are demonstrated in their response t o section 12.4 Key
requirement s .
Description
MC-1
Transformation programme experience and innovation
Confirm (Yes/No) that your organisation has:
Led or m anaged the overall design and i mplem entation of a $100 million (NZD) or
greater, excluding any applicable ta xes, m ajor t ransformation prog ramm e for a
national-level tax organisation (includ in g distributions and payments); AfiJl
Led or managed the overall design and implementation for delivery of a
transformation programme for national-level social policy e.g . child support,
student loans .
For a Consortium, the minimum capability and experience requirements must be met
by either or both the Consortium Entity and/ or a Consortium Member.
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12.4 KR: Key requirements
Responses taken past the first step will be evaluated and scored against the key
requirements evaluation criteria outlined throughout this section, and summarised in
section 13 ( Evaluation criteria) .
Where a consortium is respond ing to the key requirements below, and unless otherwise
indicated, the relevant experience, capability, description or other information shou ld be
provided in respect of the Consortium, but the response to each key requirement should
clearly identify the contribution of each Consortium Member. Refer to the definitions of
"Consortium " and "Consortium Member" in section 11.3 in this context.
KR-1: Transformation capability
The table below summarises the evaluation criteria for transformation capability
requirements.
Evaluation criteria
Transformation capability
Reference
Weighting
KR-1
30%
Demonstrated experience delivering services and solutions
across the transformation capability areas.
Demonstrated expertise, approache.s and insights in each of
the transformation capability areas.
Demonstrated methodology and experience in each of the
delivery roles ( as deta iled on pages 23-25 ).
Demonstrate your organisation's experience in the transformation capability areas by
addressing the requirements below . Participants should describe their relevant
experience, approaches and insights in delivering services and solutions across each of
the transformation capability areas and describe the delivery roles that were provided .
Participants must respond to the transformation capability requirements detailed below.
Requirement
KR-1.1
Legacy migration
Describe your organisation's experience undertaking a legacy platform migration and/or
modernisation. In your response, describe the approach taken during transition to
support platform co-existence.
Describe your organisation's experience performing application consolidation that
Involves rationalising and decommissioning of applications to remove system function
duplication promoting simplification and reuse.
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Requirement
KR-1.2
Revenue collections and disbursement
Describe your organisation's experience defining common business services and
processes to simplify the revenue collection and disbursement processes across
different products. In particular, make reference to any B2C or B2B system integration
used to streamline and make the transaction scalable and repeatable.
Describe your organisation's experience integrating a secure online payment facility into
an organ isation which enables customers to submit payment from various authoritative
financial sources (e.g. debit and credit card, EFT, PayPal, etc. ).
Descri be you r organisation's experience designing and implementing solutions that
improve the accuracy and t imeliness of revenue collection.
KR-1.3
828 integration
Describe you r organisat ion's experience designing and Implementing an online real-time
mechanism to enable communication w ith business partners. Specifically describe how
your design certified that the quality of information provid ed to the organisation was
valid before being provided to other areas of the business.
KR-1.4
Customer relationship management
Describe your organ isation's experience defining and developing a solution to create a
single customer view that can be utilised to understand the products, services and
transactions that they have with the organisation.
Describe your organisation's experience tailoring the user experience and services to
specific customer segments through customer engagement.
Describe your organisation's experience implementing a solution to facilitate the
definition, planning, execution, management and reporting of campaigns targeted at
various product and customer segments.
KR - 1.5
Information management
Describe your organisation's experience establishing an Information management
capability including the appropriate governance frameworks. The capability should have
enabled t he management of structured and unstructured Informat ion to support
searching of all informat ion across t he organisation. This will facilitate the
t ransformation of the organisation in to an intelligence-led enterprise.
KR-1.6
Information sharing
Describe your organisation's experience delivering a solution to provide access to
structured and unstructured information both within the organisation and to external
parties. In your response, make reference to how the solution supports both the
transactional and the intelligence needs of relevant parties while complying with the
security, confidentiality and privacy law requirements of the organisation.
KR-1.7
Document and records management
Describe your organisation's experience implementing a document and records
management capability that enables an organisation to manage its records
(classification, retrieval, retention and disposal ) throughout it s lifecycle. In your
response provide your relevant experience in adhering to Industry standards and
legislat ion ( such as the Public Records Act, Official Information Act, etc).
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Requirement
KR-1.8
Pr oduct d esign
Describe your organisation's experience analysing and implementing changes to
rationa lise and simplify financia l products from both a customer and internal
perspective.
KR-1.9
Policy delive ry
Describe your organisation's experience developing and implementing policy delivery
capabilities (system, process and people) that enables an organisation to assess the
proposed impact of a changed or new policy on both themselves and their customers.
In your response make reference to the methods adopted for Implementing and
assessing the effort of new policy change.
KR-1.10
Ser vice-orie ntated architecture
Describe your organisation's experience gu iding and assisting a client to move to
service-orientated architecture i.e. An organisation that leverages (provides and
consumes) a common set of business services across internal and external organisation
boundaries. This w ill include specific examples of how the Service Orientated
Architecture delivered on the reuse of the common services.
KR-1.1 1
Business process re-engineering
Describe your organisation's experience re-engineering business processes associated
with managing customer transactions including customer enquiries and the collection
and disbursement of money.
Describe your experience reducing process variation across business units to increase
and drive process standardisation .
Describe your organisation's experience performing analysis to identify core and noncore transactions in a revenue department.
KR-1.12
Business inte lligence and analytics
Describe you r organisation's experience delivering business intelligence and ana lytics
solutions, making specific reference to how the solution:
enables monitoring and measurement of product performance and support for
product/policy modifications;
is leveraged to support continuous improvement;
enables forecasting of demand peaks and t roughs to assist i n workforce
planning;
enables fraud analytics;
enables segmentation of customers based on internal and external data; and
enables data to be utilised to better understand and predict the behaviou r and
risk profile of customers (customer profiling) and business partners.
