MASTER SERVICES AGREEMENT BY AND BETWEEN LEVI STRAUSS & CO. AND WIPRO LIMITED NOVEMBER 7, 2014 DESCRIPTION OF SERVICES
Exhibit 10.33
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
CONFIDENTIAL
EXECUTION VERSION
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
TABLE OF CONTENTS
| 1. Introduction |
1 | |||||||||
| 1.1 | Purpose | 1 | ||||||||
| 1.2 | References | 1 | ||||||||
| 1.3 | Definitions | 1 | ||||||||
| 2. Services |
1 | |||||||||
| 2.1 | Overview | 1 | ||||||||
| 2.2 | Charges | 1 | ||||||||
| 2.3 | Operations Manual | 1 | ||||||||
| 2.4 | Service Categories | 2 | ||||||||
| 2.5 | Provision of Services | 2 | ||||||||
| 2.6 | Service Delivery Practices | 2 | ||||||||
| 3. Equipment and Third Party Agreements |
2 | |||||||||
| 3.1 | Managed Agreements | 2 | ||||||||
| 3.2 | Assigned Agreements | 3 | ||||||||
| 4. Evolution |
3 | |||||||||
| 4.1 | Service Delivery | 3 | ||||||||
| 4.2 | Periodic Review | 3 | ||||||||
| 4.3 | Support of Evolution | 4 | ||||||||
| 5. Projects |
4 | |||||||||
| 5.1 | Projects | 4 | ||||||||
| 5.2 | Work Order | 4 | ||||||||
| 5.3 | Critical Deliverables | 4 | ||||||||
| 5.4 | Change Orders | 4 | ||||||||
| 5.5 | Reprioritization and Cancellation | 5 | ||||||||
| 6. Finance Services – Undertakings |
5 | |||||||||
| 6.1 | Debt and other Covenants | 5 | ||||||||
| LS&Co. – Exhibit 2 – Description of Services | Page i |
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1. INTRODUCTION.
| 1.1 | Purpose. This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. The following terms shall have the meaning set out below: |
| (a) | “Assigned Agreements” means the third party agreements, if any, that the Parties agree are to be assigned to Supplier in connection with the Agreement. As of the Effective Date, there are no Assigned Agreements. |
| (b) | “Assignment Date” has the meaning given in Section 3.2. |
| (c) | “Critical Deliverable” has the meaning given in Section 5.3. |
| (d) | “Deliverable” means a deliverable (including any material, document, information or data) to be provided to LS&Co. by Supplier pursuant to the Agreement, including anything that is specified as such in a Work Order, the Transition Plan, a New Services Proposal or elsewhere in the Agreement. A Deliverable may include software, documentation, manuals, instructions, specifications and requirements or project plans. For clarity, for any Deliverable that consists of Software, Supplier shall provide as part of such Deliverable all source code and Documentation related to such Software unless expressly specified otherwise by the Parties. |
| (e) | “Deliverable Credit” means a credit applied against the Charges as a result of Supplier’s failure to meet a Milestone, which credit is specified in the Work Orders. |
| (f) | “Managed Agreement” means the third party agreements, if any, that the Parties agree are to be managed by Supplier pursuant to the Agreement. As of the Effective Date, there are no Managed Agreements. |
| (g) | “Managed Agreement Invoice” means any invoice submitted by third parties in connection with the Managed Agreements. |
| (h) | “Undertakings” has the meaning given in Section 6.1. |
| (i) | “Work Order” means a document (substantially in a form and format acceptable to LS&Co.) that authorizes Supplier’s performance of the services, tasks and responsibilities for a Project. A Work Order shall specify the business requirements of LS&Co., the services, tasks and responsibilities to be performed by Supplier, each Deliverable and its associated milestone and Deliverable Credit, the Charges to be paid by LS&Co. for Supplier’s completion of the Project and such other items required by LS&Co. |
2. SERVICES.
| 2.1 | Overview. This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement. |
| 2.2 | Charges. Supplier shall be responsible for providing the personnel and other resources necessary to provide the Services, and provide all of the Services within the Base Charges, as such may be varied in accordance with Exhibit 4. |
| 2.3 | Operations Manual. Supplier shall be responsible for developing and maintaining the Operations Manual. Supplier shall update the Operations Manual (and provide LS&Co. with a copy of such updated manual) to reflect any changes to the content of the Operations Manual, including changes to the Services and Supplier’s operations. The Operations Manual shall include: (a) a detailed description of how Supplier will perform and deliver the Services, including describing the activities to be performed; (b) a list, and description of, the Equipment and Software being used; (c) the policies and procedures applicable to the Services as well as the other standards and procedures of Supplier pertinent to LS&Co.’s interaction with Supplier in obtaining the |
| LS&Co. – Exhibit 2 – Description of Services | Page 1 |
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| Services; (d) reference links to configuration data relating to any supported Equipment; (e) the documentation (e.g., operations manuals, end user guides, specifications) which provide further details of all activities to be performed by Supplier with respect to Software and Equipment; (f) details on the direction, supervision, monitoring, staffing, reporting, planning and oversight activities normally undertaken to provide services of the type Supplier is to provide; (g) descriptions of any specific acceptance testing and quality assurance procedures approved by LS&Co.; and (h) the incident management, problem management and escalation procedures. The Operations Manual shall be suitable for use by the Service Recipients to understand and perform the Services. The Operations Manual shall be in an electronic format and available through a web interface to LS&Co. and all Supplier Staff. |
| 2.4 | Service Categories. For purposes of ease of organization and reference, the Services have been divided into multiple Service Categories under the Agreement. The Service Categories as of the Effective Date, and the Attachments which set forth the objectives of each Service Category and the Parties’ responsibilities under each Service Category, are set forth in the following table: |
| Attachment |
Service Category | |
| 2.1 | Human Resource Services | |
| 2.2 | Finance Services | |
| Information Technology Services | ||
| 2.3.1 | Network Services | |
| 2.3.2 | Deskside Support Services | |
| 2.3.3 | Cross-Functional Services | |
| 2.3.4 | Server Operations Center Services | |
| 2.3.5 | Service Desk Services | |
| 2.3.6 | Global Information Security Services | |
| 2.3.7 | IT Applications Services | |
| 2.3.8 | Test Center of Excellence Services | |
| 2.4 | Customer Service Services | |
| 2.5 | Consumer Relations Services |
| 2.5 | Provision of Services. Supplier shall commence the provision of particular Services: (a) when the associated Transition Milestone identified in the Transition Plan has been completed; or, (b) for Services that are not directly associated with a Transition Milestone, upon the earlier of: (i) the completion of all Transition-related activities associated with the applicable Service Category; and (ii) the completion of the Transition. |
| 2.6 | Service Delivery Practices. Supplier shall implement, maintain and comply with the processes, practices, standards and methodologies applicable to each Service. Without limiting the foregoing, Supplier shall implement, maintain and comply with the specific processes, practices, standards and methodologies that are set out in or incorporated in a Statement of Work. |
3. EQUIPMENT AND THIRD PARTY AGREEMENTS.
| 3.1 | Managed Agreements. Supplier shall administer the Managed Agreements and related invoices as specified in this Section 3.1 and shall comply with all Applicable Terms. Supplier shall provide LS&Co. with reasonable notice of any renewal, termination or cancellation dates and fees with respect to the Managed Agreements. Supplier shall not renew, modify, terminate or cancel, or request or grant any consents or waivers under, any Managed Agreements without the consent of the LS&Co. Governance Executive. Any fees or charges or other liability or obligation imposed upon LS&Co. in connection with (a) any renewal, modification, termination, or cancellation of, or consent or waiver under, the Managed Agreements, obtained or given without LS&Co.’s consent as required under the foregoing sentence or (b) Supplier’s failure to comply with the Applicable Terms shall be paid or discharged, as applicable, by Supplier. Supplier shall: (x) receive all Managed Agreement Invoices; (y) review and seek correction of any errors in any such Managed Agreement Invoices in a timely manner; and (z) submit such Managed Agreement Invoices to LS&Co. within a reasonable period of time prior to the due date or, if a discount for payment is offered, the date on which LS&Co. may pay such Managed Agreement Invoice with a discount. LS&Co. shall pay the Managed Agreement Invoices received and approved |
| LS&Co. – Exhibit 2 – Description of Services | Page 2 |
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| by Supplier. LS&Co. shall only be responsible for payment of the Managed Agreement Invoices and shall not be responsible to Supplier for any management, administration or maintenance fees of Supplier in connection with the Managed Agreement Invoices. LS&Co. shall not be responsible for any late fees and other associated charges, including interest charges, with respect to the Managed Agreement Invoices if Supplier failed to submit the applicable Managed Agreement Invoices to LS&Co. for payment within a reasonable period of time prior to the date any such Managed Agreement Invoice is due, and in any case, no later than 10 business days prior to the due date of such Managed Agreement Invoice; provided however that where a Managed Agreement Invoice is provided to Supplier such that Supplier is unable to submit the Managed Agreement Invoice to LS&Co. at least 10 business days prior to the due date, Supplier’s obligation shall be to work diligently (i) to submit the invoice to LS&Co. as promptly as possible after receipt; and (ii) to obtain an extension to the due date of such Managed Agreement Invoice. If Supplier fails to submit a Managed Agreement Invoice to LS&Co. for payment in accordance with the preceding sentence, Supplier shall also be responsible for any discount not received with respect to such Managed Agreement Invoice. If Supplier fails to submit any Managed Agreement Invoice to LS&Co. for payment more than 60 days after Supplier’s receipt of such invoice, Supplier shall be responsible for payment of the entire amount of the invoice (less any amounts properly disputed by Supplier with respect to the Managed Agreement Invoice), including any late fees and other associated charges, including interest charges; provided that such 60-day period will be extended by the number of days taken by Supplier to have the third party correct any errors in a Managed Agreement Invoice or to resolve any dispute properly raised by Supplier with respect to that Managed Agreement Invoice; provided further, that in order to obtain such an extension, Supplier must work diligently in addressing any errors or disputes relating to that Managed Agreement Invoice. |
| 3.2 | Assigned Agreements. Supplier shall assume all responsibility (including all obligations and post-assignment liability) for each Assigned Agreement on and from the date that the Assigned Agreement is assigned to Supplier (“Assignment Date”). Supplier shall agree to be bound by the terms of such Assigned Agreement from and after the Assignment Date. Any modification, termination or cancellation fees or charges imposed upon LS&Co. in connection with any modification, termination or cancellation of, or consent or waiver under, an Assigned Agreement made by Supplier after the Assignment Date shall be paid by Supplier. If LS&Co. has prepaid any amounts under any Assigned Agreement which apply to obligations to be performed after the Assignment Date, Supplier shall reimburse or credit LS&Co. (at LS&Co.’s discretion) for such amounts on the first invoice provided by Supplier to LS&Co. after such amounts have been identified. Supplier shall, as of the Assignment Date, pay the invoices submitted by third parties in connection with each Assigned Agreement and shall thereafter be responsible for any late fees with respect to such third party invoices. |
4. EVOLUTION.
| 4.1 | Service Delivery. For each Service Category, Supplier shall: (a) perform the applicable Services using generally accepted processes and methods of service delivery and technology for services similar to such Services, as each of the foregoing is evolved, supplemented, modified or enhanced during the Term; and (b) with LS&Co.’s prior approval and without additional charge to LS&Co., improve and advance the quality, efficiency and effectiveness of the processes and methods of service delivery and technology to support LS&Co.’s efforts to maintain its competitiveness in the markets in which it competes and to keep pace with the advancements and improvements that occur during the Term, including adopting processes and methods of service delivery and technology that: (i) Supplier uses in providing such services to its other customers; (ii) are generally accepted in the industry applicable to such Services; or (iii) are generally adopted in LS&Co.’s industries during the Term. |
| 4.2 | Periodic Review. Supplier shall meet with LS&Co. periodically, at least once during every 180-day period or as otherwise requested by LS&Co., to inform LS&Co. of any new processes and methods of service delivery and technology Supplier is developing or processes and methods of service delivery and technology trends and directions of which Supplier is aware that could reasonably be expected to have an effect on LS&Co.’s business operations. |
| LS&Co. – Exhibit 2 – Description of Services | Page 3 |
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| 4.3 | Support of Evolution. Supplier shall: (a) train Supplier Staff in new processes and methods of service delivery and technology used generally within Supplier’s organization or used generally within Supplier’s industry and approved by LS&Co. for use in the Services; (b) make investments in processes and methods of service delivery and technology to improve the quality, efficiency and effectiveness of the processes and methods of service delivery and technology and to support LS&Co.’s efforts to maintain its competitiveness in the markets in which it competes; (c) research and propose reasonable improvements to the Services, and the process and methods of service delivery and technology, to improve the quality, efficiency and effectiveness of the processes and methods of service delivery and technology and to support LS&Co.’s efforts to maintain its competitiveness in the markets in which it competes; (d) meet with LS&Co. periodically, at least once during every 180-day period or as otherwise requested by LS&Co., to inform LS&Co. of, and discuss with LS&Co., any new processes and methods of service delivery and technology that could be implemented to improve the quality, efficiency and effectiveness of the processes and methods of service delivery and technology and to support LS&Co.’s efforts to maintain its competitiveness in the markets in which it competes; and (e) permit LS&Co. to have at least one representative (selected by LS&Co.) on any advisory board or other group established by Supplier for the purpose of soliciting or obtaining customer input with regard to any investment in the processes and methods of service delivery and technology. |
5. PROJECTS.
| 5.1 | Projects. Supplier shall perform Projects as directed by LS&Co. and in accordance with the Agreement. From time to time, and at LS&Co.’s sole discretion, LS&Co. may request that Supplier perform a Project. LS&Co. may initiate such a request by submitting or otherwise communicating to Supplier the details of the Project and LS&Co.’s business requirements with respect to a Project. |
| 5.2 | Work Order. Upon LS&Co.’s request, Supplier shall, at no cost to LS&Co., prepare a draft Work Order in accordance with LS&Co.’s specified business requirements for LS&Co.’s review; provided however that Supplier may charge for the preparation of a Work Order where the LS&Co. Governance Executive and the Supplier Governance Executive agree in writing that Supplier may charge for the preparation of an identified Work Order. If revisions are required to a draft Work Order, Supplier shall make such revisions at no cost to LS&Co. and submit the revised Work Order to LS&Co. for review and approval. A Work Order shall become effective and binding on the Parties only after such Work Order has been executed by both the Parties and no work shall be commenced by Supplier on a Project prior to receipt of LS&Co.’s approval for such Project. Projects shall be performed on a fixed-price, time-and-materials or other basis, depending on the nature of the Project and the pricing structure agreed upon by the Parties in the Work Order. No Charges for a Project or expenses shall be payable by LS&Co. under a Work Order unless expressly agreed upon by LS&Co. pursuant to such Work Order. Supplier shall track the productive hours spent by Supplier Staff performing Project activities in accordance with an agreed upon time tracking policy so that LS&Co. can properly track productive hours spent by Supplier Staff. Any time or resources that Supplier Staff expend on the Services shall not be billed to LS&Co. as chargeable Project support. |
| 5.3 | Critical Deliverables. The Work Order shall specify the dates for completion of the milestones and Deliverables (each a “Critical Deliverable”). If Supplier fails to achieve any Critical Deliverable by the completion date specified for such Critical Deliverable in the Work Order, LS&Co. shall not be required to pay any portion of the Charge associated with the Critical Deliverable unless and until Supplier’s completion of the Critical Deliverable is approved by LS&Co. If Supplier fails to complete any Critical Deliverable for which a Deliverable Credit is due by the date specified for such Critical Deliverable in the Work Order, then Supplier shall apply the Deliverable Credit against the Charges. In addition to any Deliverable Credit payable by Supplier in accordance with the Work Order if Supplier fails to meet the date specified for the Critical Deliverable, Supplier shall not be entitled to any further compensation beyond the agreed to Charge associated with the Critical Deliverable for the additional work associated with completing such Critical Deliverable after such date. |
| 5.4 | Change Orders. In the event of any changes to an executed Work Order, including changes to the description of the applicable Project, or any functional or technical requirements or acceptance criteria, Supplier shall promptly prepare a draft change order that describes such changes to the executed Work Order. Such change orders shall: (a) reflect LS&Co.’s requested changes; and (b) propose reasonable adjustments, if any, to the schedule and delivery dates described in the applicable Work Order, the date by which each Deliverable is to be completed, if applicable, and the estimated or fixed fees for the applicable Work Order. LS&Co.’s request for such draft change orders will not affect the Work Order until the change order has been executed by LS&Co. If LS&Co. accepts a draft change order, the Parties shall execute such change order and the Work Order to which it relates will be amended accordingly. |
| LS&Co. – Exhibit 2 – Description of Services | Page 4 |
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| 5.5 | Reprioritization and Cancellation. Supplier acknowledges and agrees that LS&Co. has the right, in its sole discretion, to reprioritize, stop or suspend any Project at any time upon informing the Supplier Governance Executive. LS&Co. shall not be obligated to pay Supplier any additional compensation associated with stopping or suspending a Project, except to the extent that LS&Co. agrees in advance and in writing to cover specific and identified costs that are directly related to a temporary suspension of a Project (such as agreed-to lease charges, and wages for Supplier Staff that Supplier is unable to temporarily reassign during the period of any delay), and provided that such costs shall not exceed any cap agreed to by the Parties. Supplier shall stop performing the Project work in an orderly manner as of the date specified by LS&Co., and Supplier shall only be entitled to charge LS&Co. for actual performance provided by Supplier for chargeable Project work up to the date specified in LS&Co.’s notice. |
6. FINANCE SERVICES – UNDERTAKINGS.
6.1 Debt and other Covenants. With respect to Supplier’s performance of the Finance Services set out in the applicable Statement of Work (and such other applicable Services) and without limiting Supplier’s other obligations under this Agreement, Supplier shall perform the Services in compliance with all of the undertakings of LS&Co. in any financial instrument, financial covenant or other similar undertaking of LS&Co. as such undertakings are communicated to Supplier from time to time (including any ABL credit agreement, ISDA agreement with bank counterparties or bond indentures) (the “Undertakings”). Supplier shall perform the Services as necessary to keep LS&Co. in compliance with the Undertakings; except that, to the extent that Supplier is required to perform obligations above and beyond those specified in the applicable Statement of Work, such that Supplier would be required to incur material additional costs or an increase in a material manner to the Supplier Staff beyond, in each case, that which is ordinarily used or incurred by Supplier to provide the Services, then Supplier may, in accordance with the Contract Change Process, request that LS&Co. pay the incremental costs related to such material increase. Without limiting the foregoing, Supplier shall, with respect to the Undertakings: (a) support all debt related reporting requirements and needs; (b) participate in, and assist with, periodic and ad-hoc audits of accounts receivable and inventory; (c) provide to LS&Co. such financial information of LS&Co. as is required by the applicable admin agent, trustees and paying agents (including creating documents in the form and format, and containing the information, specified by LS&Co. or the admin agent, trustee or paying agent); (d) support restrictions related to intercompany transactions; and (e) support regular audits of LS&Co.’s supply chain from SKU to standard cost (which may require access across multiple systems).
| LS&Co. – Exhibit 2 – Description of Services | Page 5 |
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BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.1
DESCRIPTION OF SERVICES – HUMAN RESOURCE SERVICES
| * | Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions marked with [****]*. |
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TABLE OF CONTENTS
| 1. |
INTRODUCTION | 1 | ||||
| 2. |
EMPLOYEE RELATIONS | 1 | ||||
| 3. |
LEAVE ADMINISTRATION | 4 | ||||
| 4. |
EMPLOYEE DATA MANAGEMENT | 6 | ||||
| 5. |
BENEFITS ADMINISTRATION | 7 | ||||
| 6. |
RECRUITMENT | 11 | ||||
| 7. |
COMPENSATION ADMINISTRATION | 15 | ||||
| 8. |
PERFORMANCE MANAGEMENT | 17 | ||||
| 9. |
OFFBOARDING | 18 | ||||
| 10. |
HR HELPDESK | 20 | ||||
| 11. |
HRIS | 23 | ||||
| 12. |
HR LANGUAGE SUPPORT | 26 |
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page i |
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1. INTRODUCTION.