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Requirement
KR- 1.13
Business activity monitoring
Describe your organisation's experience implementing solutions to monitor and measure
operational performance across both internal and external service functions.
Describe your organisation's experience implementing solutions that leverage data
analytics to view the performance of all customer- facing services.
Describe your organisation's experience implementing solut ions that leverage and
Integrate analytics into an organisation's performance management framework to track,
report and manage internal performance against established service levels.
KR-1.1 4
Workflow
Describe you r organisation's experience implementing a workflow solution that manages
the lifecycle of mu lt iple revenue management processes and multiple products and
services.
Describe your organisation's experience in implementing skill based routing across
organisational boundaries (in the context of joined-up public services across different
agencies and integration with third parties).
KR-1.15
Master data management
Describe your organisation's approach to the management of enterprise wide master
data. In your response outline your approach to data governance, particularly in
relation to the management of data quality issues.
KR-1.16
Receipting
Describe your organisation's experience implementing a payment receipting solution to
facilitate the collection and allocation against multiple obligations.
KR- 1.17
Security strategy
Describe your organisation's experience defining the security and privacy strategy for
an organisation to understand security threats and motives and the appropriate risk
profile associated with orga nisational processes, systems and Information.
KR-1.18
Knowledge management
KR- 1.19
Describe you r organisation's experience delivering knowledge management solutions. I n
your response make reference to solutions that supply individuals w ith timely, context
sensitive and secure access to technical, procedural and customer knowledge. This
Includes access to real-time and offline help and governance associated with the
classification, retrieval and archiving of information.
Case management
Describe your organisation's experience designing and Implementing solutions that
enable a collaborative approach to case management.
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Requirement
KR-1.20
Channe l strategy
Describe your organisation's experience creating a channel strategy that includes :
seamless customer experience between organisational functions and across
d ifferent channels;
integration of products and services from different organisational functions; and
a framework or approach for determining whether existing channels should be
optimised or new channels created, and subsequently what products and
services shou ld be offered w ith in each channel.
KR-1 .2 1
Leveraging organisational services
Describe you r organisat ion's experience facilitating and consequently leveraging a set of
services provided by a state owned enterprise (or more specifically, external
government departments) .
KR-1.22
Identity management
Describe your organisation's experience implementing a solution that introduced the
capabilities required to manage internal and external user identit ies to facilitate
authentication and authorisation requirements.
KR-1.23
Onli ne presence and usability
Describe your organisation's experience reviewing and redesigning an organisation's
external online self-service capability to provide improved customer experience.
Describe your organisation's experience implementing web content management
capability.
KR-1.24
Correspond en ce generation
Describe your organisation's experience developing a collection of communication
management capabilities that promote and enable the organisation to produce and
distribute correspondence across multiple channels.
KR-1 .25
Continuous improvement
Describe your organisation's experience establishing and enabling systems, processes
and cult ure of continuous improvement. I n your r esponse out line your experience
developing an approach to business change that considers all in puts (e.g. customer
Insights, complaints, policy development) and manages t he design, development and
Implementation of business change/improvement on an ongoing basis.
KR-1.26
Scalable infrastructure
Describe your organisation's experience implementing or leveraging Platform as a
Service {PaaS) to deliver solutions underpinned by sca lable infrastructure.
KR-1.27
Business rules management
Describe your organisation's experience deploying a solution that enables business rules
to be amended without having to specify/ make changes to core applications and where
the changes to business rules are applied across channels consistently.
KR-1.28
Perfor mance management
Describe your organisation's experience defining a performance management
framework that deta ils KPis across the organisation to assist in the measurement and
continuous improvement of end-to-end processes, people and systems.
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KR-2: Tra n sformation programme experience and innovation
The table below summarises the evaluation criteria for transformation programme
experience and innovation requirements.
Evaluation criteria
Transformation programme experience and innovation
Reference
Weighting
KR-2
30%
Depth of experience and insight in design ing and
implementing the staged delivery of a major t ransformation
prog ramme for a nationa l- level tax organisation (including
distributions and payments).
Demonstrated insight and innovation.
Provide one case study that demonstrates you r o r gan isation's recent design and
implementation experience for the staged delivery of a major t r ansformation programme
for a national-level tax organisation (including distributions and payments) . The cl ient's
transformation programme must be $100 m i llion (NZD) or greater, excluding any
applicable taxes , in value. For a Consortium , the case study must be in respect of the
experience of either or both the Consortium Entity and/ or a Consortium Member.
Participants must respond to the transformation programme experience and innovation
requirements detailed below .
Requirement
KR-2. 1
Provid e the name, locat ion and overview of the client's organisation. Provide the
contact name, role wit hin the organisation, telephone number and email address of
client referee for the case study.
KR-2.2
Describe the client's transformation programme including programme cost, objectives,
desired outcomes, organ isational functions in scope, customers and impacted number
of employees and users.
KR-2. 3
I dentify at what stage during the client's transformation program me your organisation
was engaged and describe your organisation's scope of services provided, delivery
roles and solut ions and outcomes delivered to t he client.
KR-2.4
Describe how your organisat ion supported the client in achieving its long-term vision
and strategic direction and how the services and solutions delivered by your
organisation helped the client deliver a specific government mandate .
KR-2. 5
Where t he transformation programme was part of a portfolio of work within the client's
organisat ion, describe how your organisation worked wit hin t he portfolio of work and
detail how your organisation managed the impact of Internal and external
dependencies outside of its control.
KR-2.6
Describe how your organisation helped the client prepare for and manage the business
transformation in relation to organisational and workforce change management.
KR-2.7
Describe t he overall client programme governance and your organisation's roles and
responsibilities within the governance framework.
KR-2.8
Describe what you consider to be the top five ( 5) risks and issues identified and
managed as part of your engagement with this client. Outline your approach to
managing these risks.
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Requirement
KR-2.9
Based on your organisation's experience and delivery with this client, describe:
a. the key challenges your organisation faced and how you worked with the client to
overcome these challenges to successfully deliver the desired outcomes and
benefits;
b.
c.
d.
e.
how the business benefits and outcomes were measured and monitored;
the mechanisms used to drive business adoption and benefit realisation;
your approach to facilitating transfer of knowledge to your client;
your approach to managing third parties and subcontractors, including local
market participants where appropriate;
f. the processes and procedures for ensuring the quality of deliverables and
outputs;
g . how your organisation assessed the success or otherwise of the contribution it
made to the client's change programme and overall business success;
h . the innovation delivered in the implementation of this transformation to both the
client and its customers; and
I. the key insights gained and lessons learned from your experience with this client
and how these may be applied to Inland Revenue's Transformation Programme.
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KR-3: Organisational skills, expertise and innovation
The table below summarises the evaluation criteria for the organisational skills, expertise
and innovation requirements .
Evaluation criteria
Organisational skills, expertise and innovation
Reference
Weighting
KR-3
20%
Breadth and depth of organisational capability, experience
and innovation in national- level tax (including d istributions
and payments) and social policy environments.
Experience implementing or supporting current IR key
applications.
Participants must respond to the organisational skills, expertise and innovation
requirements detailed below.
Requirement
KR-3.1
Describe your organisation's capability and experience in nat ional-level tax (including
dist ributions and payments) and social policy e.g. child support, student loans.
KR-3.2
Identify all major transformation programme engagements, in terms of scale,
complexity and timeframes that your organisation is delivering in New Zealand,
Australia and/ or globally.
Identify whether these engagements will have an impact on your organisation 's
capacity to deliver Inland Revenue's Transformation Programme.
KR-3 .3
Describe your organisation's skills and experience in the key applications outlined in
Appendix A - Current -state technology infrastructure.
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KR-4: Key personnel
The table below summarises the evaluation criteria for the key personnel requirements.
Evaluation criteria
Key personnel
Reference
Weighting
KR-4
15%
Depth of business transformation experience and expertise
of proposed key personnel.
Experience of proposed account management team and
suitability of proposed relationship engagement approach.
Participants must respond to the key personnel requ irements detailed below.
Requirement
KR-4.1
Identify your organisation's proposed account management team that will be assigned
to Inland Revenue and provide an overview of their roles and responsibilities, relevant
qua lifications and experience.
KR-4.2
Provide a proposed relationship engagement approach.
KR-4.3
Provide curriculum vitae and availability in New Zealand for key personnel proposed for
lead roles. Key personnel must:
a. have relevant delivery experience; and
b. have delivered similar services, solutions and outcomes on transformation
programmes of comparable or greater scale and complexity to Inland Revenue's
Transformation Programme.
Complete Attachment 1 - Schedule 2
KR-4.4
Describe how you would mobilise and reta in the right team if awarded any contract
considering that they may be currently utilised on other key, sim ilar projects.
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KR-5: Additional considerations
The table below summarises the evaluation criteria for additional considerations
requirements.
Evaluation criteria
Additional considerations
Reference
Weighting
KR-5
5%
Demonstrated insight and innovation.
Overall quality, consistency and completeness of the
response.
Participants must respond to the addit ional considerations requ irements detai led below .
Requirement
KR-5.1
Describe your organisation's experience delivering change within the New Zea land
legislative environment.
KR-5.2
Describe how your organisation could help I nland Revenue meet the Government's
Better Public Services objectives, with a particular focus on how you intend to deliver,
or have previously delivered, on cross Government initiatives.
KR-5.3
Describe the legacy your organisation would like to leave in New Zealand through
participating in Inland Revenue's Transformation Programme. Where applicable,
provide examples of where your organisation has left a positive legacy, e.g. helping to
establish cross Government integration, single customer view, enhanced local market
capability or other objectives similar in nature to Better Public Services Result Areas 9
and 10.
KR-5 .4
Based on your experience, identify and describe any risks your organisation has
Ident ified relating t o Inland Revenue's Transformat ion Programme at the time of
submitting your EOI response and how you would m itigate t hose risks.
Complete Attachment 1 - Schedule 3
KR-5.5
Describe innovative solutions that your organisation has delivered that may be
applicable in the tax and social policy domain.
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13. Evaluation criteria
Responses taken past the first step will be evaluated and scored against the ' Key
requirements' evaluation criteria outlined below.
Evaluation criteria
Transformation capability
Reference
Weighting
KR-1
30%
KR-2
30%
KR-3
20%
KR-4
15%
KR-5
5%
Demonstrated experience delivering services and solutions
across the transformation capability areas.
Demonstrated expertise, app roaches and insights in each of
the transformation capability areas.
Demonstrated methodology and exper ience in each of the
delivery roles (as detailed on pages 23- 25).
Transformation programme experience and innovation
Depth of experience and insight in designing and
implementing the staged delivery of a major transformation
programme for a national-level tax organisation ( includ ing
distributions and payments).
Demonstrated insight and innovation.
Organisational skills, expertise and innovation
Breadth and depth of organisationa l capability, experience
and innovation in national-level tax (including distributions
and payments) and socia l policy environments.
Experience implementing or supporting current IR key
applications.
Key personnel
Depth of business t ransformation exper ience and expertise of
proposed key personnel.
Experience of proposed account management team and
suitability of proposed relationship engagement approach.
Additional conside rations
Demonstrated insight and innovation.
Overall qua lity, consistency and completeness of the
response.
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Part G:
Terms and conditions
......--
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14.