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following Processes:
| • | Employee Relations |
| • | Leave Administration |
| • | Employee Data Management |
| • | Benefits Administration |
| • | Recruitment |
| • | Compensation Administration |
| • | Performance Management |
| • | Off boarding |
| • | HR Helpdesk |
| • | HRIS |
Without limiting Section 3.1 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “✓” in the column labeled Supplier).
Without limiting the obligations in this Attachment or elsewhere in the Agreement, Supplier shall, at its sole cost and expense, use its best efforts to obtain and maintain certified solution partner status for Workday applications (and any other Workday related certifications that are necessary for Supplier to provide any Services related to Workday). In addition, Supplier shall expeditiously onboard to the account, and in any event by no later than April 1, 2015, 3 technical specialists (the cost and expense for which are within the Charges) and 4 functional specialists for Workday (the cost and expense for 1 such specialist during the Transition Period being within the Charges) who shall be available at the LS&Co. Service Location specified by LS&Co., and such positions shall form part of the LS&Co. account for the Term. The Parties shall discuss and mutually agree any increases to the Charges to reflect the addition of such 3 functional specialists during the Transition Period and the retention of all 4 functional specialists on the account for the duration of the Term; provided, however, that the rate applicable to any such specialists charged to LS&Co. shall not exceed [****]* (subject to any reasonable yearly adjustments agreed to by the Parties to reflect changes in resource costs; provided that no such adjustment shall be effective until the expiration of Contract Year 1). In addition, where agreed to by LS&Co., Supplier shall be entitled to charge travel and lodging related expenses on a Pass-Through Expense basis (and subject to the requirements in Exhibit 4) with respect to any functional specialist who is required by LS&Co. to travel to a LS&Co. Service Location in order to perform their duties.
2. EMPLOYEE RELATIONS.
Supplier will be responsible for performing the Employee Relations (ER) Process. The Employee Relation Process consists of a comprehensive set of integrated functions and responsibilities that constitute support for, or relate to resolution of, employee grievances, address disciplinary and performance situations, and provide coaching to managers in connection with LS&Co.’s business, including the Supplier principal activities set forth in the following table. LS&Co. will support Supplier’s performance of the Employee Relation Process by performing the LS&Co. principal activities set forth in the following table.
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 1 |
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| No. |
Principal Activity |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 2.1 | Employee Relations | |||||||||||||
| 2.1.1 | Provide operating standards and procedures to aid Supplier in case resolution (i.e. policies, investigation methodology, appropriate remedies, tools, templates etc.) | ✓ | ✓ | ✓ | ||||||||||
| 2.1.2 | Develop ER training materials based on the guidance provided by LS&Co. to train Supplier’s staff on LS&Co. ER policies, processes and protocols. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.3 | Approve training material. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.4 | Provide trained ER subject matter experts with LS&Co. policies, processes and controls to respond to issues and inquiries and escalate to LS&Co. ER as required. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.5 | Provide ER subject matter experts to provide assistance and guidance to Supplier’s ER staff. Define policies and procedures for escalation. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.6 | Based on LS&Co. input, define process and channels for which cases are handled by vendor and which are escalated to LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.7 | Approve escalation process. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.8 | Leverage Supplier’s experience in the ER arena to create supporting documents which may be provided for internal Supplier use or to the LS&Co. HR team to facilitate the resolution of the ER issue. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.9 | Review, tailor to company-specification, and approve ER supporting documents created by Supplier | ✓ | ✓ | ✓ | ||||||||||
| 2.1.10 | Establish initial input and provide periodic input for case handling guidance. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.11 | Adhere to case handling guidance. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.12 | Adhere to operating standards and procedures for case resolution. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.13 | ER subject matter experts conduct initial probing to determine nature of the case and apply case referral protocol as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.14 | Provide managers and employees with agreed upon ER consultation services, including investigation, discovery, recommendations and coaching and case management in accordance with LS&Co. HR policies, legal requirements, established ER practices, and in consideration of Business strategic priorities as agreed for the topics: Performance management and coaching, Misconduct, Interpersonal conflicts, Harassment, Terminations for Cause and Not for Cause (including transaction processing as agreed), Absenteeism, Addressing underperformance, Working environment, Workplace accommodations, Employee grievances/complains, Other manager and employee grievances, performance issues, and/or disciplinary actions | ✓ | ✓ | ✓ | ||||||||||
| 2.1.15 | Communicate case-specific updates to employees or managers who initiated the ticket with timing agreed to with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.16 | Identify opportunities and suggest recommendations and actions based on industry best practices | ✓ | ✓ | ✓ | ||||||||||
| 2.1.1.17 | Review and approve suggested recommendations to be part of process manuals | ✓ | ✓ | ✓ | ||||||||||
| 2.1.18 | Approve recommendations to be a part of procedure manual | ✓ | ✓ | ✓ | ||||||||||
| 2.1.19 | Seek LS&Co. ER support or consensus when non-standard solutions are recommended or as required, as agreed to with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.20 | Respond to requests from Supplier ER subject matter experts in regard to case resolution support or required consensus, as agreed to with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.21 | Provide case management of employment related legal claims. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.22 | Provide available historical case documentation and employee historical data that relates to legal demands as directed by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 2 |
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| No. |
Principal Activity |
Supplier | LS&Co. | |||||||||||
| 2.1.23 | Create template design documents for written correspondence associated with the ER function and direct Supplier ER SMEs on the use of templates. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.24 | Utilize templates as directed and tailor as needed for written correspondence | ✓ | ✓ | ✓ | ||||||||||
| 2.1.25 | Suggest modifications to template design that arise during the course of business. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.26 | Approve created template designs and any modifications thereafter. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.27 | Establish mitigation strategies to address ER case trends and root causes. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.28 | Provide workshop facilitation on ER topics as directed by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.29 | Provide standard reports as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 2.1.30 | Provide custom and ad hoc reports as appropriate | ✓ | ✓ | ✓ | ||||||||||
| 2.1.31 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency | ✓ | ✓ | ✓ | ||||||||||
| 2.1.32 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 2.1.33 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 2.2 | Case Management | |||||||||||||
| 2.2.1 | Identify and report ER case trends and root causes to LS&Co. as agreed and provide recommendations and actions for improvement. | ✓ | ✓ | ✓ | ||||||||||
| 2.2.2 | Develop and/or refresh annually the escalation protocol to determine incident handling response (which calls go immediately to Supplier ER specialist for handling) | ✓ | ✓ | ✓ | ||||||||||
| 2.2.3 | Approve the annual escalation protocol framework | ✓ | ✓ | ✓ | ||||||||||
| 2.2.4 | For open employee relations cases, review files of Supplier and work with LS&Co. to determine previous leaves and employee relations cases that may impact current case. Ensure final recommendation takes into account previous leaves and employee relations cases as appropriate | ✓ | ✓ | ✓ | ||||||||||
| 2.3 | Disability and Recovery Support (DRS) | |||||||||||||
| 2.3.1 | Lead resolution of less complex requests for accommodations based on agreed guidance from LS&Co. for employees with disabilities. | ✓ | ✓ | ✓ | ||||||||||
| 2.3.2 | Respond to escalations regarding accommodation issues related to LS&Co. employees with disabilities. | ✓ | ✓ | ✓ | ||||||||||
| 2.4 | Employment Corrective Action | |||||||||||||
| 2.4.1 | Establish corporate policies regarding corrective actions. | ✓ | ✓ | ✓ | ||||||||||
| 2.4.2 | Counsel LS&Co. managers on corporate policies and applicable legal implications related to corrective actions. | ✓ | ✓ | ✓ | ||||||||||
| 2.4.3 | Counsel LS&Co. managers (for escalated cases) on corporate policies and applicable legal implications related to corrective actions. | ✓ | ✓ | ✓ | ||||||||||
| 2.4.4 | Manage the corrective action process. | ✓ | ✓ | ✓ | ||||||||||
| 2.4.5 | Manage corrective action process for escalated cases. | ✓ | ✓ | ✓ | ||||||||||
| 2.5 | Internal or External Charge Investigation and Resolution | |||||||||||||
| 2.5.1 | Complete investigation and/or manage vendors as required. | ✓ | ✓ | ✓ | ||||||||||
| 2.5.2 | Work with outside counsel and coordinate responses. | ✓ | ✓ | ✓ | ||||||||||
| 2.5.3 | Participate as needed in settlement resolution process. | ✓ | ✓ | ✓ | ||||||||||
| 2.5.4 | Provide available employee data to assist LS&Co. in responding to internal or external charge cases in accordance with Agreement. | ✓ | ✓ | ✓ | ||||||||||
| 2.6 | Legislative Updates | |||||||||||||
| 2.6.1 | As legislative changes with respect to employment and labor law occur, provide input into required revisions and changes to templates and processes. | ✓ | ✓ | ✓ | ||||||||||
| 2.6.2 | Coordinate revisions and changes to templates and processes as agreed with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 3 |
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EXECUTION VERSION
| No. |
Principal Activity |
Supplier | LS&Co. | |||||||||||
| 2.6.3 | Provide available employee data to assist LS&Co. in responding to legislative changes. | ✓ | ✓ | ✓ | ||||||||||
| 2.7 | Unemployment Insurance/Compensation Claim Dispute Process | |||||||||||||
| 2.7.1 | Manage, investigate and protest unlawful dismissal claims as needed (data support to be provided by Supplier). | ✓ | ✓ | ✓ | ||||||||||
| 2.7.2 | Any data support for social & compliance audits or external audits / legal cases. | ✓ | ✓ | ✓ | ||||||||||
3. LEAVE ADMINISTRATION.
The scope of the Leave Administration services will be to provide all Leave related administrative support to all LS&Co. employees.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 3.1 | Leave Policy and Communication | |||||||||||||
| 3.1.1 | Develop leave policies. | ✓ | ✓ | ✓ | ||||||||||
| 3.1.2 | Develop leave communications content (regulatory, policy, and procedures) to include updates to Leave Packets. | ✓ | ✓ | ✓ | ||||||||||
| 3.1.3 | Maintain the leave communication packets by making ordinary content updates as directed by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 3.1.4 | Approve changes to leave communication packets | ✓ | ✓ | ✓ | ||||||||||
| 3.1.5 | Assist with development of leave communications by providing input (subject matter expertise regarding legal and industry best practices) to LS&Co. proposed communications material. | ✓ | ✓ | ✓ | ||||||||||
| 3.1.6 | Provide information and forms/documentation to LS&Co. associates regarding leave policies. | ✓ | ✓ | ✓ | ||||||||||
| 3.1.7 | Identify, analyse and implement opportunities | ✓ | ✓ | ✓ | ||||||||||
| to drive continuous improvement and improve efficiency. | ||||||||||||||
| 3.1.8 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 3.1.9 | Collaborate with LS&Co. to make the required process or documentation change based on regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 3.2 | Leave/ Administration (including Short and Long term Disability) | |||||||||||||
| 3.2.1 | Establish eligibility guidelines for leaves related to specific Company leave policies. | ✓ | ✓ | ✓ | ||||||||||
| 3.2.2 | Provide data entry, verification, record keeping, contact center support and fulfillment support for all leaves. Including but not limited to the following: | |||||||||||||
| • Review leave requests for consistency with leave policies Administer leave program within documented guidelines Process approved and denied leaves | ||||||||||||||
| • onitor leaves for adherence to LS&Co. policies (e.g. regulatory practices, pay practices) and take action to correct any discrepancies | ||||||||||||||
| • Tracking and invoicing of premium billing notices and reconcile premium payments received with what was billed | ✓ | ✓ | ✓ | |||||||||||
| • Track and collect premiums from employees who have not submitted payment for coverage that is not covered by LS&Co. | ||||||||||||||
| • Initiate and administer return from leave process | ||||||||||||||
| • Provide status updates to Human Resources contacts as designated by LS&Co. | ||||||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 4 |
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EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||||||||
| • Administer the Leave Exhaustion process | ||||||||||||||||||||
| • Reconciling absence management with leave (where systems/time tracking is done) prior to monthly payroll | ||||||||||||||||||||
| • Provide leave details to payroll for terminations/severance | ||||||||||||||||||||
| • Provide data for statutory updates to relevant stakeholders | ||||||||||||||||||||
| 3.2.3 | Determine and communicate to employees eligibility for requested leave based on Company leave policies. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.4 | Escalate any leave requests that fall outside of guidelines to LS&Co. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.5 | Provide final decision on approval or denial for leave requests that fall outside of Company leave policies. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.6 | Track leaves usage. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.7 | Work with other in-scope teams to determine if there are implications to other work streams (employee relations, etc.) that could be impacted by employee being on leave. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.8 | Manage communication with employees on leave. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.9 | Provide entitlement tracking for leave eligibility. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.10 | Provide monthly leave reporting, including leave of absence reporting, to internal stakeholders such as Finance and external stakeholders as agreed to with LS&Co. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.101 | Process leave payments in accordance with country laws / regulations and LS&Co. policies, for example, calculate and provide notification to LS&Co. for any other offsets to LS&Co. disability payments. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.12 | Create the content for the LS&Co. website. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.13 | Update content on LS&Co. website. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.2.14 | Enter leave accrual adjustments in HRIS monthly to maintain audit requirements. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3 | Workers’ Compensation and Accident Insurance | |||||||||||||||||||
| 3.3.1 | Select and manage Workers’ Compensation Claims (WC Provider) or local equivalent. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.2 | Identification and notification of on the job injury (Employee or employee’s manager contacts Vendor). | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.3 | Review Accident/Illness Report Form as reported by the employee and the employee’s manager. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.4 | Complete and submit the Accident report form to the WC Provider or local equivalent (as applicable) to initiate the claim process. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.4 | Review injury claim and incident work location, if possible, to avoid future employee injuries. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.5 | Coordinate with insurance and health care provider to determine viability of claim and necessary length of leave. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.6 | Complete the appropriate Workers Compensation Form (or local equivalent). | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.7 | Provide the Workers Compensation / Insurance Form to the WC / Insurance Provider so that they can coordinate the claim. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.8 |
Track Workers’ compensation/Insurance forms—and claim administration process. |
✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.9 |
Respond to questions from WC Provider/Insurance and Health Care Provider. |
✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.10 | Provide injured employee with their FMLA (or equivalent) notification if the employee is out of work as a result of the illness/injury. | ✓ | ✓ | ✓ | ||||||||||||||||
| 3.3.11 | Complete leave related paperwork and enter relevant data into Workday and forward paperwork to Payroll. | ✓ | ✓ | ✓ | ||||||||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 5 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 3.3.12 | Provide earnings and headcount information for insurance renewal process / equivalent process across regions. | ✓ | ✓ | ✓ | ||||||||||
| 3.3.13 | Prepare information for workers compensation premium. | ✓ | ✓ | ✓ | ||||||||||
| 3.3.14 | Pay workers compensation premium. | ✓ | ✓ | ✓ | ||||||||||
| 3.3.15 | Provide earnings and headcount information for LS&Co. wide workers compensation insurance renewal process. | ✓ | ✓ | ✓ | ||||||||||
| 3.4 | Leave Management – Return to Work | |||||||||||||
| 3.4.1 | Establish the policies and accountabilities to address return to work plans for employees with disabilities and any other type of work restrictions. | ✓ | ✓ | ✓ | ||||||||||
| 3.4.2 | Coordinate and implement the processes to address Return to Work plans for employees with disabilities and any other leave related type of work restriction. | ✓ | ✓ | ✓ | ||||||||||
| 3.4.3 | Resolve medical requests for accommodations for LS&Co. employees or other applicable stakeholders with disabilities based on agreed to accommodation guidelines by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| Supplier responsibilities include: | ||||||||||||||
| - Handling requests for accommodations | ||||||||||||||
| - Gathering eligibility information | ||||||||||||||
| - Discussing with employees and managers. | ||||||||||||||
| 3.4.4 | Manage claim process and confirm claim is handled properly. Oversee the return to work process. | ✓ | ✓ | ✓ | ||||||||||
| 3.4.5 | Coordinate with employee’s manager to arrange any special accommodations that may be required for employee’s return to work. | ✓ | ✓ | ✓ | ||||||||||
| 3.4.6 | Authorize any special accommodations that may be required for employee’s return to work as per LS&Co. guidelines. | ✓ | ✓ | ✓ | ||||||||||
4. EMPLOYEE DATA MANAGEMENT.
Supplier will be responsible for performing the Employee Data Management Process. The Employee Data Management Process consists of a comprehensive set of integrated functions and responsibilities that constitute timely and accurately completion of all employee transactions data entry into the human resource system in order to maintain employee satisfaction.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 4.1 | Strategy and Policy | |||||||||||||
| 4.1.1 | Establish employee record management strategy and policies. | ✓ | ✓ | ✓ | ||||||||||
| 4.1.2 | Identify specific regulatory or legislative requirements that govern records management (e.g. data protection, privacy, retention, registration requirements) and identify compliance requirements. | ✓ | ✓ | ✓ | ||||||||||
| 4.1.3 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency. | ✓ | ✓ | ✓ | ||||||||||
| 4.1.4 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 4.1.5 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 4.2 | New Hire Processing and General Administration Activities | |||||||||||||
| 4.2.1 | Provide new hire information for data entry into HR Systems where self-service is not available. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.2 | Receive new hire information, enter, and verify New Hire employee data for HR, Benefits and Payroll processing. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 6 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 4.2.3 | Produce a monthly immigration compliance forms (such as I9) report and reconcile with the new hires data. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.4 | Retain legacy immigration compliance forms (such as I9) for new hires and purge upon termination of employee. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.5 | Update immigration compliance forms (such as I9) for employee name changes. Employee is required to submit the legal name change form to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.6 | Complete a new hire check list to ensure that all required documents have been completed. The checklist is filed in the employee file. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.7 | Audit, track and chase the tentative non-confirmations that are returned based on background check results. Escalate as appropriate until issue is resolved. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.8 | Track and chase new hires with pending TNC’s and resolve or terminate as applicable within guidelines provided by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.9 | Verify information in the HR System. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.10 | Maintain a log of LS&Co. new hire information received. The log will be based on LS&Co. defined new hire information required documents list. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.11 | Annually prepare the Wage Notifications as required. Track and chase and follow up with employees who have not completed and returned the wage notices. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.12 | Develop the Wage Notifications Report (related to the previous item). | ✓ | ✓ | ✓ | ||||||||||
| 4.2.13 | Receive, process, and store employee benefits data for global employees as per country requirements for a wide arrange of Insurance and benefit programs. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.14 | Email Network ID letters (performed for employees do not have corporate email addresses on a cadence agreed to with LS&Co.) to employee managers; to be performed manually if integrations are not built. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.15 | Update employee data in HR Systems for mobility (cross-border assignments and in-country transfers and special assignments). | ✓ | ✓ | ✓ | ||||||||||
| 4.2.16 | Update and maintain electronic records and reports. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.17 | Run and distribute scheduled reports. | ✓ | ✓ | ✓ | ||||||||||
| 4.2.18 | Provide ad-hoc reports as requested by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 4.3 | Physical Employee Records, Files and Documents | |||||||||||||
| 4.3.1 | Define data content requirements (personnel file content). | ✓ | ✓ | ✓ | ||||||||||
| 4.3.2 | Provide records retention policy to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 4.3.3 | Forward/ship physical documents for storage at Supplier’s agreed to site(s), where applicable and pending global storage solution across towers. | ✓ | ✓ | ✓ | ||||||||||
| 4.3.4 | Store physical documents received at Supplier location and off-site storage according to client-defined requirements for statutory and regulatory compliance and agreed client requirements. | ✓ | ✓ | ✓ | ||||||||||
| 4.3.5 | Fulfill requests for files to employees/retirees, managers, HR and Legal per corporate standards and within agreed to timeframes. | ✓ | ✓ | ✓ | ||||||||||
| 4.3.6 | Maintain records of all LS&Co. files including checked out and returned logs. | ✓ | ✓ | ✓ | ||||||||||
| 4.3.7 | Dispose of LS&Co. files based on agreed to disposal procedures. | ✓ | ✓ | ✓ | ||||||||||
5. BENEFITS ADMINISTRATION.
This document sets forth the functional Benefit Administration requirements for LS&Co., identifies the in-scope processes, primary owner for each function, and the Benefits Administration services which Supplier shall provide in accordance with the Agreement.