Terms and conditions of this EOI
Definitions
•
BT Pro c ure m e nt Process means the procurement process in respect of Inland
Revenue's transformation programme, as described in section 10;
•
Co mpe titive Dialogue means the competitive dialogue stage of the BT
Procu rement Process, as described in section 10.4;
•
Cons ortium means, in respect of a consortium submitting a Response, the
consortiu m as a group comprising the sum of its Consortium Members;
•
Cons ortium Entity means, in respect of a consortium submitting a Response,
the lega l entity that the consortium proposes wou ld contract w ith Inland Revenue
if Inland Revenue were to select the consortium as a service provider(s);
•
Conso rtium Member means, in respect of a consortium submitting a Response,
the orga nisations m aking up the consortium ;
•
Co n s ortium Re presentative means, in respect of a consortium submitting a
Response, t he legal entity representing the consortium for the purposes of this
EOI and t he EOI Process;
•
EOI P ro cess means the EOI process described in section 11;
•
EOI Rules has the meaning given to that term in paragraph 1 of this section 14;
•
GETS has the meaning given to that term in paragraph 8 of th is section 14;
•
IR Engage m e nt has the meaning given to that term in paragraph 7 of this
section 14;
•
IR Informa tion has the mea ning given to that term in paragraph 7 of this
section 14;
•
•
OIA means the Official I nformation Act 1982;
Participant has t he mean ing given to t hat term in paragraphs 1 and 3 of this
section 14;
•
Participant Information has the meaning given to that term in paragraph 7 of
th is section 14; and
•
Response has the meaning g iven to that term in paragraph 1 of this section 14.
Acceptance of EOI Rules
1.
Each person or entity ( Participant) that submits a response to this EOI
(Re sponse) acknowledges and agrees that it is bound by:
(a)
the terms and conditions set out in this section 14; and
( b)
the other rules and requ irements set out in this EOI,
(collectively EOI Rules ).
2.
Each Participant's agreement to be bound by the EOI Rules is in consideration for
Inland Revenue provid ing the Participant with the opportunity to respond to th is
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EOI (this obligation and the obligation in paragraph 12 of this section being Inland
Revenue's sole obligations in connection with this EOI and the EOI Process).
3.
In this section 14 a reference to a "Participant" is, in relation to a Consortium, a
reference to the Consortium Members, the Consortium Entity and the Consortium
Representative, except in relation to paragraphs 22 and 26 of this section 14,
where the reference to a "Participant" is a reference to the Consortium
Representative.
4.
A Consortium Representative warrants and represents that it is duly authorised to
bind to the EOI Rules each Consortium Member of the Consortium it represents.
5.
Without limiting any other right or remedy of Inland Revenue, Inland Revenue
reserves the right to refuse to allow a Participant to participate (or participate any
further) in the EOI Process or any subsequent stage of the BT Procurement
Process if Inland Revenue determines (at its sole discretion) that the Participant
has failed to comply with any of the EOI Rules. Inland Revenue will be entitled to
exercise such right at any time.
Status of EOI
6.
Neither this EOI nor the EOI Process constitutes an offer by Inland Revenue to
acquire goods or services from, negotiate with, or enter into any substantive
agreement with, any Participant . The request for, and receipt of, Responses to
t his EOI does not create or imply any obligation on Inland Revenue to contract for
any goods or services included in any Response.
7.
Except as expressly provided in pa ragraphs 2 and 12 of this section 14, and
regard less of whether or not a Participant is selected to progress to a subsequent
stage in the BT Procurement Process, Inland Revenue will have no legal,
equ itable, contractual or other obligation whatsoever (including any implied
obligation or duty, includi ng as to fa irness, good faith or otherwise) to any
Participant, and Partici pant s will have no rights enforceable aga inst Inland
Revenue, in relation to :
(a)
this EOI or the EOI Process;
( b)
any Response, or any other information, documentation or material
received from a Participant, whether in a written form , verbally or
otherwise (Participant Information); or
(c)
any documentation, information or material provided to any Participant by,
on behalf of, or at the direction of, Inland Revenue in connection with this
EOI or the EOI Process (IR Informatio n); or
(d )
any discussions, correspondence or other engagement between Inland
Revenue and any Participant at any stage of the EOI Process (IR
Engage me nt).
8.
If there is any conflict or inconsistency between any of:
(a)
the terms and cond itions set out in this section 14 ;
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(b)
any other section or provision of this EOI ; and
(c)
the terms and conditions of use contained in the Government Electronic
Tenders Service website at www.gets.govt.nz (GETS),
the order of priorit y for the purposes of determining which will prevail will be the
order in which they appear above.
9.
Inland Revenue makes no representations and gives no warranties in or in
relation to this EOI or the EOI Process .
10.
Any verbal communications between Inland Revenue and any Participant at any
stage of the EOI Process, and any terms or conditions conta ined in a Response or
in any Participant Inform ation, will not be binding on Inland Revenue.
11.
Participants must not include in their Response, or in any Participant Information,
any terms or conditions that impose, or purport to impose, any obligation or duty
on Inland Revenue.
Confidentiality
12.
Each Participant may identify certain parts of its Response as being commercially
sensitive by marking those parts "Commercial in Confidence" . It will not be
acceptable for a Participant to mark its entire Response as such. Subject to its
legal obligations (including under the OIA) and its obligations to the New Zealand
Government (including Parliament and the Crown), I nland Revenue will not
provide such commercially sensitive information to any person other than to its
personnel, advisers and contractors who are involved in the EOI, the EOI Process
and/ or the BT Procurement Process. Nothing in this paragraph 12, or otherwise,
will prohibit the use of such commercially sensitive information for the purposes
of considering, analysing and evaluating Responses, and for any other purpose
related to this EOI , the EOI Process or the BT Procurement Process. By submitting
a response to this EOI, each Participant agrees to such use.
13.
All information contained in this EOI and any IR Information is provided for the
sole purpose of allowing each Participant to prepare a response, and may not be
used by a Participant (or anyone else) in any other context w ithout the written
authority of Inland Revenue .