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 7 |
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EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 5.1 | Benefits Strategy, Policy & Program Design | |||||||||||||
| 5.1.1 | Develop benefits strategy and policies – design benefit programs to meet business goals and objectives. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.2 | Provide recommendation(s) for implementation of benefits plans, strategy, federal and state compliance/legislative updates and communications. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.3 | Approve or decline implementation recommendations. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.4 | Develop benefits communication strategy/vision and structure/develop communications. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.5 | Deploy and deliver communications to employees including but not limited to communications for open enrolment, new hires, medical retirement notices, governmental notices. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.6 | Updated standard operating procedures for new/revised benefit plans. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.7 | Define the strategy and direction for the enrollment process, including formats, default elections, and follow-up/reminder criteria. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.8 | Notify Supplier of policy changes affecting benefits administration. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.9 | Communicate notification of policy changes affecting benefits administration to LS&Co. employees using agreed-upon templates/formats. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.10 | outsourcing of benefits administration. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.11 | Review and comment on impact of benefits communication strategy and employee communications when prepared by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.12 | Develop and update annual Benefits information session materials and provide to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.13 | Present Benefits information sessions. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.14 | Train and update Supplier Benefits teams on LS&Co. annual benefits information. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.15 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency. | ✓ | ✓ | ✓ | ||||||||||
| 5.1.16 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 5.1.17 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 5.2 | Annual Enrollment | |||||||||||||
| 5.2.1 | Develop the plan for annual enrollment and manage the overall process. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.2 | Review annual enrollment plan and provide feedback to LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.3 | Notify participants of enrollment opportunity. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.4 | Administer default benefit elections, as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.5 | Coordinate with 3rd party vendors and manage enrolment process. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.6 | Coordinate system updates and testing with 3rd party vendors and LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.7 | Send communication to employees during plan renewal/enrollment period | ✓ | ✓ | ✓ | ||||||||||
| 5.2.8 | Receive and Process manual enrollment benefit elections forms. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.9 | Notify LS&Co. of the status of the aggregate enrolment activity in conjunction with agreed to overall reporting responsibilities. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.10 | For enrollments, issue electronic reminders to employees of the enrollment period deadlines, based upon agreed to business rules and employee populations. (Note that these notices may be fully automated at some point in time). | ✓ | ✓ | ✓ | ||||||||||
| 5.2.11 | Manage/Assist with employee annual enrollment issues (e.g. enrollment submissions, guidelines, enrollment issues, etc.). | ✓ | ✓ | ✓ | ||||||||||
| 5.2.12 | Administer the annual open enrollment process, including the preparation and execution of the project plan and coordination of all project activities.Enrollment includes benefit plans (including pension) for LS&Co. employees and retirees. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.13 | Perform user/functional testing of system changes (applied during annual open enrollment) | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 8 |
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EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 5.2.14 | Send Paper Open Enrollment Package for employee populations that have been agreed to by LS&Co. where applicable. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.15 | Review & manage rate changes with 3rd party vendors and communicate new rates to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.16 | Update rates in LS&Co. systems, related tools, and employee communications. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.17 | Provide benefits policy to be uploaded in the portal. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.18 | Publish benefits policy in the portal. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.19 | Identify eligible annual enrollment participants & submit any errors to correct. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.20 | Correct eligibility errors identified by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.2.21 | Generate forms and mailings (e.g. EOI mailings) required in support of benefits administration globally. | ✓ | ✓ | ✓ | ||||||||||
| 5.3 | Process Newly Eligible Employees | |||||||||||||
| 5.3.1 | Design/Update new hire packet materials. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.2 | Update new hire packets with materials provided by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.3 | Identify eligibility post promotion, comp changes etc. and send out benefits packet. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.4 | Enter accurate participant data in the HR System for designated employee groups as determined by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.5 | Proactively investigate, communicate and resolve any significant or recurring data issues where Supplier has the responsibility for updating on behalf of LS&Co, including but not limited to identification of data discrepancies from interface error reports. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.6 | Notify LS&Co. of any data errors or issues that are identified by Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.7 | Liaise with third party vendors to resolve/fix data discrepancies and take all appropriate action to resolve, correct, and update discrepancies with vendors. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.8 | Escalate data errors or issues to LS&Co. as required, with ownership remaining with Supplier to identify, resolve, and correct the error / issue. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.9 | Perform year-end taxable benefit reconciliation as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.10 | Communicate/coordinate with 3rd party vendors where necessary to confirm participant’s eligibility. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.11 | Issue enrollment reminders to employees to remind them of enrollment deadline. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.12 | Generate forms and mailings (e.g. EOI mailings) required in support of benefits administration globally. | ✓ | ✓ | ✓ | ||||||||||
| 5.3.13 | Calculate and program deductions for contributions, as needed for each country benefit program, and deliver accurate amounts to payroll on time. | ✓ | ✓ | ✓ | ||||||||||
| 5.4 | Life Events / Employment Status Change | |||||||||||||
| 5.4.1 | Design Life event strategy including policies around life events. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.2 | Receive and process manual enrollment benefit elections forms, where self-service is not available. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.3 | Identify employees who have a change in their eligibility status, due to an employment status change. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.4 | Terminate participant coverage (due to ineligibility) in the HR System | ✓ | ✓ | ✓ | ||||||||||
| 5.4.5 | Terminate or extend participant coverage for benefits in accordance with severance policies, as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.6 | Generate forms and mailings (e.g. EOI mailings) required in support of benefits administration globally, and update the system records for approved documents returned from LS&Co.’s insurance provider. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.7 | Update beneficiary designations where self-service is not available. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.8 | Determine employee costs to be conveyed to vendors for eligibility, claims, billing, reconciliation, and preparation of accounting materials for the LS&Co. benefits accounting teams. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.9 | Collect premiums directly from participants and submit amounts to the appropriate parties. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 9 |
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EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 5.4.10 | Terminate coverage due to non-payment as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.11 | Receive notification of death and death certificate from participant or survivor. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.12 | File claim for death processing, and determine impact on benefits. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.13 | Provide single point of contact for participant/survivor to assist with claim filing and understanding the impact on benefits. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.14 | Provide corresponding documentation and/or claim forms to 3rd party vendor. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.15 | Transmit status and coverage changes to carriers and third parties as agreed. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.16 | Assist with life insurance claim form submission. | ✓ | ✓ | ✓ | ||||||||||
| 5.4.17 | Coordinate with 3rd parties (for administration and distribution) of benefits vouchers, including but not limited to lunch vouchers, child care vouchers, long-term service award vouchers. | ✓ | ✓ | |||||||||||
| 5.4.18 | Distribute benefits vouchers. | ✓ | ✓ | |||||||||||
| 5.5 | Billing and Reconciliation | |||||||||||||
| 5.5.1 | Manage/reconcile and request provider payments and disbursements. | ✓ | ✓ | ✓ | ||||||||||
| 5,5.2 | Manage/reconcile trusts and escalate issues when discovered. | ✓ | ✓ | ✓ | ||||||||||
| 5.5.3 | Validate invoices and compare this to what is recorded in the HR system for enrollments. | ✓ | ✓ | ✓ | ||||||||||
| 5.5.4 | Communicate and resolve discrepancies with 3rd party vendors and LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.5.5 | Reconcile employee eligibility against invoices received and report on it to LS&Co. on a monthly basis; escalate vendor relations issues | ✓ | ✓ | ✓ | ||||||||||
| 5.5.6 | Provide fiscal management of plans including financial management, reconciliation of trusts, actuarial relationships/performance, plan assumptions and funding. | ✓ | ✓ | ✓ | ||||||||||
| 5.5.7 | Review Benefit plan vendor’s error reports and determine corrective actions required. | ✓ | ✓ | ✓ | ||||||||||
| 5.5.8 | Make corrections in Workday (dependent on Workday roles assigned to Supplier). | ✓ | ✓ | ✓ | ||||||||||
| 5.5.9 | Communicate corrective actions that are LS&Co.’s responsibility to correct (plan set up and configuration) | ✓ | ✓ | ✓ | ||||||||||
| 5.5.10 | Correct errors that require Workday plan set up or configuration changes. | ✓ | ✓ | ✓ | ||||||||||
| 5.6 | Regulatory Reporting | |||||||||||||
| 5.6.1 | Provide standard reporting | ✓ | ✓ | ✓ | ||||||||||
| 5.6.2 | Access ad hoc reporting or obtain reports to gather information necessary for design and support of benefits programs, for workforce planning purposes and regulatory reporting. | ✓ | ✓ | ✓ | ||||||||||
| 5.6.3 | Provide data for statutory, regulatory, and compliance reporting and monitoring as agreed | ✓ | ✓ | ✓ | ||||||||||
| 5.6.4 | Produce statutory, regulatory, and compliance reports and test for benefits regulatory compliance. | ✓ | ✓ | ✓ | ||||||||||
| 5.6.5 | Provide fulfillment (participant) services for government mandated disclosures or equivalent. | ✓ | ✓ | ✓ | ||||||||||
| 5.6.6 | Provide notification of legislative changes that affect the in-scope benefit plans in accordance with the Agreement. | ✓ | ✓ | ✓ | ||||||||||
| 5.7 | Manage Service Requests / Escalations | |||||||||||||
| 5.7.1 | Manage cases and escalations related to benefits claims and the benefits claims processes as agreed, including but not limited to voluntary benefits, global wellness programs, global EAP, adoptions programs. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.2 | Respond to inquiries related to benefits claims and the benefits claims processes as agreed, including but not limited to voluntary benefits, global wellness programs, global EAP, adoptions programs. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.3 | Escalate cases to designated LS&Co. representative when needed. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.4 | Resolve escalated issues. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.5 | Instruct employee on benefit eligibility appeals and final determination process. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.6 | Review and make final determination on eligibility/enrollment appeals. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.7 | Provide claims data to support adjudication appeals. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 10 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 5.7.8 | Resolve adjudication appeals. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.9 | Respond to queries related to any ancillary benefits program including but not limited to life insurance, wellness, EAP, adoption benefits, legal insurance, and refer to carrier(s) as needed in an accurate and timely manner (as applicable per the local policies) | ✓ | ✓ | ✓ | ||||||||||
| 5.7.10 | Proactively investigate, communicate and resolve any significant or recurring data issues where Supplier has the responsibility for updating on behalf of LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 5.7.11 | Notify LS&Co. of any data errors or issues that are identified by Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 5.8 | Retiree Administration | |||||||||||||
| 5.8.1 | Provide eligibility policy | ✓ | ✓ | ✓ | ||||||||||
| 5.8.2 | Determine accurate eligibility for retiree medical coverage upon retirement and enrol/migrate them to the appropriate plan. Manage specific age and eligibility requirements for all country’s retiree medical programs as needed (for example, in the US, ensure that under 65 and over 65 retirees are transitioned to the correct medical plan) | ✓ | ✓ | ✓ | ||||||||||
| 5.8.3 | Send retirement packet to any eligible employees upon request or identification for eligibility | ✓ | ✓ | ✓ | ||||||||||
| 5.8.4 | Provide any retirement plan change information | ✓ | ✓ | ✓ | ||||||||||
| 5.8.5 | Update system of record for Retirees for plan changes as per agreed administrative responsibilities (i.e. rate changes, supplemental life coverage, deduction waivers) | ✓ | ✓ | ✓ | ||||||||||
| 5.8.6 | Work with vendor on Retiree direct xxxx | ✓ | ✓ | ✓ | ||||||||||
| 5.8.7 | Share annual retire rate charges | ✓ | ✓ | ✓ | ||||||||||
| 5.8.8 | Manage rate change – calculate & communicate | ✓ | ✓ | ✓ | ||||||||||
| 5.8.9 | Provide administrative support for all country retirement income programs as needed, including providing forms, information, integrations, and vendor handoffs where outsourced | ✓ | ✓ | ✓ | ||||||||||