Statutory obligations
14.
Inland Revenue is subject to a wide range of statutory obligations, including
under the OIA. Each Participant acknowledges and agrees that Inland Revenue
has the unfettered right to carry out its statutory obligations and functions in
accordance with all relevant legislation , including the OIA, notwithstanding the
EOI Process.
Collection of information
15.
Each Participant authorises Inland Revenue to collect any information from the
Participant and relevant third parties (such as referees) and to use that
information as part of its analysis of the Participant's Response and as provided in
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these EOI Rules, as if it was Participant Information. Each Participant
acknowledges that Inland Revenue may carry out further investigations and due
diligence in respect of Participants ( and persons or entities associated with
Participants) both in connection with the EOI Process and subsequent stages of
the BT Procurement Process, including in relation to financial status, history of
compliance with applicable laws and any other matter that Inland Revenue
determines (at its sole discretion) is appropriate. Inland Revenue reserves the
right to refuse to allow a Participant to participate (or participate any further) in
the EOI Process or in any subsequent stage of the BT Procurement Process if
Inland Revenue is not satisfied (in its sole discretion) with the outcome of such
investigations or due diligence .
Intellectual property
16.
Intellectual Property in a Participant's Response and in any Participant
Information will not pass to I nland Revenue. However, by submitting a Response,
each Partici pant grants to Inland Revenue (and to its personnel, advisers and
contractors who are involved in the EOI, EOI Process and/or the BT Procurement
Process) a non-exclusive, irrevocable and perpetual licence to use, copy and
modify all intellectual property rights (including, without limitation, any copyright
and design rights) in its Response and in any Participant Information, for the
purposes of considering, analysing and evaluating Responses, and for any other
purpose related to this EOI, the EOI Process and the BT Procurement Process.
17.
Each Participant warrants and represents that the provision of its Response and
any Participant Information to Inland Revenue, and Inland Revenue's possession,
use, copying , modification and/or disclosure of it, will not breach any third party
intellectual property rights or any third party rights in confidential information.
Ownership of IR Information
18.
This EOI and any I R Inform ation is the property of Inland Revenue (or its
licensors) and copyright and all other intellectual property r ights in th is EOI and
any IR Information are owned by, and will rema in at all times vested in, I nland
Revenue (or its licensors, as applicable).
19.
Inland Revenue may request the immediate return of any IR I nformation
(i ncluding tangible forms of IR Engagement) supplied by Inland Revenue to any
Participant, and any copies made of such IR Information , at any time. Each
Participant must comply with any such request within the timeframes reasonably
required by Inland Revenue .
Completeness and accuracy of information
20.
Each Participant warrants that all information provided in, or in relation to, its
Response and any Partici pant Information is complete and accurate in all materia l
respects.
21.
Inland Revenue may rely upon all statements made by a Partici pant in its
Response, in any Participant Information and/ or in any IR Engagement .
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22.
Inland Revenue has no obligation to check any Response, Participant Information
or IR Engagement for errors, omissions or inaccuracies. Without limiting
paragraph 20 of this section 14, each Participant must notify Inland Revenue
immediately upon becoming aware of any errors, omissions or inaccuracies in its
Response or in any Participant Information.
23.
Each Participant acknowledges and agrees that Inland Revenue:
(a)
makes no representations and gives no warranties as to the accuracy or
completeness of this EOI, IR Information or IR Engagement; and
( b)
will have no liability on account of errors or omissions in this EOI, or in any
IR I nformation or I R Engagement.
Responsibilities of Participant
24.
Each Participant will :
(a)
examine this EOI, any IR Information , and any other information made
available by Inland Revenue to the Participant;
( b)
identify and obtain any additional information it may require to meet the
requirements of this EOI;
(c)
consider the need to obtain and, if appropriate, obtain independent advice
(i ncluding legal and accounting advice) before submitting a Response; and
(d)
consider all the risks, contingencies, impacts and other circumstances
having an effect on its Response.
Cost of responding
25.
All costs incurred by a Participant in connection with:
(a)
preparing and submitting a Response and any Participant Information; and
( b)
any aspect of the EOI Process and/or IR Engagement,
are the sole responsibility of the Participant.
Notice
26.
Inland Revenue will post any general notice (to all Participants) relating to this
EOI or the EOI Process on GETS (and posting will be deemed to have satisfied any
obligation that Inland Revenue has ( if any) to provide such notice).
Exclusion of liability
27.
Each Partici pant acknowledges and agrees that, t o the maximum extent permitted
by law, the Crown (including, without limitation, Ministers and Inland Revenue)
and I nland Revenue's officers, employees, contractors, subcontractors, agents
and advisors ( and anyone else acting on behalf of, or at the direction of, Inland
Revenue) will not be directly or indirectly liable (in contract, tort or otherwise) to
any person or entity for any damages, loss or cost arising from or in connection
with :
(a)
this EOI;
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(b)
any IR Information or IR Engagement, or any information not given to any
Partici pant;
(c)
any aspect of the EOI Process or any IR Engagement;
(d)
the accuracy or completeness of, or any error in, any statements or data
within this EOI or any IR Information, or provided in the course of the EOI
Process or in any IR Engagement;
(e)
the preparation and submission of any Response or Participant
Information;
(f)
any investigations of or by any Participant, includi ng reference checks or
due diligence; or
(g)
the suspension, cancellation or amendment of any aspect of the EOI
Process,
or as a result of the participation by any Participant in the EOI , the EOI Process
and/or the BT Procurement Process.
28.
By submitting a Response, each Participant waives any rights it may have to
make a claim against the Crown or Inland Revenue, or their respective officers,
employees, contractors, subcontractors, agents or advisors arising out of, or in
connection with, this EOI, the EOI Process or the BT Procurement Process.
Rights reserved by Inland Revenue
29.