6. RECRUITMENT.
Supplier will be responsible for performing the recruitment Process. The Responsibility Matrix set forth below indicates who is accountable for certain listed processes, activities and tasks as part of the Recruitment Services.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AM | LSA | LSE | AMA | |||||||||
| 6.1 | Strategy, Policy and Planning | |||||||||||||
| 6.1.1 | Assess business need for talent acquisition and talent deployment. | ✓ | ✓ | ✓ | ||||||||||
| 6.1.2 | Develop workforce plan to indicate a rolling forecast with 90 day horizon. | ✓ | ✓ | ✓ | ||||||||||
| 6.1.3 | Design delivery strategy for recruitment administration and execution. | ✓ | ✓ | ✓ | ||||||||||
| 6.1.4 | Design and develop employment branding/marketing materials and related internal and external recruiting communications. | ✓ | ✓ | ✓ | ||||||||||
| 6.1.5 | Utilize developed employment branding/marketing materials and related internal and external recruiting communications for Retail and Distribution requisitions. | ✓ | ✓ | ✓ | ||||||||||
| 6.1.6 | LS&Co. will advise Supplier of changes in company policies that impact this recruitment SOW. Any material impact on Supplier costs will be captured through the change process. | ✓ | ✓ | ✓ | ||||||||||
| 6.1.7 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency | ✓ | ✓ | ✓ | ||||||||||
| 6.1.8 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 6.1.9 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 6.2 | Requirement Gathering | |||||||||||||
| 6.2.1 | Define open job requirement. | ✓ | ✓ | ✓ | ||||||||||
| 6.2.2 | Initiate requisition and approve as appropriate. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 11 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 6.2.3 | Edit, complete and post job requisition, and audit for accuracy as required. | ✓ | ✓ | ✓ | ||||||||||
| 6.2.4 | Discuss needs and decide sourcing strategy with hiring manager or HR as appropriate. | ✓ | ✓ | ✓ | ||||||||||
| 6.2.5 | Define and communicate level and compensation guidelines. | ✓ | ✓ | ✓ | ||||||||||
| 6.2.6 | Confirm level and compensation with LS&Co. hiring manager. | ✓ | ✓ | ✓ | ||||||||||
| 6.2.7 | Verify approval for open positions as appropriate. | ✓ | ✓ | ✓ | ||||||||||
| 6.3 | Sourcing and Screening | |||||||||||||
| 6.3.1 | Develop sourcing plan based on delivery strategy. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.2 | Provide off-limit companies or institutions as defined by LS&Co. policy. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.3 | Develop or acquire sourcing licenses and database tools to support the Recruitment strategy. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.4 | Design and communicate sourcing guidelines specifically related to LS&Co. brand. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.5 | Mine LS&Co. resume/CV database and match candidates to open requisition. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.6 | Source and mine external job boards for requisitions. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.7 | Mine LS&Co. succession database and match candidates to open requisition. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.8 | Distribution hires - Identify candidates per terms of applicable collective agreements or legislation (e.g. layoffs, seniority based job bidding, recalls, etc.) using the ATS | ✓ | ✓ | ✓ | ||||||||||
| 6.3.9 | Match candidates as provided (from collective agreements, works councils) to open requisition. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.10 | Determine if internal candidate pool is sufficient for requisitions. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.11 | Manage and execute all sourcing required to fill in-scope positions including job postings, advertising, career fairs and internet postings | ✓ | ✓ | ✓ | ||||||||||
| 6.3.12 | Manage and track employee referrals based on LS&Co. guidelines. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.13 | Post Retail requisitions on xxxxxxxxxxx.xxx and Threads. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.14 | Posting support on job boards, niche sites and print ads will include Retail Hourly requisitions. All costs including career fair attendance and travel must be approved by LS&Co. and passed-through with no xxxx-up. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.15 | Manage reporting of employee referral payments consistent with LS&Co. company policy. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.16 | Track applicants and status of candidate flow. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.17 | Work with approved recruiting agencies for requisitions. All agency costs are retained by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.18 | Develop job requisition and employment application. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.19 | Send acknowledgement communication. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.20 | Conduct initial screen for Distribution owned requisitions. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.21 | Perform screen and document results for using the Application Tracking System (“ATS”) for requisitions. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.22 | Receive paper resumes and screening questionnaires from retail stores and distribution centers, process and enter into the LS&Co. system for agreed upon countries and volumes. | ✓ | ✓ | ✓ | ||||||||||
| 6.2.23 | Enter assessment results into the ATS for manually processed applications and communicate to LS&Co. as required for agreed upon volumes. | ✓ | ✓ | ✓ | ||||||||||
| 6.3.24 | Rank and select candidates for hiring using the ATS. | ✓ | ✓ | ✓ | ||||||||||
| 6.4 | Candidate Assessment and Qualification | |||||||||||||
| 6.4.1 | Develop candidate lists and develop short lists | ✓ | ✓ | ✓ | ||||||||||
| 6.4.2 | Assess candidates from short list and make selections | ✓ | ✓ | ✓ | ||||||||||
| 6.4.3 | Qualify candidates. | ✓ | ✓ | ✓ | ||||||||||
| 6.4.4 | Make contact with executive referred candidates. | ✓ | ✓ | ✓ | ||||||||||
| 6.4.5 | Administer assessments/testing using LS&Co. approved and validated tests at the cost of LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.4.6 | Validate candidate eligibility based upon customer’s guidelines. (Including the right to work in the country) | ✓ | ✓ | ✓ | ||||||||||
| 6.4.7 | Administer background checks as per the global policy and with support from 3rd party agencies | ✓ | ✓ | ✓ | ||||||||||
| 6.4.8 | Request medical / drug screen for candidates | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 12 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 6.4.9 | Track and record results of drug testing | ✓ | ✓ | ✓ | ||||||||||
| 6.4.10 | Manage communication to denied candidates and communicate to LS&Co. for medical / drug screen | ✓ | ✓ | ✓ | ||||||||||
| 6.4.11 | Follow-up with qualified candidates and communicate to LS&Co. for medical / drug screen. | ✓ | ✓ | ✓ | ||||||||||
| 6.4.12 | Provide compliance adjudication guidelines and determine final decision for candidates in pending statuses per LS&Co. policies. | ✓ | ✓ | ✓ | ||||||||||
| 6.4.13 | Determine course of action in liaison with LS&Co. based on background check findings | ✓ | ✓ | ✓ | ||||||||||
| 6.4.14 | Communicate results of background check to candidates and to LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.5 | Interview and Selection | |||||||||||||
| 6.5.1 | Administer and coordinate interview schedules, responding to request from LS&Co. for scheduling within agreed upon timeframe | ✓ | ✓ | ✓ | ||||||||||
| 6.5.2 | Respond to interview scheduling invitations within timeframe mutually agreed. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.3 | Administer and coordinate selection process for requisitions. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.4 | Conduct screening interview for requisitions | ✓ | ✓ | ✓ | ||||||||||
| 6.5.5 | Coordinate candidate’s travel utilizing LS&Co.’s travel center and follow LS&Co. prescribed recruitment travel policies, as requested by LS&Co. All candidate travel costs are reimbursed and retained by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.6 | Conduct interview. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.7 | Provide Interview feedback within two (2) business days. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.8 | Status candidates in the ATS upon feedback from Managers. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.9 | Assist Managers with hiring decision. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.10 | Make hiring decision and final approval for extending offer details. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.11 | Extend verbal offer for positions if directed by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.12 | Negotiate offers. | ✓ | ✓ | ✓ | ||||||||||
| 6.5.13 | Prepare and distribute offer letters via the ATS | ✓ | ✓ | ✓ | ||||||||||
| 6.5.14 | Manage tracking and reporting databases to reflect current status and selections. | ✓ | ✓ | ✓ | ||||||||||
| 6.6 | On-boarding | |||||||||||||
| 6.6.1 | Conduct post-offer activity of sending onboarding emails to Managers through the ATS. | ✓ | ✓ | ✓ | ||||||||||
| 6.6.2 | Request background investigations, according to LS&Co. policy and compliance. | ✓ | ✓ | ✓ | ||||||||||
| 6.6.3 | Coordinate new hire processes as required by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.6.4 | Collect, track, and provide updates at intervals agreed to with LS&Co. on new hire paperwork | ✓ | ✓ | ✓ | ||||||||||
| 6.6.5 | Conduct monthly hiring manager and candidate satisfaction survey via electronic means. | ✓ | ✓ | ✓ | ||||||||||
| 6.7 | General Administration | |||||||||||||
| 6.7.1 | Process and support visa sponsorship. | ✓ | ✓ | ✓ | ||||||||||
| 6.7.2 | Provide all Recruitment related reporting and analytics to LS&Co. as agreed to | ✓ | ✓ | ✓ | ||||||||||
| 6.7.3 | Maintain and administer recruiting systems | ✓ | ✓ | ✓ | ||||||||||
| 6.7.4 | Maintain job related web content on LS&Co.’s company websites (internal and external postings). | ✓ | ✓ | ✓ | ||||||||||
| 6.7.5 | Manage internal transfers into open positions with guidance from LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.7.6 | Execute LS&Co.’s recruiting process for internal, external and seasonal candidates and during peak times, including all required forms. | ✓ | ✓ | ✓ | ||||||||||
| 6.7.7 | Provide administrative support for LS&Co.’s campus recruiting process. | ✓ | ✓ | ✓ | ||||||||||
| 6.7.8 | Provide standard correspondence letters | ✓ | ✓ | ✓ | ||||||||||
| 6.7.9 | Manage declines and track all declines and disposition candidates, send relevant correspondence using standard templates as agreed to with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 6.8 | Statutory Reporting & EEO Reporting | |||||||||||||
| 6.8.1 | Review transactional data and collaborate with Recruitment, HR Transactions and/or LS&Co. on any required corrections to data. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.2 | Inform Supplier of upcoming organizational changes/updates and special requirements. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 13 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 6.8.3 | Report employee data related to new hires, job/employment data changes, and exits. (as required) | ✓ | ✓ | ✓ | ||||||||||
| 6.8.4 | Review and update missing gender and ethnicity data and complete reporting. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.5 | Receive applicant data report via internal IT reporting team and review data for completeness. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.6 | Ensure all stats from employment activity are reflected in recruiting activity. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.7 | Ensure all new hires are reflected in employee data. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.8 | Research outstanding items. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.9 | Ensure job categories and levels are consistent with statistics and recruiting data. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.10 | Provide recruiting report. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.11 | Notify Supplier EEO of audit and relevant audit dates. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.12 | Coordinate with Supplier EEO team on approach and action plan for responding to audit. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.13 | Produce compensation analysis and AAP preparation for audit. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.14 | Manage completion of request and submit to LS&Co. on timely basis. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.15 | Affirmative action plan preparation | ✓ | ✓ | ✓ | ||||||||||
| 6.8.16 | Inquire and obtain information about regulatory changes. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.17 | Send goals report to outside counsel for review. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.18 | Send Compensation Analysis Report to outside counsel for review. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.19 | Send LS&Co. a listing of the EEO Coordinators previously on file with Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.20 | Send Supplier any edits to EEO Coordinator listing. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.21 | Complete year-end reporting | ✓ | ✓ | ✓ | ||||||||||
| 6.8.22 | Finalize recruiting weights. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.23 | Analyze reporting and provide questions/feedback to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.24 | Finalize year-end reporting (including outside counsel review). | ✓ | ✓ | ✓ | ||||||||||
| 6.8.25 | Prepare reporting for exhibits. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.26 | Finalize Goals Report and send to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.27 | Finalize Compensation Analysis Report and send to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.28 | Send Narrative to outside counsel for review. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.29 | Send Policy Statement Letter to outside counsel for review. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.30 | Send finalized Narrative to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.31 | Send finalized Policy Statement Letter to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.32 | Update Narrative with EEO Coordinator contact info and plan year. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.33 | Prepare Workforce Analysis reports (review salary ranges; titles, pay grades, etc.). | ✓ | ✓ | ✓ | ||||||||||
| 6.8.34 | Prepare Job Group Analysis reports). | ✓ | ✓ | ✓ | ||||||||||
| 6.8.35 | Prepare Availability Analysis reports (review availability by job group against ESR). | ✓ | ✓ | ✓ | ||||||||||
| 6.8.36 | Prepare Utilization Analysis reports (by job group). | ✓ | ✓ | ✓ | ||||||||||
| 6.8.37 | Identify Goals where under-utilization occurs and provide Goals summary report. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.38 | Prepare Compensation Analysis reports which include male versus female and minority versus non-minority analysis. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.39 | Review all reports and provide questions and feedback to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.40 | Review all reports with outside counsel; provide questions and feedback to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.41 | Review goals with internal counsel. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.42 | Finalize all analysis reports (including internal/outside counsel review). | ✓ | ✓ | ✓ | ||||||||||
| 6.8.43 | Prepare EEO-1 Reports and Vets-100A reports as required and forward to LS&Co. for review and sign-off. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.44 | Review reports and provide corrections if necessary. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.45 | Revise reports and post on EEOC and DOL website by the published reporting deadlines. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.46 | Publish AA Plans | ✓ | ✓ | ✓ | ||||||||||
| 6.8.47 | Prepare two final copies of AAPs for Women & Minorities and AAPs for Veterans & Disabled: 1 to LS&Co. and 1 to outside counsel; e-copy posted on SharePoint for EEO Coordinator and workplace. Equivalent regional process steps to be included during transition. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 14 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 6.8.48 | Distribute VP HR goals memo to all HO people managers. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.49 | Distribute goal memos to local managers and send confirmation to Corporate HR. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.50 | Post policy statement at each location and send confirm to Corporate HR. | ✓ | ✓ | ✓ | ||||||||||
| 6.8.51 | Save Confirmation from EEO Coordinator re: distribution of goals memo and post policy. | ✓ | ✓ | ✓ | ||||||||||
7. COMPENSATION ADMINISTRATION.
Supplier will be responsible for performing compensation administration. The Responsibility Matrix set forth below indicates who is accountable for certain listed processes, activities and tasks as part of the compensation administration Services.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 7.1 | Building compensation strategy & plan | |||||||||||||
| 7.1.1 | Establishing an organizational strategy, objectives and grouping tasks into jobs | ✓ | ✓ | ✓ | ||||||||||
| 7.1.2 | Developing a compensation strategy based on job specification and requirements | ✓ | ✓ | ✓ | ||||||||||
| 7.1.3 | Budgeting for the compensation plan | ✓ | ✓ | ✓ | ||||||||||
| 7.1.4 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency | ✓ | ✓ | ✓ | ||||||||||
| 7.1.5 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 7.1.6 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates. | ✓ | ✓ | ✓ | ||||||||||
| 7.2 | Evaluating current compensation plans & systems | |||||||||||||
| 7.2.1 | Evaluating the compensable and non- compensable factors currently existing in the organization | ✓ | ✓ | ✓ | ||||||||||
| 7.2.2 | Survey request from the research analysts (Xxxxxx, Xxxxxx etc.) | ✓ | ✓ | ✓ | ||||||||||
| 7.2.3 | Support survey needs (e.g. data collection) | ✓ | ✓ | ✓ | ||||||||||
| 7.2.4 | Receiving survey data (market research reports) | ✓ | ✓ | ✓ | ||||||||||
| 7.2.5 | Pooling the report for benchmarking analysis | ✓ | ✓ | ✓ | ||||||||||
| 7.2.6 | Benchmarking compensation plans based on the market intelligence & best practices | ✓ | ✓ | ✓ | ||||||||||
| 7.2.7 | Identification & prioritization of the key changes/ improvisations needed in the existing compensation policy like mix of fixed and variable compensation, target quartile as compared to competition, specific technologies etc. | ✓ | ✓ | ✓ | ||||||||||
| 7.2.8 | Developing the annual compensation plans and schedules to execute the changes needed | ✓ | ✓ | ✓ | ||||||||||
| 7.3 | Designing & developing salary structures | |||||||||||||
| 7.3.1 | Designing the job evaluation and grading studies for determining compensation plans / structures for different jobs/ roles | ✓ | ✓ | ✓ | ||||||||||
| 7.3.2 | Execution of the job analysis program and preparation of job groups based on complexity levels | ✓ | ✓ | ✓ | ||||||||||
| 7.3.3 | Preparation of job descriptions for all jobs in a job group | ✓ | ✓ | ✓ | ||||||||||
| 7.3.4 | Model different salary structures and evaluate possible impacts in terms of employee motivation, regulatory compliance, business impact, competition etc. | ✓ | ✓ | ✓ | ||||||||||
| 7.3.5 | Determining the most appropriate salary structure for different functions | ✓ | ✓ | ✓ | ||||||||||
| 7.3.6 | Obtaining consent/ approval from business leaders of each function on the compensation plans prepared | ✓ | ✓ | ✓ | ||||||||||
| 7.4 | Developing fixed and variable compensation plans | |||||||||||||
| 7.4.1 | Developing fixed & variable compensation plans based on possible impacts in terms of employee motivation, regulatory compliance, business impact, competition etc. | ✓ | ✓ | ✓ | ||||||||||
| 7.4.2 | Combining the compensation and non-compensation dimensions into an effective reward system for different groups of employees | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 15 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 7.5 | Communicating / updating employees on the compensation plans | |||||||||||||
| 7.5.1 | Communicating the details of compensation plans to specific stakeholders using appropriate channels including but not limited to email and hard copy via post if required. | ✓ | ✓ | ✓ | ||||||||||
| 7.5.2 | Advising employees on how best they can utilize the compensation plan | ✓ | ✓ | ✓ | ||||||||||
| 7.5.3 | Sending reminders to employees/ managers for compensation plans and changes | ✓ | ✓ | ✓ | ||||||||||
| 7.6 | Clarifying compensation specific queries/grievances | |||||||||||||
| 7.6.1 | Providing clarification on employees queries on compensation plans | ✓ | ✓ | ✓ | ||||||||||
| 7.6.2 | Providing factual solutions to issues raised regarding compensation structure and various plans | ✓ | ✓ | ✓ | ||||||||||
| 7.6.3 | Liaising with payroll team to make necessary changes to compensation to correct errors | ✓ | ✓ | ✓ | ||||||||||
| 7.6.4 | Communicating with employee confirming the resolution provided | ✓ | ✓ | ✓ | ||||||||||
| 7.6.5 | Managing compensation data / information and risk associated with ensuring data safety and security, and correct upload | ✓ | ✓ | ✓ | ||||||||||
| 7.6.6 | Carrying out the below minimum exercise to correct/ change an employee’s pay | ✓ | ✓ | ✓ | ||||||||||
| 7.6.7 | Making off cycle changes for compensation administration | ✓ | ✓ | ✓ | ||||||||||
| 7.6.8 | Administering compensation package and final pay determination | ✓ | ✓ | ✓ | ||||||||||
| 7.6.9 | Support/execute local statutory annual increases as needed | ✓ | ✓ | ✓ | ||||||||||
| 7.7 | Reporting and Analytics | |||||||||||||
| 7.7.1 | Checking with the regulatory and compliance teams on their specific requirements/ customizations required to functional reports | ✓ | ✓ | ✓ | ||||||||||
| 7.7.2 | Collating & consolidating the necessary information and pass on to the regulatory and compliance team for analysis/ review | ✓ | ✓ | ✓ | ||||||||||
| 7.7.3 | Analysing data for patterns on compensation structure in relation with different functions | ✓ | ✓ | ✓ | ||||||||||
| 7.7.4 | Evaluating the performance of the compensation function based on the agreed parameters such as timely delivery of compensation, surveys on effectiveness of compensation structure etc. | ✓ | ✓ | ✓ | ||||||||||
| 7.7.5 | Conducting surveys on a timely basis on the compensation structure alignment with organizational goals, satisfaction level of employees etc. | ✓ | ✓ | ✓ | ||||||||||
| 7.7.6 | Publishing the results to relevant stakeholders | ✓ | ✓ | ✓ | ||||||||||
| 7.8 | Relocation Admin | |||||||||||||
| 7.8.1 | Communicate relocation of employees | ✓ | ✓ | ✓ | ||||||||||
| 7.8.2 | kick off with 3rd party provider to provide data inputs for relocation | ✓ | ✓ | ✓ | ||||||||||
| 7.8.3 | Co-ordinate with 3rd party for any ongoing compensation changes (ex—quarterly changes) | ✓ | ✓ | ✓ | ||||||||||
| 7.9 | Incentives | |||||||||||||
| 7.9.1 | Design of incentive plan (AIP) | ✓ | ✓ | ✓ | ||||||||||
| 7.9.2 | Data collation for AIP baseline | ✓ | ✓ | ✓ | ||||||||||
| 7.9.3 | Sending compensation review letters | ✓ | ✓ | ✓ | ||||||||||
| 7.10 | Employee Recognition Programs | |||||||||||||
| 7.10.1 | Define and develop engagement & recognition programs | ✓ | ✓ | ✓ | ||||||||||
| 7.10.2 | Communicate recognition guidelines / responsibilities | ✓ | ✓ | ✓ | ||||||||||
| 7.10.3 | Administer recognition award e.g. hosting / collating and evaluating responses provided by LS&Co | ✓ | ✓ | ✓ | ||||||||||
| 7.10.4 | Prepare award documentation | ✓ | ✓ | ✓ | ||||||||||
| 7.10.5 | Communicate and distribute award | ✓ | ✓ | ✓ | ||||||||||
| 7.11 | Compensation Admin | |||||||||||||
| 7.11.1 | Calculate accruals and payout for incentive plans | ✓ | ✓ | ✓ | ||||||||||
| 7.11.2 | Support administrative tasks associated with claims management | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 16 |
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8. PERFORMANCE MANAGEMENT.