Notwithstanding any other provision in this EOI, Inland Revenue reserves, in its
sole discretion, the right to :
(a)
reject all or any of the Responses;
(b)
reject or not consider further any Participant Information;
(c)
seek further details or clarification from , at its discretion, all Participants or
any Participant about any aspect of any Response or any Participant
Information;
(d)
amend or extend any date in the EOI Process or any subsequent stage of
the BT Procurement Process for any reason;
(e)
amend, suspend (in whole or in part) or cancel any aspect of th is EOI, any
IR I nformation, the EOI Process, or any I R Engagement;
(f)
exercise its own discretion and judgement when considering, analysing and
evaluating any requirement, matter or criteria set out in, and/or addressed
in, any Response or Participant Information;
(g)
waive any irregularities or formalities in the EOI Process;
(h)
reissue this EOI and/or re-invite Responses;
(i)
take into account any other relevant information when considering,
analysing or evaluating any Response, and to make enquiries of any
person or entity to assist it in the evaluation process;
(j )
have discussions with all or any Participants at any time;
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(k )
suspend and/ or terminate the participation of any Participant in the EOI
Process at any time;
(I)
enter ( or not enter) into any contract w ith any Participant;
(m )
select or allow (or not select or allow) any Partici pant, or no Participant, to
partici pate in any Competitive Dialogue process or other stage of the BT
Procurement Process; or
(n)
elect not to proceed with any subsequent stage in the BT Procurement
Process (either at all or in the manner described in this EOI) .
Governing Jaw
30.
This EOI, the EOI Process, any I R Engagement and the BT Procurement Process is
governed by New Zealand law and each Participant subm its to the exclusive
jurisd iction of the New Zealand courts in relation to all matters relating to, or
arising out of, th is EOI, the EOI Process, any I R Engagement and the BT
Procurement Process.
31.
Each Participant acknowledges and agrees that it must comply with all applicable
laws (whether in New Zealand or overseas), including all laws relating to the
payment of tax and tax obligations.
Probity
32.
Each Participant must immediately disclose to Inland Revenue, in its Response to
this EOI, in any Participant Information, and on a continuing basis throughout the
EOI Process, any actual, potential or perceived conflict of interest in relation to
any matter covered by th is EOI, as soon as the Partici pant becomes aware of the
conflict. If a conflict of interest arises and i n Inland Revenue's opinion has not
been , or cannot be, appropriately managed by the Participant, Inland Revenue
may (i n its sole discretion) terminate the participation of the Participant in the
EOI Process and/ or any subsequent stage of the BT Procurement Process.
33.
Each Participant must not, directly or ind irectly, provide any form of personal
inducement or reward, approach, lobby, threaten or otherwise attempt to
influence or obtain improper assistance from any employee, officer, contractor or
representative of Inland Revenue or any other person who is directly or indirectly
involved in the EOI Process.
34.
The EOI Process is intended to promote fair competit ion between Participants.
Participants must not engage in collusive, deceptive, anti-competit ive, improper
conduct, or unethical behaviour, whether in breach of t he Commerce Act 1986
and/or the Fair Trading Act 1986 or otherwise, in t he preparation of their
Responses, or in any IR Engagement during or following t he EOI Process. If any
Partici pant engages in such conduct, I nland Revenue may (in its sole discretion )
terminate the participation of the Participant in the EOI Process. For the
av oidance of doubt, this does not preclude Responses from consortia where their
conduct is not anti-competitive and is compliant w ith all applicable laws ( in New
Zealand and overseas) .
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35 .
Inland Revenue may require Participants to supply Inland Revenue with statutory
decl arations and other documents, and such evidence as Inland Revenue sees fit,
t hroughout the EOI Process in pu rsuing its probit y requirements or objectives for
the EOI Process or the BT Procurement Process .
Tax Compliance and Criminal Checks
36.
I n recogn ition of the unique requirements of doing business with Inland Revenue,
a Partici pant and/ or any of its personnel , officers, agent s and/ or contractors may
be required to undergo a tax compliance and/ or criminal check . Participation in
the EOI Process by a Participant authorises Inland Revenue to undertake such tax
compliance and/or criminal checks. This requirement includes any subcontractors
( and their personnel, officers, agents and/or contractors) nom inated by the
Participant in its Response. I nland Revenue reserves the right to refuse to allow a
Participant to participate (or participate any further) in the EOI Process or in any
subsequent stage of the BT Procurement Process if Inland Revenue is not satisfied
( in its sole discretion ) with the outcome of any checks.
Currency
37 .
All monetary amounts set out in this EOI are stated in New Zealand dollars.
References to Inland Revenue
38.
A reference in this EOI to "Inland Revenue" or "IR" is a reference to Her Majesty
the Queen in right of New Zealand acting by and through the Comm issioner of
I nland Rev enue or her or his authorised delegate.
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Part H:
Appendices
\ .....
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The table below lists the appendices that have been referred to in the body of this EOI
document, to assist Participants in providing a response .