Supplier will be responsible for administering the performance management process. The Responsibility Matrix set forth below indicates who is accountable for certain listed processes, activities and tasks as part of the performance management Services.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 8.1 | Strategy and Policy | |||||||||||||
| 8.1.1 | Establishing process / method for review of overall business unit: | |||||||||||||
| - objective completion and results - key measures of success - KPIs (financial, commercial, process and people) |
✓ | ✓ | ✓ | |||||||||||
| 8.1.2 | Defining process, timeline and responsibilities in organization goal setting | ✓ | ✓ | ✓ | ||||||||||
| 8.1.3 | Defining process for converting / cascading of organization goals into smaller, task-orientated, delivery targets per business unit | ✓ | ✓ | ✓ | ||||||||||
| 8.1.4 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency | ✓ | ✓ | ✓ | ||||||||||
| 8.1.5 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| 8.1.6 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 8.2 | Preparation and Planning for Performance Management | |||||||||||||
| 8.2.1 | Evaluating the existing performance management system | ✓ | ✓ | ✓ | ||||||||||
| 8.2.2 | Identifying & prioritizing the key changes/ improvisations needed in the existing performance management system based on organizational objectives and job descriptions | ✓ | ✓ | ✓ | ||||||||||
| 8.2.3 | Analyzing the industry best practices for performance management | ✓ | ✓ | ✓ | ||||||||||
| 8.2.4 | Developing the annual performance cycle / plan for performance management along with top leadership | ✓ | ✓ | ✓ | ||||||||||
| 8.2.5 | Administering the annual performance cycle / plan, including but not limited to, following up with managers/employees for performance closures | ✓ | ✓ | ✓ | ||||||||||
| 8.2.6 | Deciding on the process of measurement to determine how the performance components will be measured & finalizing the performance review criteria | ✓ | ✓ | ✓ | ||||||||||
| 8.2.7 | Customizing the plans based on specific job descriptions | ✓ | ✓ | ✓ | ||||||||||
| 8.2.8 | Aligning rewards with the performance results | ✓ | ✓ | ✓ | ||||||||||
| 8.2.9 | Finalizing the key dates and milestones for performance review | ✓ | ✓ | ✓ | ||||||||||
| 8.3 | Developing guidelines for managers on goal setting and employee assessment | |||||||||||||
| 8.3.1 | Documenting best-practices for goal setting | ✓ | ✓ | ✓ | ||||||||||
| 8.3.2 | Conducting coaching sessions for managers | ✓ | ✓ | ✓ | ||||||||||
| 8.3.3 | Assisting managers with queries | ✓ | ✓ | ✓ | ||||||||||
| 8.3.4 | Defining and publish common template for goal capturing and tracking | ✓ | ✓ | ✓ | ||||||||||
| 8.3.5 | Setting achievable goals & deadlines for timely completion of task with employees | ✓ | ✓ | ✓ | ||||||||||
| 8.4 | Identifying the channels for communication to specific stakeholders | |||||||||||||
| 8.4.1 | Communicating the strategy to rest of the organization on a selective basis | ✓ | ✓ | ✓ | ||||||||||
| 8.4.2 | Cascading business unit goals via managers to individuals | ✓ | ✓ | ✓ | ||||||||||
| 8.4.3 | Defining the role of supervisor and employees in performance management | ✓ | ✓ | ✓ | ||||||||||
| 8.4.4 | Completing the Workday set up for performance review date | ✓ | ✓ | ✓ | ||||||||||
| 8.4.5 | Setting up specific goals and standards for employees | ✓ | ✓ | ✓ | ||||||||||
| 8.5 | Interacting / communicating with the people managers / supervisors | |||||||||||||
| 8.5.1 | Seeking inputs from supervisors on employees | ✓ | ✓ | ✓ | ||||||||||
| 8.5.2 | Mentoring on how to help employees overcome shortcomings | ✓ | ✓ | ✓ | ||||||||||
| 8.5.3 | Defining training/skill enhancement needs for employees, along with Learning and Development team | ✓ | ✓ | ✓ | ||||||||||
| 8.5.4 | Creating a back-up plan in case the repartee is not able to meet expectations | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 17 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 8.6 | Interacting / communicating with the employees | |||||||||||||
| 8.6.1 | Communicating with employees on: Expectations, Target vs performance, Areas of improvement | ✓ | ✓ | ✓ | ||||||||||
| 8.6.2 | Monitoring adherence to timelines and execution of performance management plan like timely competition, coverage of all intended employees | ✓ | ✓ | ✓ | ||||||||||
| 8.6.3 | Evaluating employee performance against pre-determined goals and standards | ✓ | ✓ | ✓ | ||||||||||
| 8.6.4 | Receiving and resolving employee queries | ✓ | ✓ | ✓ | ||||||||||
| 8.6.5 | Sending reminders to employees/ managers for pending issues | ✓ | ✓ | ✓ | ||||||||||
| 8.6.6 | Stating clearly the possible benefits/ repercussions linked to performance | ✓ | ✓ | ✓ | ||||||||||
| 8.7 | Calibrating performance appraisals | |||||||||||||
| 8.7.1 | Reviewing information gathered during performance management cycle and investigate abnormalities | ✓ | ✓ | ✓ | ||||||||||
| 8.7.2 | Removing inconsistencies in approach and evaluation | ✓ | ✓ | ✓ | ||||||||||
| 8.7.3 | Finalizing performance ratings for the employees | ✓ | ✓ | ✓ | ||||||||||
| 8.7.4 | Updating employee ratings on Workday | ✓ | ✓ | ✓ | ||||||||||
| 8.7.5 | Conducting regular audits to ensure accuracy of ratings uploaded | ✓ | ✓ | ✓ | ||||||||||
| 8.8 | Clarifying performance management related queries | |||||||||||||
| 8.8.1 | Clarifying employee queries relating to performance management | ✓ | ✓ | ✓ | ||||||||||
| 8.8.2 | Resolve escalated queries | ✓ | ✓ | ✓ | ||||||||||
| 8.8.3 | Creating presence on channels like internal portals for clarifying employee queries | ✓ | ✓ | ✓ | ||||||||||
| 8.9 | Monitoring employee progress | |||||||||||||
| 8.9.1 | Mentoring / counselling employees on how to work on areas of improvements | ✓ | ✓ | ✓ | ||||||||||
| 8.9.2 | Designing a performance improvement plan for employees requiring training to improve their performance along with their managers | ✓ | ✓ | ✓ | ||||||||||
| 8.9.3 | Administering the Performance Improvement plan (PIP) | ✓ | ✓ | ✓ | ||||||||||
| 8.9.4 | Encouraging high performing employees along with their managers | ✓ | ✓ | ✓ | ||||||||||
| 8.9.5 | Work with manager to monitor adherence of employee to the PIP, and bring PIP to closure | ✓ | ✓ | ✓ | ||||||||||
| 8.9.6 | Reminding the employees of repercussion at a pre-defined frequency | ✓ | ✓ | ✓ | ||||||||||
| 8.9.7 | Taking appropriate disciplinary actions for employees who failed to adhere to organization policies | ✓ | ✓ | ✓ | ||||||||||
| 8.10 | Performance Management Process Evaluation | |||||||||||||
| 8.10.1 | Providing MIS reports on important performance management statistics like timely completion, adherence to the xxxx curve, successful issue resolution etc. | ✓ | ✓ | ✓ | ||||||||||
| 8.10.2 | Conduct satisfaction surveys | ✓ | ✓ | ✓ | ||||||||||
| 8.10.3 | Evaluating the performance of function based on timely completion of performance appraisals, surveys on ease of usage etc. | ✓ | ✓ | ✓ | ||||||||||
| 8.10.4 | Presenting the final analysis to the end stakeholder | ✓ | ✓ | ✓ | ||||||||||
9. OFFBOARDING.
Supplier will be responsible for performing offboarding activities. The Responsibility Matrix set forth below indicates who is accountable for certain listed processes, activities and tasks as part of the offboarding Services.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 9.1 | Strategy and Policy | |||||||||||||
| 9.1.1 | Establish employee record management strategy and policies | ✓ | ✓ | ✓ | ||||||||||
| 9.1.2 | Identify specific regulatory or legislative requirements that govern records management | ✓ | ✓ | ✓ | ||||||||||
| 9.1.3 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency | ✓ | ✓ | ✓ | ||||||||||
| 9.1.4 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 18 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 9.1.5 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 9.2 | Exit Administration – Individual Employee | |||||||||||||
| 9.2.1 | Design exit policy. Update and communicate policy to appropriate parties, via agreed channels | ✓ | ✓ | ✓ | ||||||||||
| 9.2.2 | Initiate and process voluntary Exits thru Manager Self Service (MSS) with employee’s approved exit and exit date (details required will vary by’ reason) for leaving using agreed form and tools | ✓ | ✓ | ✓ | ||||||||||
| 9.2.3 | Initiate all involuntary Exits with a confirmation from the LS&Co. as appropriate | ✓ | ✓ | ✓ | ||||||||||
| 9.2.4 | Initiate and process voluntary Exits in case of non-availability of self service | ✓ | ✓ | ✓ | ||||||||||
| 9.2.5 | Send notifications to external third parties, internal LS&Co. and Supplier support functions of Individual Exit transaction, as per LS&Co. policy, Agreement and relevant Supplier processes / procedures. | ✓ | ✓ | ✓ | ||||||||||
| 9.2.6 | Receive last day confirmation from employee/manager; manager can approve shortened notice period as per guidelines provided by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 9.2.7 | Supplier shall issue, as required by LS&Co. individual exit documentation (e.g. documents requiring signature, termination checklist, etc.) via email to exiting employee’s line manager (or other LS&Co. nominated person) for completion. | ✓ | ✓ | ✓ | ||||||||||
| 9.2.8 | Share exit documents with line manager and await receipt of completed documents | ✓ | ✓ | ✓ | ||||||||||
| 9.2.9 | Receive, validate and log receipt of completed individual exit documentation. | ✓ | ✓ | ✓ | ||||||||||
| 9.3 | Multiple Employee Exit Program and Exit Date Amendments | |||||||||||||
| 9.3.1 | Design exit questionnaire policy. Update and communicate to appropriate teams | ✓ | ✓ | ✓ | ||||||||||
| 9.3.2 | Design cancellation / reinstatement policy. Update and communicate policy to appropriate parties | ✓ | ✓ | ✓ | ||||||||||
| 9.3.3 | Request Service from Supplier using agreed to Change Request process. | ✓ | ✓ | ✓ | ||||||||||
| 9.3.4 | Review request for completion, legibility and correct assignment. | ✓ | ✓ | ✓ | ||||||||||
| 9.3.5 | Confirm required documentation has been fully and legibly completed, or reject / close ticket and issue automated email to requestor (the individual who raised the case) if request doesn’t meet agreed criteria. | ✓ | ✓ | ✓ | ||||||||||
| 9.3.6 | Process cancel / re-instate exit transaction in HRIS. | ✓ | ✓ | ✓ | ||||||||||
| 9.3.7 | Send notifications to external third parties, internal functions on employee exit | ✓ | ✓ | ✓ | ||||||||||
| 9.3.8 | Schedule exit interview as defined by LS&Co | ✓ | ✓ | ✓ | ||||||||||
| 9.3.9 | Deactivate email, employee ID, and support asset handover | ✓ | ✓ | ✓ | ||||||||||
| 9.3.10 | Deactivate email, employee ID if not closed by manager within timeframe agreed upon with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 9.3.11 | Conduct exit interview as defined by LS&Co | ✓ | ✓ | ✓ | ||||||||||
| 9.4 | Physical Employee Records, Files and Documents | |||||||||||||
| 9.4.1 | Define data content requirements | ✓ | ✓ | ✓ | ||||||||||
| 9.4.2 | Store physical documents according to defined requirements for statutory and regulatory compliance. | ✓ | ✓ | ✓ | ||||||||||
| 9.4.3 | Fulfil requests for files to employees/retirees, managers, HR and Legal per corporate standards and within agreed to timeframes. | ✓ | ✓ | ✓ | ||||||||||
| 9.4.4 | Maintain records of all files including checked out and returned logs. | ✓ | ✓ | ✓ | ||||||||||
| 9.4.5 | Dispose of files based on agreed to disposal procedures. | ✓ | ✓ | ✓ | ||||||||||
| 9.5 | Severance Activity Support | |||||||||||||
| 9.5.1 | Determine strategy for LS&Co. employee severance. | ✓ | ✓ | ✓ | ||||||||||
| 9.5.2 | Define exception handling and escalation guidelines. | ✓ | ✓ | ✓ | ||||||||||
| 9.5.3 | Provide governance over severance process to ensure selections have been made in accordance with the guidelines. | ✓ | ✓ | ✓ | ||||||||||
| 9.5.4 | Review workforce assessment results to ensure compliance with guidelines. | ✓ | ✓ | ✓ | ||||||||||
| 9.5.5 | Monitor and ensure compliance for any regulations regarding mass layoffs. | ✓ | ✓ | ✓ | ||||||||||
| 9.5.6 | Review and notify Supplier of changes to severance details. | ✓ | ✓ | ✓ | ||||||||||
| 9.5.7 | Notify third party providers with respect to transition services | ✓ | ✓ | ✓ | ||||||||||
| 9.5.8 | Audit invoices and process payments to transition services third party providers. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 19 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||||||||||||||
| 9.5.9 | Provide templates for severance packages and directions for use. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.10 | For open employee relations cases, review files of Supplier and work with LS&Co., to determine previous leaves and employee relations cases that may impact current case. Ensure final recommendation takes into account previous leaves and employee relations cases as appropriate | ✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.11 | Maintain severance calculation worksheet. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.12 | Prepare severance calculation estimates. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.13 | Approve termination actions |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.14 | Update impacted employee data in LS&Co. HR system based on LS&Co. direction (e.g. placing employee on a special leave during a WARN notice, deferred early retirement, etc ) | ✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.15 | Produce and deliver Severance packages as directed by LS&Co. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.16 | Manage OWPA (Older Workers Protection Act) or equivalent |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.17 | Provide EEO team with notification of upcoming severance activity at a mutually agreed on time frame, before OWBPA or equivalent requests are made. | ✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.18 | Internal reporting for severance |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.19 | Log employee inquiries into case management tool. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.20 | Track return of required general release documents. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.21 | Respond to inquiries from severance impacted employees. |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.22 | Respond to escalated inquiries from severance impacted employees |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.23 | Manage interactions with Works Councils(WC)/Trade unions(TU) where applicable |
✓ | ✓ | ✓ | ||||||||||||||||||||||
| 9.5.24 | Provide all data requirements for the consultations with WCs and TUs |
✓ | ✓ | ✓ | ||||||||||||||||||||||
10. HR HELPDESK.
The scope of the HR Helpdesk services will be to provide Human Resource related customer service including timely response and resolution of issues regarding Human Resource programs offered by LS&Co. and expert assistance relating to the use of all Human Resource systems and processes supported by Supplier.
The Responsibility Matrix set forth below indicates who is accountable for certain listed processes, activities and tasks as part of the HR Helpdesk Services.
| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 10.1 | Policy and Procedure | |||||||||||||
| 10.1.1 | Provide current content of company policies and procedures. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.2 | Provide requirements for call scripts, call trees, and escalation instructions (e.g. sensitive issues). | ✓ | ✓ | ✓ | ||||||||||
| 10.1.3 | Provide Supplier with changes to LS&Co. policies and procedures. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.4 | Maintain a knowledge base of operational procedures for the contact center services. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.5 | Provide access to the operational procedures / knowledgebase for review and approval. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.6 | Conduct annual content review/audit of Supplier operational procedures and knowledge base. or as needed | ✓ | ✓ | ✓ | ||||||||||
| 10.1.7 | Notify vendor of new programs and program changes, communications or other activities that may impact content accuracy in knowledgebase. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.8 | Confirm successful resolution of content audit findings with LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.9 | Provide clarification of HR policies, procedures, guidelines and practices to employees as requested. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.10 | Provide HR policies, procedures, guidelines and practices to caller. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.11 | Provide any changes as they relate to policy, procedures and guidelines to Supplier. | ✓ | ✓ | ✓ | ||||||||||
| 10.1.12 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency | ✓ | ✓ | ✓ | ||||||||||
| 10.1.13 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 20 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 10.1.14 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ||||||||||
| 10.2 | Contact Volume Planning | |||||||||||||
| 10.2.1 | Provide LS&Co. historical voice contact volumes. | ✓ | ✓ | ✓ | ||||||||||
| 10.2.2 | Inform Supplier of any initiatives / projects which may increase call volumes | ✓ | ✓ | ✓ | ||||||||||
| 10.2.3 | Verify receipt of LS&Co. acceptance of voice volume forecasts and plan business operations accordingly. | ✓ | ✓ | ✓ | ||||||||||
| 10.3 | Service Desk Operations | |||||||||||||
| 10.3.1 | Provide, administer, manage and maintain LS&Co.’s HR Service Desk. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.2 | Respond with accurate data to all incoming inquiries (voice, data, mail, fax, and email or as mutually agreed) to provide a seamless resolution for caller issues. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.3 | Resolve as many calls as possible on first contact with escalation to the appropriate LS&Co. or Supplier resource as required. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.4 | Create and maintain accurate and timely reports regarding HR Service Desk performance. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.5 | Service Center Hours: • Provide IVR, email capability, and make representatives available during normal working hours per region as provided below LSA – 6:00 AM to 6:00 PM PDT (covering EDT, PDT & CDT time zones) LSE – 5:30 AM to 6:30 PM UK time (covering all LSE time zones) AMA – 6:00 AM to 11:00 PM Singapore time (covering all AMA countries) |
✓ | ✓ | ✓ | ||||||||||
| 10.3.6 | Approve call scripts and call tree for Interactive Voice Response Services. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.7 | Develop Interactive Voice Response scripts and call tree based on LS&Co. requirements. Updated Interactive Voice Response scripts as requested by LS&Co. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.8 | Interactive Voice Response Services: | |||||||||||||
| • Function as primary owner of main toll free phone number responsible for transfers to other third parties • Provide LS&Co.-specific toll-free number(s) • Provide LS&Co. Service Representatives (CSR’s) • Provide Interactive Voice Response system minimally for security, call routing • Integrate Interactive Voice Response with other 3rd party vendors to provide 1 source number for all HR-related calls |
✓ | ✓ | ✓ | |||||||||||
| 10.3.9 | Call Handling | |||||||||||||
| • Log all contacts so that call history is maintained • Support all inquiries and transactions • Record and maintain records of calls (currently all calls – except ER – are maintained for 2 months) |
✓ | ✓ | ✓ | |||||||||||
| 10.3.10 | Correspondence | |||||||||||||
| • Image and link all incoming correspondence to a case • Respond to correspondence under case management / policy and procedure guidelines |
✓ | ✓ | ✓ | |||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 21 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 10.3.11 | Case Management | |||||||||||||
| • Establish electronic case for each escalated call/issue • Research and close all Work in Progress issues • Track all cases, including cases escalated to LS&Co., until resolved • Close all cases, with exception of cases escalated to LS&Co., within agreed upon timeframes per process • Support historical data research • Research and resolve all HR data discrepancies • Escalates issues to LS&Co. for resolution per guidelines • Facilitate participant interaction with third party issues • Implement a Case Management System to log follow-up and resolution of cased items. • Manage case resolution within agreed upon service standards • Provide ongoing feedback on cases with LS&Co. through resolution of a case • Provide a case management and communication process so that employees know the point of contact for their case. |
✓ | ✓ | ✓ | |||||||||||
| 10.3.12 | Manage resolution of participant issues escalated to LS&Co., as per agreed policy. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.13 | Define and modify reporting requirements to provide insight into call drivers by population. | ✓ | ✓ | ✓ | ||||||||||
| 10.3.14 | Provide detailed call reporting by LS&Co. population and call type per LS&Co. requirements. | ✓ | ✓ | ✓ | ||||||||||
| 10.4 | Customer Satisfaction | |||||||||||||
| 10.4.1 | Quality Calibration Participate in regularly scheduled call listening/calibration sessions to provide consistency between LS&Co. and vendor with respect to overall call quality (e.g. tone, pace, empathy) and adherence to LS&Co.’s policies and procedures. | ✓ | ✓ | ✓ | ||||||||||
| 10.4.2 | Call Monitoring | |||||||||||||
| • Conduct quality monitoring and evaluation of service center representatives • Generate LS&Co. standard monthly report of quality monitoring and evaluation results for LS&Co. review |
✓ | ✓ | ✓ | |||||||||||
| 10.4.3 | Perform LS&Co. Satisfaction Surveys for all services according to Supplier standards agreed to by LS&Co. | |||||||||||||
| • Report customer satisfaction results per agreed-to frequency • Provide detailed results as requested by LS&Co |
✓ | ✓ | ✓ | |||||||||||
| 10.5 | Transaction Processing/Data Entry | |||||||||||||
| 10.5.1 | Input to HR System and verify all changes to employee personal data. | ✓ | ✓ | ✓ | ||||||||||
| 10.5.2 | Input to core HR System and verify all employee basic benefit data. | ✓ | ✓ | ✓ | ||||||||||
| 10.5.3 | Provide standard HR-related forms as requested by callers | ✓ | ✓ | ✓ | ||||||||||
| 10.5.4 | Manage the employment and wage verification processes and respond to all requests for information | ✓ | ✓ | ✓ | ||||||||||
| 10.6 | Problem Management – Service Desk Specific | |||||||||||||
| 10.6.1 | Maintain an integrated problem management process for the centralized reporting and tracking of problems under the Supplier’s control. | ✓ | ✓ | ✓ | ||||||||||
| 10.6.2 | Provide and maintain a method for proper escalation of problems within the Supplier’s scope of responsibilities. | ✓ | ✓ | ✓ | ||||||||||
| 10.6.3 | Provide and maintain a method for proper escalation of problems within LS&Co.’s scope of responsibilities. | ✓ | ✓ | ✓ | ||||||||||
| 10.6.4 | Provide LS&Co. with detailed reporting and statistics on reported problems. | ✓ | ✓ | ✓ | ||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 22 |
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| No. |
Process Steps |
Supplier | LS&Co. | |||||||||||
| 10.7 | Disaster Recovery | |||||||||||||
| 10.7.1 | Provide HR Service Desk disaster recovery requirements. | ✓ | ✓ | ✓ | ||||||||||
| 10.7.2 | Develop HR Service Desk disaster recovery plan. | ✓ | ✓ | ✓ | ||||||||||
| 10.7.3 | Approve HR Service Desk disaster recovery plan. | ✓ | ✓ | ✓ | ||||||||||
| 10.7.4 | Test HR Service Desk disaster recovery plan annually. | ✓ | ✓ | ✓ | ||||||||||
| 10.7.5 | Assist in HR Service Desk disaster recover test as needed. | ✓ | ✓ | ✓ | ||||||||||
| 10.7.6 | Evaluate results of disaster recovery test and recommend required changes to disaster recovery plan with Supplier | ✓ | ✓ | ✓ | ||||||||||
| 10.7.7 | Inform LS&Co. of outages or problems and anticipated resolution within 10 minutes of initial outage | ✓ | ✓ | ✓ | ||||||||||
11. HRIS.
The scope of the HRIS services will be to provide support for the human resource information systems.