Appendix
Title
A
Current-state technology infrastructure
B
Conceptual application architecture
C
Some minimum contract terms
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Appendix A - Current-state technology infrastructure
Technology
channel
Governance
Channel description
This tier spa ns all of the layers to ma nage the policy
and accountabilit ies provided by t he Technology
Strategy and Operat ions Business Group who are
responsible for the development, delivery, and
improvement of Inland Revenue's ICT systems
Key applications
N/A
Th is tier spans all of the layers to manage the
confidentiality, integrity and availability of Inland
Revenue assets w it hin and at t he bounds of In land
Revenue's information environment boundaries
External Identity and Access Management (XIAMS)
supports authentication of customer access to online
and porta l services
RSA Access Ma nager, MS Active Directory, Oracle
Identity Manager (OIM), Access Control - Identity and
access ma nagement system (lAMS), Online access and
control system (OLACS)
Access Channels
Encompass digital and non-digita l channel
technologies, which enable I nland Revenue to interact
wit h customers
Voice, Paper, Web, B2B, P2P, I nteractive Voice
Response (IVR)
Operational
Applications
Enable Inland Revenue to effectively interact
(communicate and t ransact) with customers across
channels and touch-points, and enables business
activities to deliver I nland Revenue service outcomes
to customers
Secure mail, Revenue and Social Policy Systems, I nland
Revenue Portals, KiwiSaver, Xpress Client, Letters,
Statements and Notices, Voice
Security, Identity
and A ccess
Management
FIRST: Online and batch security software
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Technology
channel
Channel description
Key applications
Enterprise
Applications
Support both operational and business application
services, which largely support internal Inland
Revenue end users
This layer does not directly contribute to the
operational delivery of customer-facing services
Campaign Manager, Workflow and Error Resolution ,
Case Management, Risk Management, Oracle Business
Intelligence Enterprise Edition (OBIEE), Hyperion
Interactive Reporting, Oracle Scorecard and Strategy
Management, SAS Enterprise Miner, SAS Text Miner,
Policy Rules Automation, Intranet, File Shares, FMIS,
Human Resource Management Information System
(HRMIS) and Payroll, Service Desk
Data
Encompasses information system (IS) services for
access, storage, and management of data that
supports higher-level services
FIRST, Enterprise Data Warehouse, Levy Systems,
Voice, Corporate Services, Case Management
Integration
Encompasses IS services for the interconnection of all
of the other tiers. Integration of these tiers provides
Inland Revenue, external organisations, and users with
information to assist in the execution of services
across the landscape
Middleware Messaging: JMS, Web services, eWay,
WebSphere, MQ, JBoss web services, OFM Enterprise
Grid Messaging, MS SQL
ClearPath: Call-in Adapter {CIA), Call-out adapter
{COA)
Integrated support: FTP, Secure Copy, Oracle SOA,
Oracle Service Bus, Oracle B2B Integration, Oracle Web
Services Manager, JCAPS, SAP Netweaver,
Transformation-XSLT
Orchestration: Business Process Management and
Notation { BPMN ), Business Process Execution Language
{BPEL), Business Process Execution Language for Web
Services { BPEL4WS)
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Technology
channel
Infrastructure
Channel description
"Commodity" services needed to support IS Services.
Infr astructu re Services provides the foundational
funct ionality for end users to access information and
IS Services within server - and client-side
environments
Key applications
Mainframe: Un isys Clea rPat h , Java processor
Midrange: ESX Server, vSphere, x86-VMwa re, Linux,
Windows, SPARC- Sun/ Solaris, Dell-Blade, Rackmount
Guest VMs : Windows Server, SLES, RH EL, Solaris x86,
Netware
Desktop/ Laptop: Windows, VMWa re, Thick and Th in
Client
Storage :
Online: Disc (EMC DMX/VMax)
Nea r- line: Disc (EMC D/ D)
Offline: Tape ( StorageTek)
Telephony: Genesis Platform , Vodafone 3G Mobile,
VOIP
Networks: WAN/ LAN - DMZ Globa l, One.Govt , TCP/ IP
( Cisco)
Languages: COBOL74, ALGOL, UNC, Visua l Basic, JAVA
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Appendix B - Conceptual application architecture
Inland Revenue's current application environment consists of a combination of enterprise
packages from major service providers, technology platforms and bespoke solutions.
These systems and solutions have been implemented progressively and at speed to meet
new demands and , as a result, are not fully integrated.
Online Services
Corporate Services
eFile
(Progress, JAVA]
irFile
[JAVA]
Xpress client [Visual
Basic]
Fam ilies and
individuals workspace
[JAVA]
Forms, returns and
calculators
[PERLjJAVA (Sp ring
Portlet), Cocoon]
Call record ing [ Verint
ULTRA]
Virtual hold
(Genesys)
Payroll/Human
Reso urces
ma nagement [SAP]
Look at account
informat on (JAVA]
Secure email [ JAVA]
Genesys voice
management [IVR
and CTI]
voice biometrics
(Multiple]
Paid parental leave
[SAP]
Financial
m anagement [ SAP]
FIRST- Revenue and Social Policy Applications
(UNISYS Clearpath COBOL74/ ALGOL/ LINC ]
Returns imaging
[Exigen]
Output Services
Client registration
COrrespondence
Returns generat on
Letters online
[xPr-ess on]
Returns and payment
processing
Client and revenue
accounting
Oebt and returns
management
Customer noticing
[xPr-ess on]
Tax agent
manag ement
Issuing
Crown revenue
Enterprise document
storage r epository [I BM
- websphere]
Knowledge
Management
Services
Business
Rules Services
Policy automation
[ Oracle OPAl
Account management
(JAVA]
Enterprise data
warehouse [Orad eHyperion, OBIEE]
Case Management
Revenue forecasting
[SAS]
eCase (Audit)
[ Oracle- Siebel and
Seibel analytics]
I ncome equalisation
[Prog ress GUI ]
Transcripts and
evdence
(Summation]
Duties [Java]
Figure 81 : Conceptua l application architecture diagram
Note: The purpose of this diagram is to show the main application systems that support business processes.
Not all Inland Revenue applications are shown. Informat ion shown in square brackets indicates major
technologies relati ng to the application.
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The current appl ication environment consists of 13 application groups, which are
summarised below:
•
FIRST: central to Inland Revenue's current-state appl ication architecture is FIRST
{ Future Inland Revenue Systems and Technology). FIRST is an integrated and
generic tax-processing engin e that is function-based (rather than modular or
service-based).
The FIRST system is a complex ma inframe system built on Unisys COBOL 74 . It
has been developed and extended over the last 20 years. FIRST comprises 40
"tax types", tens of millions of lines of custom-developed and closely coupled code
with over 180 system interfaces.
The core processes of FI RST have been extended signif icantly beyond their
original purpose to incorporate social policy initiatives, which have been added
over t ime. The high-level v iew of the functionality embedded w ith in FIRST is :
•
client registration;
•
returns generation, processing and management;
•
pro-active actions;
•
payments processing;
•
refunds and payments distribution ;
•
client accounting;
•
revenue accounting, financial reporting and forecasting;
•
debt management;
•
inbound and outbound correspondence management; and
•
issuing of notices and statements.
•
Online services: as well as managing the static content for the public-facing
I nland Revenue web sites, online applications provide significant functiona lity for
customer interaction and calcu lation (e.g. myiR);
•
Voice services: voice applications support the call centre environments (e.g .
v irtual hold, voice biometrics);
•
Corporate services: corporate applications provide business functions that
support the efficient and effective running of the organ isation ( e.g. Human
Resource Management, payroll);
•
Output services: output applications support output t o the customer ( e.g .
notices, statements);
•
Le vies and duties services: levies and duties applications support the m inor
duties and certain Inland Revenue scheme details (e.g . envi ronmental restoration
account );
•
KiwiSaver services: KiwiSaver applications support Inland Revenue product
functional ity outside FIRST;
•
Business rules services: business rules applications deliver busin ess rules for
enterprise processes that support business operations, calculations, definitions
and policies;
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•
Case manage ment se.-vices: case management applications support the work
flow and information to support compliance case management;
•
Knowle dge management se.-vices: knowledge management applications cover
the organisational enquiry and knowledge management functions;
•
Se curity se.-vices: security applications manage user access to I nland Revenue
system and applications. They provide both user authentication (who you are)
and authorisation (what you can access);
•
Input se rvices: input applications support information input from the customer
(e.g . tax returns); and
•
Litigation se rvices: information systems (IS) that support a consistent and w ell organised defence of tax assessment.
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Appendix C - Some minimum contract terms
Set out below are some principles behind some minimum contract terms which Inland
Revenue will be reflecting in any agreement it enters into with any service providers.
Please note this is not an exhaustive list and the wording below does not represent the
actual contract wording:
Legal principle
Description
Secrecy certificates
All service provider personnel (Including those of its
subcontractors) engaged on I nland Revenue work will be
required to sign a Certificate of Secrecy in the form
specified by I nland Re venue. Original signed versions will
be required to be provided to I nland Revenue .
Tax compliance and
criminal checks
Inland Revenue may conduct, at any time, tax compliance
checks and cri mina l checks in respect of a service provider,
its subcontractors, and their respective personnel. A
service provider will be required to obtain all necessary
consents for such checks to be carried out. Inland Revenue
may terminate an agreement with immediate effect or may
require the removal of relevant personnel/subcontractors if
Inland Revenue (in its sole discretion) is not satisfied with
the result of any such check.
Payment of taxes
A service provider will be required to meet (and to have
met) all tax obligations, and comply (and have complied)
with all tax laws, in New Zealand (and overseas). Inland
Revenue may terminate any agreement if the service
provider breaches this obligation.
Net fees {no gross up)
Inland Revenue will pay fees net of any taxes (except New
Zealand goods and services tax), duties etc that Inland
Revenue is required by law to deduct. Inland Revenue will
not be required to gross up on account of any deductions.
Confidentiality
A service provider will be required to keep all I nland
Revenue-related information confidential and will only be
permitted to use it solely for, and will not be permitted to
disclose it otherwise than Is necessary for the purpose of,
complying with its obligations under an agreement with
I nland Revenue. A service provider will also be required to
maintain adequate and effective security measures to
safeguard such information.
No over seas data transfer
A service provider will not be permitted, without the
written consent of Inland Revenue, to transfer any Inland
Revenue-related information outside of New Zealand or
make such information available to anyone outside New
Zealand.
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legal principle
Description
Non-exclusive
appointment
A service provider's appointment under any agreement will
be on a non-exclusive basis. Inland Revenue may appoint
third parties to provide services or deliverables similar to
or identical with any services or deliverables that may be
provided by a service provider, or Inland Revenue may
provide such services or deliverables itself.
No minimum level of
business
Inland Revenue does not guarantee any m inimum level of
business by entering into any agreement with a service
provider.
Co-operation
In providing services or deliverables, a service provider will
be required to co-operate with Inland Revenue's other
providers to ensure a seamless and efficient delivery of all
services and deliverables to Inland Revenue.
Compliance with laws
A service provider will be required to comply with all
applicable laws in New Zealand (and overseas).
Subcontractors
A service provider will not be permitted to subcontract any
of its obligations under an agreement with Inland Revenue,
to any person, without first obtaining Inland Revenue's
written consent, and will be required to obtain Inland
Revenue's prior written consent to the replacement of any
subcontractor. A service provider will remain liable to
Inland Revenue for all acts or omissions of each of its
subcontractors (and their personnel) as if they were the
acts or omissions of the service provider.
OIA and other disclosures
A service provider acknowledges that Inland Revenue is
subj ect to the Official Information Act 1982 (OIA) and
other d isclosure requ irements. A service provider will be
required to provide Inland Revenue w ith documents or
other information that In land Revenue is requ ired to
provide or disclose under the OIA or otherwise (including
for questions ra ised in Parliament or in any Select
Comm ittee).
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Part 1:
Attachments
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The table below lists the attachments to this EOI, including response schedules and
returnable forms (Attachments 1 and 2) that Participants must complete for their
response to meet the requirements of this EOI.
Supplementary information has also been provided (see Attachments 3 and 4 ) for
Participants to use in developing a response to this EOI.
Attachment name
1
EOI response schedules
2
IR822 Tax Check Non-Individuals
3
Target Operating Model (TOM)
4
High-level future state customer personas and scenarios
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