The Responsibility Matrix set forth below indicates who is accountable for certain listed processes, activities and tasks as part of the HRIS Services.
| No. |
Process Steps |
Supplier (Technical) |
Supplier (Functional) |
LS&Co. | ||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||
| 11.1 | HRIS Support – Workday (inclusive of Workday Applicant Tracking) | |||||||||||||||||||
| 11.1.1 | Manage the relationship with Workday. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.2 | Workday stabilization support—confirm requirements, implement and test changes as agreed with LS&Co | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.3 | Prioritize and approve the configuration elements | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.4 | Maintain the configuration set up within Workday. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.5 | Provide second level (Tier 2) user support for Workday processes. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.6 | Establish the security priority | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.7 | Execute and maintain the security configuration and role assignments within Workday including but not limited to supporting quarterly SOX audit processes as required by either internal or external teams, providing and updating documentation as required | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.8 | Administer and support Workday update twice yearly, or as determined by Workday; to include adoption and configuration of new processes and enhancements for the duration of the update process including but not limited to: unit testing of core processes, test script update for user acceptance testing (if applicable), conducting user acceptance testing with HR testers and reporting out results, deploying new updates, and documentation and training | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.9 | Test new releases and document any issues; administer and support integration testing from the transactional, process, and data perspective | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | |||||||||||||
| 11.1.10 | Make any required configuration changes based on testing results. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.11 | Review Workday release plans to determine changes to existing interface programs. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.12 | Execute integration testing for new releases and make any necessary changes. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.13 | Review and approve/sign-off on regression test results for integration updates. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.14 | Monitor interface file success or failure. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.15 | Log ticket upon failure or unsuccessful transfer. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.16 | Work with third-party vendors to resolve interface problems. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.17 | Monitor and maintain all integrations for Workday. New integrations to be implemented based on agreed to rate card. | ✓ | ✓ | ✓ | ||||||||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 23 |
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| No. |
Process Steps |
Supplier (Technical) |
Supplier (Functional) |
LS&Co. | ||||||||||||||||
| 11.1.18 | Administer and maintain administrative processes and tasks in Workday including but not limited to maintaining core organizations for HRIS in Workday such as: Supervisory, Cost Centers, Locations, Companies, Compensation, and Matrix orgs | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.19 | Support and maintain rollout of cyclical initiatives from configuration to testing to production support during live process including but not limited to benefit program changes such as open enrollment, APR – merit, performance review and goal setting, budgeting requirements such as loading new positions, cost center changes, as well as configuration changes due to legislative and market changes | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.20 | Provide configuration support as requested by LS&Co. for special projects, based on agreed to rate card | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | |||||||||||||
| 11.1.21 | Maintain a requirement traceability matrix tracking configuration changes and approval from LS&Co. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.22 | Update LS&Co. Workday documentation for functional specifications, job aids, work instructions, training materials wherever applicable | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.23 | Approve changes to LS&Co. Workday documentation | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.24 | Update Supplier HR Service Desk knowledge base and train Service Desk team based on any configuration changes implemented | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.25 | Identify, analyse and implement opportunities to drive continuous improvement and improve efficiency across all HRIS areas including but not limited to Workday | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.26 | Share all regulatory and government updates with LS&Co gathered through best practice sharing sessions | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.1.27 | Collaborate with LS&Co. to make the required process or documentation change based on the regulatory and government updates | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | |||||||||||||
| 11.1.28 | Act as liaison between Workday and Supplier to assist in setting up Workday training environment, and requesting Workday to train Supplier (any financials associated with training will be borne by Supplier) | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2 | HRIS Support – Non Workday Applications HR Portal Operations | |||||||||||||||||||
| 11.2.1 | Provide an HR Portal that complements the Suppliers services, supports LS&Co. HR priorities, continues to be refreshed with new technology capabilities on a regular basis and is consistent with industry best practices (e.g. usability, navigation, ease of use, etc. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.2 | Host the HR Portal & Ask HR in supplier’s shared services environment, with LS&Co. data logically separated. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.3 | On a monthly basis, proactively propose changes to the HR Portal & Ask HR based on industry best practice and LS&Co. input. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.4 | Approve proposed changes. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.5 | Implement approved changes | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.6 | Assure HR Portal & Ask HR adheres to Supplier security policies and procedures. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.7 | Provide intranet accessible HR Portal & Ask HR. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.8 | Submit request to create, amend, or delete HR Portal and Ask HR Content and relevant Supplier processes / procedures. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.9 | Confirm the HR Portal and Ask HR content request has been fully and legibly completed. Request changes or clarifications as required. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.10 | Process request, and make change to HR Portal and Ask HR content, as per LS&Co. request. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.11 | Provide translated content where items to be posted to the HR Portal and Ask HR are in a language other than English. | ✓ | ✓ | ✓ | ||||||||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 24 |
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| No. |
Process Steps |
Supplier (Technical) |
Supplier (Functional) |
LS&Co. | ||||||||||||||||
| 11.2.12 | Send confirmation of completion of task to LS&Co. requestor (the individual who raised the case). | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.13 | Continuously monitor Ask HR and HR Portal usage and make recommendations to increase LS&Co. employee utilization of HR Portal | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.14 | Provide reports, as agreed to with LS&Co, on HR Portal utilization to inform LS&Co. of HR Portal usage | ✓ | ✓ | ✓ | ||||||||||||||||
| Third Party Hosted Applications (e.g. HireRight, CIC Plus, Taleo) | ||||||||||||||||||||
| 11.2.15 | Provide third party hosted applications in support of HR Services requirements. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.16 | Approve third party vendors, pricing and terms of service. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.17 | Pass-through LS&Co. approved costs on monthly invoices. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.18 | Request application access based on agreed to procedures. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.19 | Grant access and provide password support as required. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.2.20 | Resolve issues with vendor on behalf of LS&Co. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.3 | HRIS Tables Maintenance, Data Integrity and Organization Structure Maintenance (Workday = HRIS) | |||||||||||||||||||
| 11.3.1 | Identify and make changes to HRIS tables and data | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.3.2 | Identify and process mass changes (i.e. org changes). | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.3.3 | Maintain core tables for HRIS application(s). | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.3.4 | Administer position management data. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.3.5 | Maintain data integrity between third party applications, between core HRIS, and all relevant HR systems regardless of it interfaces exist | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4 | Reports | |||||||||||||||||||
| 11.4.1 | Maintain integrity of LS&Co. reports catalogue within Workday. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.2 | Run reports as requested by LS&Co. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.3 | Build non-standard reports requested by LS&Co | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.4 | Provide data extracts from Workday to other Supplier for reporting requirements that have been assigned to that Supplier, if required. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.5 | Approve before sending the data to external vendors | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.6 | Provide raw data reports from other systems (e.g. PeopleSoft) that require consolidation and manipulation of data from various sources. (List of reports to be developed and maintained by LS&Co.). | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.7 | Provide ad hoc support for requests for historical data (e.g. PeopleSoft). | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.8 | Manipulate data received from LS&Co. to consolidate with Workday data, and prepare reports | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.4.9 | Build, maintain, and modify dashboards as agreed on with LS&Co. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5 | Incident and Problem Management | |||||||||||||||||||
| 11.5.1 | Provide Incident and Problem Management process requirements. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.2 | Incorporate LS&Co. Incident and Problem Management process requirements into Supplier processes. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.3 | Detect and acknowledge all incidents that occur and record in ticketing system. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.4 | Proactively provide LS&Co. an update when an incident/event occurs. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.5 | Classify and take action to resolve the incident based on agreed-to Severity Level protocol. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.6 | Review Severity Level assignment and confirm agreement or provide corrected Severity Level and justification. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.7 | Investigation and diagnosis the cause of the Incident | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.8 | Resolve the incident and recover the system so that ongoing business operations can proceed. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.9 | Close the Incident. | ✓ | ✓ | ✓ | ||||||||||||||||
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 25 |
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| No. |
Process Steps |
Supplier (Technical) |
Supplier (Functional) |
LS&Co. | ||||||||||||||||
| 11.5.10 | Determine if an Incident requires long term Problem resolution and identify as a Problem within Supplier ticketing system. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.11 | Perform root cause analysis for all identified Problems and recommend corrective action. | ✓ | ✓ | ✓ | ||||||||||||||||
| 11.5.12 | Implement corrective action and close the ticket. | ✓ | ✓ | ✓ | ||||||||||||||||
12. HR LANGUAGE SUPPORT.
The following languages for Human Resources support have been agreed upon between the Parties as of the Effective Date.
| Languages Supported |
||||
| LSA |
LSE |
AMA | ||
| English | Dutch | English | ||
| Portuguese | English | Korean | ||
| Spanish | French | Vietnamese | ||
| German | Japanese | |||
| Italian | Simplified Chinese | |||
| Polish | Traditional Chinese | |||
| Russian | Mandarin | |||
| Spanish | Cantonese | |||
| Turkish |
Note: Arabic, Czech, Greek & Hungarian language support will be provided through translation services.
| LS&Co. – Attachment 2.1 – Description of Services – Human Resource Services | Page 26 |
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BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.2
DESCRIPTION OF SERVICES – FINANCE SERVICES
| * | Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions marked with [****]*. |
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EXECUTION VERSION
TABLE OF CONTENTS
| 1. |
INTRODUCTION |
1 | ||||
| 2. |
ACCOUNTS PAYABLES (AP) |
1 | ||||
| 3. |
TRAVEL & EXPENSE (T&E) PROCESSING |
10 | ||||
| 3.1 |
SPLIT OF RESPONSIBILITY | 10 | ||||
| 4. |
PAYROLL |
11 | ||||
| 5. |
ACCOUNTS RECEIVABLES |
21 | ||||
| 5.1 |
SPLIT OF RESPONSIBILITY | 21 | ||||
| 6. |
GENERAL ACCOUNTING |
28 | ||||
| 6.1 |
SPLIT OF RESPONSIBILITY | 28 | ||||
| 7. |
INVENTORY ACCOUNTING |
35 | ||||
| 7.1 |
SPLIT OF RESPONSIBILITY | 35 | ||||
| 8. |
TREASURY TRANSACTIONS |
35 | ||||
| 8.1 |
SPLIT OF RESPONSIBILITY | 36 | ||||
| 9. |
INTERNAL REPORTING |
36 | ||||
| 9.1 |
SPLIT OF RESPONSIBILITY | 36 | ||||
| 10. |
INDIRECT PROCUREMENT ENABLEMENT |
36 | ||||
| 10.1 |
SPLIT OF RESPONSIBILITY | 36 | ||||
| 11. |
TECHNOLOGY & MASTER DATA MANAGEMENT |
38 | ||||
| 11.1 |
SPLIT OF RESPONSIBILITY | 38 | ||||
| 12. |
OTHERS |
41 | ||||
| 12.1 |
CONTROLS | 41 | ||||
| 12.2 |
ESCHEATMENT PROCESS (APPLICABLE FOR LSUS ONLY) | 41 | ||||
| 13. |
LANGUAGE |
41 |
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page i |
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| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.
Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following processes:
| • | Accounts Payables (AP) |
| • | Travel & Expense (T&E) |
| • | Payroll |
| • | Accounts Receivables (AR) |
| • | General Accounting (GA) |
| • | Inventory Accounting |
| • | Treasury Transactions |
| • | Internal Reporting |
| • | Procurement Enablement |
| • | Technology & Master Data Management (MDM) |
Without limiting Section 3.1 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “✓” in the column labeled Supplier).
| 2. | ACCOUNTS PAYABLES (AP) |
Supplier will be responsible for performing the Accounts Payable Process. The “Accounts Payable” Process consists of a comprehensive set of integrated functions and responsibilities that constitute, support or relate to the recording, verification, processing and payment of invoices for goods, commodities, consumables and/or services procured in connection with LS&Co.’s business, including the Supplier Principal Activities set forth in the following table. LS&Co. will support Supplier’s performance of the Accounts Payable Process by performing the LS&Co. Principal Activities set forth in the following table.
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 1 |
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2.1 Split of Responsibility
| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| Policy Governance- Define and Communicate Policies | ||||||||||||||
| Establish, maintain, and communicate policies, procedures, approval limits and guidelines for AP | X | X | X | |||||||||||
| Provide local legal/statutory inputs for AP policies and procedures | X | X | X | |||||||||||
| Training Supplier on new systems, new or major process changes and related process documentation | X | X | X | |||||||||||
| Updates to existing process documentation, training on regular process updates | X | X | X | |||||||||||
| Physical Document Handling | To be finalized as part of the Mailroom & Scanning solution | |||||||||||||
| Manage inbound physical documents per agreed Mailroom & Scanning solution | X | X | X | |||||||||||
| Existing LS&Co. digitization, print & archival partners like Basware, EDMS, Tessi, Iron Mountain, Bank of America, etc. to continue with their scope of work (explore managed services model with Supplier taking over these 3rd party contracts sometime in future) | X | X | X | |||||||||||
| Receive, sort, and prepare Accounts Payables (AP) documents for scanning | X | X | X | |||||||||||
| Scan in-scope Accounts Payables documents and submit for processing to workflow | X | X | X | |||||||||||
| Scan AP documents identified to be in-scope for LS&Co. scanning responsibility (for instance, LS&Co. may need to scan documents for countries with low volumes making consolidation into a central scanning solution economically & from a process efficiency standpoint less optimal) | X | X | X | |||||||||||
| Resolve scan exceptions as necessary for the Supplier in-scope documents | X | X | X | |||||||||||
| LS&Co. including its other 3rd parties responsible for document handling to resolve scan exceptions for their responsibility areas | X | X | X | |||||||||||
| Submit scanned in-scope Accounts Payables documents to workflow (ReadSoft, Base)))™, etc. as the case may be) for processing | X | X | X | |||||||||||
| Reject inadequate invoices and return to critical vendors per approval from LS&Co (mostly electronic invoice return, in certain exceptions where electronic communication details are not available, physical copies may need to be returned as part of Mailroom & Scanning function- To be finalized) | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 2 |
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| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| Reject inadequate invoices and return to non-critical vendors as per desktop procedures (mostly electronic invoice return, in certain exceptions where electronic communication details are not available, physical copies may need to be returned as part of Mailroom & Scanning function- To be finalized) | X | X | X | |||||||||||
| Physical archival of documents to be done by LS&Co. and/or its other 3rd party service providers like Iron Mountain per LS&Co. policies & procedures | X | X | X | |||||||||||
| Electronic Archival & Retrieval of in-scope documents for Supplier processing using LS&Co. archival systems & procedures | X | X | X | |||||||||||
| Return physical documents to LS&Co. and/or its physical archival partners post scanning | X | X | X | |||||||||||
| Process Purchase Order (PO) Invoices | ||||||||||||||
| Classify invoices by name/type/complexity and assign to staff for processing | X | X | X | |||||||||||
| Enter invoice and validate against PO and receipt (3 way match) | X | X | X | |||||||||||
| Communicate unresolved invoice exceptions to business users through the workflow tool (Base))) or ReadSoft as the case may be) or emails for additional inputs/resolution as needed (e.g. price differences, etc.) | X | X | X | |||||||||||
| Ensure that information required to meet regional regulatory and tax requirements (e.g., VAT, freight, sales taxes) exists on the invoice. If this information is not available (error identified), resolve exception around regional regulatory and tax requirements as needed. | X | X | X | |||||||||||
| Validate payment methods (EFT), create payment requests and verify approvals for payment processing | X | X | X | |||||||||||
| Resolve exceptions (i.e. quantity differences, etc.) and/or refer to LS&Co. for resolution per agreed desktop procedures | X | X | X | |||||||||||
| Resolve exceptions referred to LS&Co. by Supplier | X | X | X | |||||||||||
| Process Non-PO Invoices | ||||||||||||||
| Request approval/coding per agreed procedures | X | X | X | |||||||||||
| Provide coding/approvals for non-PO invoices | X | X | X | |||||||||||
| Resolve exceptions (if any) with business units/buyer, escalate if required | X | X | X | |||||||||||
| Resolve any escalated exceptions identified | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 3 |
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| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| Communicate unresolved invoice exceptions to business users via email and/or workflow tool per desktop procedures | X | X | X | |||||||||||
| Process time sensitive urgent invoices | X | X | X | |||||||||||
| Process incoming invoices that require special handling (i.e. overnight requirements, return to vendor/field) or with specific instructions (i.e. requests for immediate checks) and route for LS&Co. review & approval if required per agreed desktop procedures | X | X | ||||||||||||
| Review and approve invoices that require special handling per agreed procedures (applicable for LS US only) | X | |||||||||||||
| Process Invoice Holds / Blocks | ||||||||||||||
| Apply manual hold / block on invoices based on request by retained LS&Co. finance team (AMA currently does not apply manual hold, however in future manual hold may be followed as standard process across all regions) |
X | X | X | |||||||||||
| Approve manual hold / release on invoices | X | X | X | |||||||||||
| Release manual hold/block on invoices based on approval / direction from the retained Finance team | X | X | X | |||||||||||
| Release system blocks on invoices within threshold limits & agreed desktop procedures | X | X | X | |||||||||||
| Review/approve system hold release where required | X | X | X | |||||||||||
| Process Credit Memos | ||||||||||||||
| Receive (electronic copy), review and validate credit memos for completeness | X | X | X | |||||||||||
| Resolve exceptions (if any) with business units/vendors for additional inputs or resolution as needed (e.g. request approval if credits needs to be adjusted against future payments) | X | X | X | |||||||||||
| Identify invoices to offset the credit memo | X | X | X | |||||||||||
| Process credit memos in the system | X | X | X | |||||||||||
| Rents, Leases and Utility (RLU) Invoices | ||||||||||||||
| Process the invoice per agreed procedures (non-PO or PO as the case may be) Upload utility invoice files from Ecova into SAP in case of LS US |
X | X | X | |||||||||||
| Enter, set up or modify and gain approval for recurring payments | X | X | X | |||||||||||
| Review and approval of recurring payments setup | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 4 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| Follow up on RLU invoices not received which are due for payment | X | X | X | |||||||||||
| Tax- VAT/Intrastat Processing & Reporting | ||||||||||||||
| VAT Reporting | X (E&Y) |
X (Affiliates) |
X (Canada & |
|||||||||||
| 1099 Statutory Tax Reporting | X | |||||||||||||
| Provide updates to Tax regime | X | X | X | |||||||||||
| Tax processing per decision matrix and desktop instructions | X | X | X | |||||||||||
| LS&Co. to provide decision matrix for correct taxes application | X | X | X | |||||||||||
| Process Trade Card Invoice | ||||||||||||||
| Monitor 3 way matching in Trade Card system and resolve match exceptions (including liaison with Nexus & business partners) and interface exceptions (PO, Goods Receipt and Invoice issues) | X | X | X | |||||||||||
| Resolve escalated exceptions raised by Supplier for LS&Co.’s consideration per agreed procedures | X | X | X | |||||||||||
| Process and post Trade Card Invoice | X | X | X | |||||||||||
| Reconcile upload from Trade Card to SAP (Ensure completeness of invoices transferred to SAP system & Raise production support ticket for any missing invoices in SAP) | X | X | X | |||||||||||
| Receive, research and address incoming invoice, credit memo, and AP helpdesk request escalations or exceptions per standardized approval matrix | X | X | X | |||||||||||
| Payments | ||||||||||||||
| Process Electronic Payment | ||||||||||||||
| Develop scheduled payment proposals to be sent to bank/banking gateway | X | X | X | |||||||||||
| Perform pre-file validations for the validation files (e.g. run reports on pre-file register, validate payments, bank account validation, currency, invoice amount) | X | X | X | |||||||||||
| Review that eligible and earned discounts are taken when favorable to LS&Co. based on information provided by LS&Co. regarding discounts | X | X | X | |||||||||||
| Transfer payment files to bank | X | X | X | |||||||||||
| Generate remittance advices (upon request) and issue electronically | X | X | X | |||||||||||
| Approve payment files prior to release | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 5 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| Generate exception reports to support post processing audit | X | X | X | |||||||||||
| Address banking errors or exceptions in payment processing; escalate unresolved errors to LS&Co. as needed | X | X | X | |||||||||||
| Route banking error related information to Vendor Data Master group | X | X | X | |||||||||||
| Address escalated banking errors and payment processing exceptions | X | X | X | |||||||||||
| Perform post-processing audit periodically | X | X | X | |||||||||||
| Create and Release Manual Payments | ||||||||||||||
| Request manual payments per agreed procedures | X | X | X | |||||||||||
| Verify approvals and completeness of the request and process in the system | X | X | X | |||||||||||
| Clear suspense account bookings for VAT GTC | X | X | ||||||||||||
| Create and Release Down Payments | ||||||||||||||
| Request down payments per agreed procedures | X | X | X | |||||||||||
| Verify approvals and completeness of the request and process in the system | X | X | X | |||||||||||
| Clear down payment account | X | X | X | |||||||||||
| Create and Release Wire / EFT Payments | ||||||||||||||
| Prepare documentation for foreign currency wire / EFT and non-repetitive wire / EFT to facilitate wiring of funds | X | X | X | |||||||||||
| Generate exception reports to support post processing audit | X | X | X | |||||||||||
| Address banking errors (simple/complex) or exceptions in payment processing or escalate as necessary | X | X | X | |||||||||||
| Resolve escalated banking errors in payment processing | X | X | X | |||||||||||
| Respond to request to reverse or void payments (Wire, EFT, Check), address returned, NSF or destroyed checks | X | X | X | |||||||||||
| Returned Payments | ||||||||||||||
| Review bank statement from bank and post unprocessed/returned payments, direct debits & other incoming (non-customer) payments to AP suspense account in SAP | X | X | X | |||||||||||
| Void payments, contact vendor to check data, update any changes and return to payment process | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 6 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| For returned/not-void items, clear returned payment, issue credit memo, and clear document against suspense account | X | X | X | |||||||||||
| For direct debits & other incoming (non-customer) payments, process the item in ERP system and clear document against suspense account | X | X | X | |||||||||||
| Payroll Related Payments (Accounting) | ||||||||||||||
| AP processes payroll, garnishment checks or issues social benefit payment per GL template from the Payroll team | X | X | X | |||||||||||
| AP processes payroll tax checks / issues payment | X | X | X | |||||||||||
| Payroll related ledger updates to SAP | X | X | X | |||||||||||
| AP helpdesk | ||||||||||||||
| Monitor 3 way matching in Trade Card system and resolve match exceptions and interface exceptions (PO, Goods Receipt and Invoices issues) | X | X | X | |||||||||||
| Resolve escalated exceptions | X | X | X | |||||||||||
| Liaise with business users and Nexus Contact on Exceptions | X | X | X | |||||||||||
| Support AP helpdesk Requests | ||||||||||||||
| Receive and resolve AP helpdesk requests | X | X | X | |||||||||||
| Resolve AP helpdesk escalations | X | X | X | |||||||||||
| Generate AP helpdesk statistics and reports as required (understand currently volumes & other helpdesk statistics are not tracked, exact requirements to be determined and mutually agreed during Transition Analysis along with other process Reporting requirements) |
X | X | X | |||||||||||
| Vendor Account Statements | ||||||||||||||
| Review all vendor statements and identify past due invoices (aging based on regional criteria) | X | X | X | |||||||||||
| Communicate aged credits on vendor statements if resolution cannot be determined | X | X | X | |||||||||||
| Contact the vendor and request past due invoices as needed | X | X | X | |||||||||||
| Provide proof of payments to vendors, tax authorities or internal customers | X | X | X | |||||||||||
| Create adjustment memos where appropriate | X | X | X | |||||||||||
| Reconcile bank activity for all payment types (EFT, Wire, Check) and resolve any discrepancies | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 7 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| Supplier supervisor to review & approve completed reconciliations | X | X | X | |||||||||||
| Periodic review of vendor statements/reconciliations | X | X | X | |||||||||||
| Monthly/Quarter/Year End Activities | ||||||||||||||
| Respond to data extract request (ad hoc/exception reporting) | X | X | X | |||||||||||
| Provide documentation necessary to support month end accruals | X | X | X | |||||||||||
| Create month end accrual files | X | X | X | |||||||||||
| Review, validate and finalize accruals | X | X | X | |||||||||||
| Process accruals for any items that have been received but not processed, T&E accruals, utility accruals, p-card accruals, or non-system based AP | X | X | X | |||||||||||
| Book necessary month end entries | X | X | X | |||||||||||
| Prepare reporting packages (i.e. Top 10 vendors by spend, Days Payables Outstanding, or Payments past 90 days) | X | X | X | |||||||||||
| Contact vendors via email and request open item statement to close out periods | X | X | X | |||||||||||
| Accounts Payable sub-ledger close and reconciliation | X | X | X | |||||||||||
| Leverage LS&Co. in-built system controls & procedures to prevent duplicate payments (Evaluate additional duplicate check controls that Supplier can bring in where Base)))™ is not deployed as [****]*. Another 3rd party in US does historical duplicate payment analysis and recovery for LS US & LSE only) |
X | X | X | |||||||||||
| Conduct monthly review to detect any payment duplications or invoice inaccuracies | X | X | X | |||||||||||
| Review AP Aging Reports monthly to identify outstanding/open invoices or vendors with debit balances | X | X | X | |||||||||||
| Extract Data and Produce Management Reports | ||||||||||||||
| Execute BU ad hoc data extraction requests | X | X | X | |||||||||||
| Run scheduled AP metric reports and scorecards | X | X | X | |||||||||||
| Create AP related ad hoc reports as needed | X | X | X | |||||||||||
| Review and approve scheduled/ad hoc reports before publishing to stakeholders | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 8 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| # |
Principal Activity |
LS&Co. | Supplier | |||||||||||
| GRIR Reconciliations | ||||||||||||||
| Run GRIR report from SAP/other underlying ERP system (s) | X | X | X | |||||||||||
| Analyze GRIR report, vendor statements, etc. | X | X | X | |||||||||||
| Take appropriate action i.e. request for Invoice Copies, liaise with the supply chain for clarifications, follow up with vendors for Goods delivery status, etc. | X | X | X | |||||||||||
| Assign reason codes for maintenance for reporting purposes | X | X | X | |||||||||||
| Generate quarterly report for aging of balances & maintenance by reason codes | X | X | X | |||||||||||
| Quarterly review by LS&Co | X | X | X | |||||||||||
| VCOM (Trade Vendor Compliance) | ||||||||||||||
| Download and prepare shipment data ready for VCOM from Dashboards | X | X | X | |||||||||||
| Raise VCOM request to notify chargeback | X | X | X | |||||||||||
| Approve VCOM request | X | X | X | |||||||||||
| Resolve or escalate issues arising from VCOM request | X | X | X | |||||||||||
| Solve escalated issues | X | X | X | |||||||||||
| Debit Memo for Quality Audit(QA), Term of Engagement (TOE) and | ||||||||||||||
| Advise list of vendors, charges and frequency of billing that is entitled QA, TOE or TS fees (done by SSM) | X | |||||||||||||
| Raise Debit Memo in SAP per advise | X | |||||||||||||
| Follow up with vendors to collect the fees, working with SSM team as required | X | |||||||||||||
| Process the collected fees in SAP | X | |||||||||||||
| Work with GL team to reclassify fees charge to the correct taxed entity | X | |||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 9 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
3. TRAVEL & EXPENSE (T&E) PROCESSING
3.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Define and Communicate Policy |
||||||||||||||||||||||||
| Create establish, maintain, and communicate any new changes to policies, procedures, approval limits and guidelines for T&E. Act as a liaison with Corporate and respond to any requests | X | X | X | |||||||||||||||||||||
| Provide local legal/statutory inputs for T&E policies and procedures |
X | X | X | |||||||||||||||||||||
| Determine and maintain audit rules, including sample percents, business-coded controls, and random sampling methodology | X | X | X | |||||||||||||||||||||
| Communicate existing expense reimbursement policies and approval limits; respond to user queries; escalate policy questions to Retained organization as needed | X | X | X | |||||||||||||||||||||
| Training Supplier on new systems, new or major process changes and related process documentation |
X | X | X | |||||||||||||||||||||
| Updates to existing process documentation |
X | X | X | |||||||||||||||||||||
| Training LS&Co. employees/vendors/customers on existing processes |
X | X | X | |||||||||||||||||||||
| Process Expense Receipts |
||||||||||||||||||||||||
| Acknowledge physical receipt of expense receipts in Concur for compliance |
X | X | ||||||||||||||||||||||
| Electronically attach receipts in Concur (employees) |
X | X | X | |||||||||||||||||||||
| Submit non-concur expense claims (employees) |
X | X | X | |||||||||||||||||||||
| Scan and upload/email expense claim form & receipts for processing |
X | X | X | |||||||||||||||||||||
| Audit agreed % of expense statements |
X | X | X | |||||||||||||||||||||
| Process T&E payments for submitted expense receipts |
X | X | X | |||||||||||||||||||||
| Roll out Concur & Cards to more countries |
X | X | X | |||||||||||||||||||||
| Cutover planning for Concur |
X | X | X | |||||||||||||||||||||
| Co-ordination with LS&Co. for concur & card rollout program |
X | X | X | |||||||||||||||||||||
| Unpaid Expense Report Monitoring |
||||||||||||||||||||||||
| Monitor unpaid expense claims |
X | X | X | |||||||||||||||||||||
| Handle unpaid claims through multiple level of escalations using workflow tool |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 10 |
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CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| T&E Support |
||||||||||||
| Respond to incoming inquiries related to T&E policy |
X | X | X | |||||||||
| Escalate inquiries to Retained organization for resolution as needed |
X | X | X | |||||||||
| Resolve escalated inquiries and service requests as needed |
X | X | X | |||||||||
| Audit employee claims against company policy |
X | X | X | |||||||||
| Review policy non-compliance and determine corrective action as needed |
X | X | X | |||||||||
| Provide ongoing T&E compliance reports and analytics per agreed procedures |
X | X | X | |||||||||
| Electronic archival of expense statements & receipts per agreed procedures using LS&Co. tools |
X | X | X | |||||||||
| Physical archival of expense statements & receipts |
X | X | X | |||||||||
| Corporate Card Support |
||||||||||||
| Audit personnel compliance for employee corporate card usage |
X | X | X | |||||||||
| Administer new employee corporate cards |
X | X | X | |||||||||
| Administer existing Corporate Card accounts |
X | X | X | |||||||||
| Access HR report for all employee changes requiring changes to Corporate Card records |
X | X | X | |||||||||
| Process any changes to bank details, department, termination through Vendor Data Master group |
X | X | X | |||||||||
| Address banking errors/exceptions in payment processing, escalate as necessary to LS&Co |
X | X | X | |||||||||
4. PAYROLL
| Process Steps |
LS&Co. | Supplier | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| System and Application Services and Maintenance |
||||||||||||||||||||||||
| Host, manage, support and maintain the Systems |
X | X | X | |||||||||||||||||||||
| Applying support packs (containing statutory updates and program corrections) to the system |
X | X | X | |||||||||||||||||||||
| Support the application and database hardware |
X | X | X | |||||||||||||||||||||
| Maintaining testing/training environment with segregation and security of client data |
X | X | X | |||||||||||||||||||||
| Support and maintain Vendor controlled hardware to facilitate communications from Vendor via client’s network connection link |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 11 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||||
| Provide application backup recovery and offsite storage services |
X | X | X | |||||||||||
| Maintain and test disaster recovery facility and procedures |
X | X | X | |||||||||||
| Applying application maintenance releases or upgrades |
X | X | X | |||||||||||
| Build integration with multiple systems, HR, Time and Attendance, and finance systems |
X | X | X | |||||||||||
| Approve/signoff on 9.0 integrations |
X | X | X | |||||||||||
| Take all reasonable measures to restore service to if outages to the System occur. Update client with details of the cause of the disruption and an estimated time remaining until resumption of normal service. | X | X | X | |||||||||||
| Schedule and notify client of system downtime |
X | X | X | |||||||||||
| Maintain the appropriate management control procedures for effective management of: |
X | X | X | |||||||||||
| • Environment availability, |
X | X | X | |||||||||||
| • Change to hardware and software, and |
X | X | X | |||||||||||
| Problem Identification and resolution within vendor’s responsibilities |
X | X | X | |||||||||||
| Selecting and procuring bandwidth for maximum processing demands |
X | X | X | |||||||||||
| Pay all installation, use, service and repair charges for the communication lines to connect to Vendor facilities |
X | X | X | |||||||||||
| Maintain segregation between testing and production environments |
X | X | X | |||||||||||
| Maintain appropriate procedures for the segmentation and security of client data (i.e. client data is segmented on the System so that it cannot be viewed by other clients) | X | X | X | |||||||||||
| Monitor, analyze and manage the capacity and performance of the Vendor application and database server hardware | X | X | X | |||||||||||
| Immediately notify Vendor of faults or errors discovered in the System or in the provision of services (including failure of the System to perform in accordance with the specifications of the Agreement) and provide Vendor with documented examples of such fault or error | X | X | X | |||||||||||
| Take commercially reasonable measures to rectify faults or errors impacting the performance of Vendor controlled technical infrastructure in accordance with the Agreement | X | X | X | |||||||||||
| Manage an issue log | X | X | X | |||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 12 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||
| Maintain and regularly review procedures for the implementation of application software including patches and upgrades | X | X | X | |||||||||
| Notify clients of major version upgrades; schedule implementations of such upgrades, having regard to the scope of changes and business impacts | X | X | X | |||||||||
| Provide guidance on specific areas to test when version upgrades are applied | X | X | X | |||||||||
| Provide support services | X | X | X | |||||||||
| Undertake unit testing of changes (if required). Develop, complete and validate testing scenarios when upgrades are applied. | X | X | X | |||||||||
| Undertake testing of changes (e.g. acceptance testing, etc.) if required; develop, complete, and validate testing scenarios when upgrades are applied | X | X | X | |||||||||
| System configuration changes required by client | X | X | X | |||||||||
| Approve/signoff 29.0 system configuration changes | X | X | X | |||||||||
| Report relevant technical failures | X | X | X | |||||||||
| Conduct all necessary system checks (including virus checks) associated with any exchange of data and the use of the system to prevent the transfer of viruses. | X | X | X | |||||||||
| Responsible for any System or software error resulting from misuse of the System | X | X | X | |||||||||
| Define and approve LS&Co. users | X | X | X | |||||||||
| Define Supplier Users | X | X | X | |||||||||
| Confirm that client representatives comply with any applicable terms | X | X | X | |||||||||
| Manage and maintain all password/ID setups as well as changes | X | X | X | |||||||||
| Build & maintain any required benefit calculations (i.e., retirement plans.) | X | X | X | |||||||||
| Data Management |
||||||||||||
| Provide standard specifications or templates for all agreed inputs, for example HR interfaces | X | X | X | |||||||||
| Upload the data to payroll application where interfaces are not available (including employee demographic data) | X | X | X | |||||||||
| Provide updated templates to client as the System changes require | X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 13 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||
| Handle all data in accordance with the applicable local Vendor privacy policy and other audit requirements | X | X | X | |||||||||
| Validate and input residual data not received via HR interface or by ESS | X | X | X | |||||||||
| Upload HR interface file | X | X | X | |||||||||
| Check updated master file data changes against source data | X | X | X | |||||||||
| Manage upload of additional data into payroll application | X | X | X | |||||||||
| Retain electronic copy of all data uploaded for the processing period | X | X | X | |||||||||
| Provide file format specifications to assist client to build interface from existing client HR system | X | X | X | |||||||||
| Log any issues in relation to HR data load (if applicable) | X | X | X | |||||||||
| Notify relevant governmental authority of employee changes | X | X | X | |||||||||
| Manage notification of System errors to 3rd parties or LS&Co. in a timely manner | X | X | X | |||||||||
| Obtain the consent of any party whose personal data or funds are affected by the terms of the Agreement to enable both Vendor and client to perform their respective obligations. | ||||||||||||
| Input new employee information and employee master file changes electronically and in accordance with the Payroll Schedule | X | X | X | |||||||||
| Confirm all data is complete | X | X | X | |||||||||
| Maintain earnings and deductions | X | X | X | |||||||||
| Maintain pay calendar | X | X | X | |||||||||
| Maintain accrual rules | X | X | X | |||||||||
| Maintain tax rules | X | X | X | |||||||||
| Maintain garnishment rules | X | X | X | |||||||||
| Enter/Update pay distribution preference | X | X | X | |||||||||
| Enter/Update advice/stub viewing preference | X | X | X | |||||||||
| Enter/Update direct deposit information | X | X | X | |||||||||
| Enter/Update regulatory tax information in the system | X | X | X | |||||||||
| Enter/Update state employee tax elections | X | X | X | |||||||||
| Enter/Update local employee Tax elections | X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 14 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||
| Enter/Update voluntary deductions | X | X | X | |||||||||
| Provide system access to on-line advice/stub system. | X | X | X | |||||||||
| Provide systems access to on-line Wage & Tax Statements system | X | X | X | |||||||||
| Provide systems access to on-line Wage & Tax statement corrections system. | X | X | X | |||||||||
| Enter/Update garnishments | X | X | X | |||||||||
| Maintain employee deductions related to benefits | X | X | X | |||||||||
| Payroll Time Data Inputs | ||||||||||||
| Upload time data file from TimeSaver and Kronos. (and equivalent systems/processes from each country) | X | X | X | |||||||||
| Check updated time data changes against source data. | X | X | X | |||||||||
| Maintain softcopy of upload information on file for the processing period. | X | X | X | |||||||||
| Log any issues in relation to time data load (if applicable). | X | X | X | |||||||||
| Enter positive time and exceptions | X | X | X | |||||||||
| Review and approve time | X | X | X | |||||||||
| Process T&A | X | X | X | |||||||||
| Review and resolve warnings and errors (including missing approvals) | X | X | X | |||||||||
| Enter adjustments | X | X | X | |||||||||
| Process T&A iteratively until clean | X | X | X | |||||||||
| Submit error free (from Kronos or other T&A rules) T&A file to payroll and Identify errors | X | X | X | |||||||||
| Send errors to managers/time keeper to correct | X | X | X | |||||||||
| Receive Corrected data from T&A systems and reprocess file | X | X | X | |||||||||
| Reprocess 13.0 corrected T&A file | X | X | X | |||||||||
| Maintain Time and Attendance system including employee access and password resets | X | X | X | |||||||||
| Employee Self Service / Manager Self Service | ||||||||||||
| Enter overtime, meal allowances and standby allowances if agreed between the parties | X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 15 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||||||||||||||
| Enter leave application data if agreed between the parties | X | X | X | |||||||||||||||||||||
| Update Bank details if agreed between the parties. | X | X | X | |||||||||||||||||||||
| Provide training and support for users of ESS and/or MSS as applicable | X | X | X | |||||||||||||||||||||
| Authorize self-service transactions | X | X | X | |||||||||||||||||||||
| Pre-Payroll Processing | ||||||||||||||||||||||||
| Confirm timely funding of accounts for dispersal of employee payroll through agreed upon bank | X | X | X | |||||||||||||||||||||
| Create, maintain and distribute Payroll Schedule for each country on a calendar year basis | X | X | X | |||||||||||||||||||||
| Approve payroll schedule | X | X | X | |||||||||||||||||||||
| Load pay variation data | X | X | X | |||||||||||||||||||||
| Verify data loads | X | X | X | |||||||||||||||||||||
| Calculate termination payments | X | X | X | |||||||||||||||||||||
| Validate and approve termination payment calculations for all special handling cases | X | X | X | |||||||||||||||||||||
| Payroll Processing | ||||||||||||||||||||||||
| Update and maintain parameters for payroll process and set control records for pay cycle status (such as, run/check/edit) | X | X | X | |||||||||||||||||||||
| Monitor pay process against scheduled timeframes | X | X | X | |||||||||||||||||||||
| Perform leave update (time evaluation) process for current payroll | X | X | X | |||||||||||||||||||||
| For each pay run: | X | X | X | |||||||||||||||||||||
| • Run trial pay (simulation) |
X | X | X | |||||||||||||||||||||
| • Verify trial pay run results and reports |
X | X | X | |||||||||||||||||||||
| • Review trial pay reports |
X | X | X | |||||||||||||||||||||
| • Rectify advised errors in trial pay |
X | X | X | |||||||||||||||||||||
| • Give approval for final pay run |
X | X | X | |||||||||||||||||||||
| Finalize pay and perform payroll release in accordance with pre-agreed processing schedules | X | X | X | |||||||||||||||||||||
| Reconciliation of payments and deductions for payroll purposes | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 16 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||
| Request for off cycle process | X | X | X | |||||||||
| Process and calculate off-cycle processes | X | X | X | |||||||||
| Maintain process and procedure manuals | X | X | X | |||||||||
| Send approved additional pay (bonus, commission, incentives etc.) files to Supplier | X | X | X | |||||||||
| Receive approved commission files | X | X | X | |||||||||
| Receive approved additional pay (bonus, incentive, etc.) files | X | X | X | |||||||||
| Calculate 100% deferrals | X | X | X | |||||||||
| Review pay data and identify errors | X | X | X | |||||||||
| Work with customer to determine correction method, if needed | X | X | X | |||||||||
| Make corrections to pay | X | X | X | |||||||||
| Setup for split Payrolls | X | X | ||||||||||
| Run balancing and audit reports | X | X | X | |||||||||
| Review exceptions and escalate as needed | X | X | X | |||||||||
| Resolve escalated exceptions | X | X | X | |||||||||
| Create and distribute payroll register | X | X | X | |||||||||
| Close payroll | X | X | X | |||||||||
| Run GL interface & send files manually to AP | X | X | X | |||||||||
| Create and Send ACH (3rd party provider) | X | X | X | |||||||||
| Create and Send Positive Pay (3rd party provider) | X | X | X | |||||||||
| Create and Send Tax Payments (3rd party provider) | X | X | X | |||||||||
| Create and Send 3rd Party Interfaces | X | X | X | |||||||||
| Print Checks (3rd party provider) | X | X | X | |||||||||
| Distribute Checks (3rd party provider- ) | X | X | X | |||||||||
| Process scheduled off-cycle and on-demand Payrolls | X | X | X | |||||||||
| Reclassification of OT/Rates due to local statutory requirements such as for bonuses etc. | X | X | X | |||||||||
| Perform check cancellations and replacements | X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 17 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||||||||||||||
| Process overpayment recoveries | X | X | X | |||||||||||||||||||||
| Process deferred compensation disbursements | X | X | X | |||||||||||||||||||||
| Post-Payroll Processing |
||||||||||||||||||||||||
| Apply support packs (containing statutory updates and program corrections) provided by SAP to the System | X | X | X | |||||||||||||||||||||
| Prepare electronic payroll reports | X | X | X | |||||||||||||||||||||
| Direct communication with employees | X | X | X | |||||||||||||||||||||
| Leave Management |
||||||||||||||||||||||||
| Advise Vendor of any changes to leave management rules | X | X | X | |||||||||||||||||||||
| Submit changes to leave management rules as per client instructions | X | X | X | |||||||||||||||||||||
| Ensure leave details are loaded into the System | X | X | X | |||||||||||||||||||||
| Process leave payments through payroll process | X | X | X | |||||||||||||||||||||
| Termination Management |
||||||||||||||||||||||||
| Direct termination notification to Vendor (including any additional payment details for termination pay) | X | X | X | |||||||||||||||||||||
| Calculate termination payments | X | X | X | |||||||||||||||||||||
| Authorize termination payments | X | X | X | |||||||||||||||||||||
| Process calculated termination payment | X | X | X | |||||||||||||||||||||
| Deliver payment to employee via EFT, as applicable | X | X | X | |||||||||||||||||||||
| Delivery payments to employees via check | X | X | X | |||||||||||||||||||||
| Prepare statutory termination forms (e.g., tax certificates, ROEs), if required | X | X | X | |||||||||||||||||||||
| Confirm that employee termination has been finalized in the System | X | X | X | |||||||||||||||||||||
| Notify relevant government authority of employee terminations | X | X | X | |||||||||||||||||||||
| Payback Agreement with Employees |
||||||||||||||||||||||||
| Administer any payback amounts with employees | X | X | X | |||||||||||||||||||||
| Payback amount to be adjusted along with next payrun | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 18 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||||||||||||||
| Collection of payback amount for terminated employees | X | X | X | |||||||||||||||||||||
| End-of-Month Activities |
||||||||||||||||||||||||
| Prepare and upload to ERP client general ledger interface file | X | X | X | |||||||||||||||||||||
| Provide financial reports to client, as agreed between the parties | X | X | X | |||||||||||||||||||||
| Prepare and transmit, as agreed between the parties, all electronic standard and country specific payroll and reports | X | X | X | |||||||||||||||||||||
| Reconcile regulatory report data with payroll outputs | X | X | X | |||||||||||||||||||||
| Provide additional monthly services for lodgments and remittance of funding as agreed between the parties | X | X | X | |||||||||||||||||||||
| Adhoc Reporting requests | X | X | X | |||||||||||||||||||||
| Client Relationship Management |
||||||||||||||||||||||||
| Performance metrics reporting, as agreed | X | X | X | |||||||||||||||||||||
| End–of-Year Activities |
||||||||||||||||||||||||
| Advise any regulatory changes | X | X | X | |||||||||||||||||||||
| Manage a timetable for the reporting of yearly taxation and regulatory requirements. | X | X | X | |||||||||||||||||||||
| Produce year-end reconciliation. | X | X | X | |||||||||||||||||||||
| Approve year-end reconciliation. | X | X | X | |||||||||||||||||||||
| Collate tax relief details for countries as required. | X | X | X | |||||||||||||||||||||
| Produce electronic forms/files for year-end lodgment to employees and government authorities, as agreed between the parties. | X | X | X | |||||||||||||||||||||
| Submission of hard copy file (if required) | X | X | X | |||||||||||||||||||||
| Distribute employee forms to employees on a per country basis. | X | X | X | |||||||||||||||||||||
| Produce and publish payroll calendar | X | X | X | |||||||||||||||||||||
| Perform quarter-end self-audit | X | X | X | |||||||||||||||||||||
| Perform year-end self-audit | X | X | X | |||||||||||||||||||||
| Generate quarter-end reports | X | X | X | |||||||||||||||||||||
| Generate quarter-end interfaces | X | X | X | |||||||||||||||||||||
| Generate year-end reports | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 19 |
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CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||||||||||||||
| Generate year-end interfaces | X | X | X | |||||||||||||||||||||
| Identify and make corrections, reconcile corrections and remit final quarter-end reports | X | X | X | |||||||||||||||||||||
| Identify and make corrections, reconcile corrections and remit final quarter-end interfaces | X | X | X | |||||||||||||||||||||
| Identify and make corrections, reconcile corrections and remit final year-end reports | X | X | X | |||||||||||||||||||||
| Identify and make corrections, reconcile corrections and remit final year-end interfaces | X | X | X | |||||||||||||||||||||
| Support audits and statutory compliance | X | X | X | |||||||||||||||||||||
| Create wage & Tax statements-3rd party provider ADP | X | X | X | |||||||||||||||||||||
| Distribute hard copy wage & Tax statements | X | X | X | |||||||||||||||||||||
| Other Payroll Activities |
||||||||||||||||||||||||
| Develop and maintain interface between client HR system and the Payroll System | X | X | X | |||||||||||||||||||||
| Develop and maintain interface program to receive and process client HR data | X | X | X | |||||||||||||||||||||
| Monitor country specific public holiday calendars including any changes | X | X | X | |||||||||||||||||||||
| Complete Garnishment wage attachment process | X | X | X | |||||||||||||||||||||
| Complete Verification of Employment | X | X | X | |||||||||||||||||||||
| Complete Unemployment management services or equivalent-3rd party provider | X | X | X | |||||||||||||||||||||
| Additional Responsibilities |
||||||||||||||||||||||||
| Arrange preparation of regulatory forms and reports for countries where electronic filing is not available | X | X | X | |||||||||||||||||||||
| Arrange preparation of regulatory forms and reports for countries where electronic filing is available | X | X | X | |||||||||||||||||||||
| Arrange filing of regulatory forms and reports with the government authorities for countries where electronic filing is not available. In Asia Pacific, Vendor will work with lodgment services as necessary | X | X | X | |||||||||||||||||||||
| Arrange filing of regulatory forms and reports with the government authorities for countries where electronic filing is available | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 20 |
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CONFIDENTIAL
EXECUTION VERSION
| Process Steps |
LS&Co. | Supplier | ||||||||||
| Arrange for the remittance of regulatory deductions to relevant government authorities or authorized local banks, as agreed between the parties | X | X | X | |||||||||
| Manage lodgment of year-end regulatory forms and reports with government authorities for each country | X | X | X | |||||||||
| Manage Payroll Service Delivery | X | X | X | |||||||||
| Receive Customer Request | X | X | X | |||||||||
| Analyze Customer Request | X | X | X | |||||||||
| Research Customer Request | X | X | X | |||||||||
| Perform Additional Research (as needed) | X | X | X | |||||||||
| Fulfill Customer Request | X | X | X | |||||||||
| Contact Customer to Ensure Satisfaction | X | X | X | |||||||||
| Manage Inquiries / Requests | X | X | X | |||||||||
| Analyze Contact Center Capabilities | X | X | X | |||||||||
| Identify Contact Center Needs | X | X | X | |||||||||
| Ensure Contact Center Staff Optimization | X | X | X | |||||||||
| Manage Contact Center Service Delivery | X | X | X | |||||||||
| Manage Documents | X | X | X | |||||||||
| Monthly, Quarterly, annual regulatory & tax filings/reporting to include but are not limited to lodgments. | X | X | X | |||||||||
5. ACCOUNTS RECEIVABLES
5.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Define and Communicate Policy |
||||||||||||||||||||||||
| Establish, maintain, and communicate credit policies, regulatory requirements, procedures, approval limits and guidelines | X | X | X | |||||||||||||||||||||
| Provide list of delegated powers of authority who can override 3rd party credit recommendations and provide authorization above service provider limits | X | X | X | |||||||||||||||||||||
| Provide local legal / statutory inputs for policies and procedures | X | X | X | |||||||||||||||||||||
| Training Supplier on new systems, new or major process changes and related process documentation | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 21 |
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CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Updates to existing process documentation, training on regular process updates | X | X | X | |||||||||
| Process Credit Request |
||||||||||||
| (Supplier to be responsible for non-strategic customers only. Split between strategic and non-strategic customers to be agreed during Transition Analysis) | ||||||||||||
| Receive incoming credit requests for new customers. Collect and compile financials and other supporting documentation per guidelines needed to evaluate credit | X | X | X | |||||||||
| Assess customer credit limit based on LS&Co. policy and 3rd party data (i.e. Xxxx and Bradstreet) | X | X | X | |||||||||
| Provide credit recommendation, including payment terms and recommendations for credit limit per agreed desktop procedures | X | X | X | |||||||||
| Determine the security needed and held (letter of credit and deposits) | X | X | X | |||||||||
| Submit credit recommendation for approval based on pre-defined approval matrix | X | X | X | |||||||||
| Provide final approval on credit limits | X | X | X | |||||||||
| Notify customer of approved limit and payment terms as needed | X | X | X | |||||||||
| Coordinate credit approval process where significant customer interaction is required | X | X | X | |||||||||
| Coordinate with Treasury to track letters of credit | X | X | X | |||||||||
| Maintain customer data used to make credit decisions (physical document handling to be agreed as part of overall Mailroom & Scanning solution) | X | X | X | |||||||||
| Liaison with Banks for bank guarantee, Letter of credit- including physical handling | X | X | X | |||||||||
| Review credit holds when order limits are exceeded in order to assess whether orders should be fulfilled | X | X | X | |||||||||
| Administer credit block release within established approval authority and guidelines | X | X | X | |||||||||
| Update to credit limits per request from LS&Co | X | X | X | |||||||||
| Track existing customers to ensure credit limit is reviewed for all on an annual basis | X | X | X | |||||||||
| Provide recommendation and support for annual credit limit changes to LS&Co. (SAP) | X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 22 |
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CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| LS&Co. review/approve recommended Credit Limit changes. | X | X | X | |||||||||||||||||||||
| Receive, research and address process escalations per agreed desktop procedures | X | X | X | |||||||||||||||||||||
| Customer Billing |
||||||||||||||||||||||||
| Ensure proper tax application for customer invoices, correct errors per agreed desktop procedures | X | X | X | |||||||||||||||||||||
| Run billing extracts and generate customer invoices | X | X | X | |||||||||||||||||||||
| Record reconciliation of invoices processed by SAP and 3rd part vendors to process broadcasting and mailing of invoices (both for LSA and LSE) | X | X | X | |||||||||||||||||||||
| Generate manual customer invoices per request/instructions from LS&Co | X | X | X | |||||||||||||||||||||
| Dispatch of manual customer invoices (EMDS, Tessi to continue dispatch activities in future). Requirement of physical invoice dispatch by Supplier, if any to be as per agreed Mailroom & scanning solution). AMA would like Supplier to dispatch physical customer invoices- To be finalized as part of Mailroom & Scanning Solution) |
X | X | X | |||||||||||||||||||||
| Process chargebacks per approval/instruction from LS&Co | X | X | X | |||||||||||||||||||||
| Address incoming customer billing inquiries per LS&Co. guidelines | X | X | X | |||||||||||||||||||||
| Make applicable pricing corrections as needed (based on approval from business teams) | X | X | X | |||||||||||||||||||||
| Escalate customer billing inquiries or exception requests as needed to business teams | X | X | X | |||||||||||||||||||||
| Research and resolve escalated invoice adjustment requests from the customer | X | X | X | |||||||||||||||||||||
| Process Customer rebates per agreed procedures | X | X | X | |||||||||||||||||||||
| AR Sub Ledger Period Close |
||||||||||||||||||||||||
| Close AR sub ledger at period end with associated reconciliation to General Ledger | X | X | X | |||||||||||||||||||||
| Provide to General Ledger teams AR sub ledger reporting as part of month end close | X | X | X | |||||||||||||||||||||
| Provide month end close timetable and list of activities to be performed. (Split of period close activities between Supplier and LS&Co. to be agreed as part of Transition Analysis and detailed as part of desktop procedures) |
X | X | X | |||||||||||||||||||||
| Execute activities according to close timetable | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 23 |
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CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| Cash Application |
||||||||||||||||||||||||
| Manage the process of receiving manual payments, deposit cash/check receipts into bank accounts, share details for cash application with Supplier team | X | X | X | |||||||||||||||||||||
| Review payment details from bank website, including images of checks, customer remittances and debit memos | X | X | X | |||||||||||||||||||||
| Audit and balance each electronic file transmission and resolve exceptions (i.e., payments not matching, short payments, over payments, and unapplied cash) | X | X | X | |||||||||||||||||||||
| Manage the process of auditing and balancing each electronic file transmission and resolve exceptions |
X | X | X | |||||||||||||||||||||
| Notify LS&Co. of exceptions requiring approvals |
X | X | X | |||||||||||||||||||||
| Provide required approvals |
X | X | X | |||||||||||||||||||||
| Assist the billing team and customers in researching and resolving short and over payments, missing invoices or any other billing discrepancies | X | X | X | |||||||||||||||||||||
| Receive electronic payment information from appropriate lockbox, and verify auto-cash application against customer invoices or credit memos in the ERP system | X | X | X | |||||||||||||||||||||
| Manage automated administration and collection of cash |
X | X | X | |||||||||||||||||||||
| Verify receipt of daily lockbox statements (automatic & manual lockboxes) |
X | X | ||||||||||||||||||||||
| Process remittance advices by allocating payment receipts to the relevant Invoices/transactions |
X | X | X | |||||||||||||||||||||
| Manage the process of validating, posting and applying incoming payments received from customers to the A/R sub-ledger, in accordance with customer remittance advice details, following written guidelines and policies; leveraging banks responsibilities already in place | X | X | X | |||||||||||||||||||||
| Identify deductions from remittances and raise debit / credit memos to reflect debits taken (short pays or deductions) – notifying collections as appropriate | X | X | X | |||||||||||||||||||||
| Investigate and resolve unapplied and unidentified cash items |
X | X | X | |||||||||||||||||||||
| Resolve “on account” cash remittances and/or escalate to LS&Co. per agreed desktop procedures |
X | X | X | |||||||||||||||||||||
| Process refunds within authorized limits |
X | X | X | |||||||||||||||||||||
| Create request for refunds above the authorized limit |
X | X | X | |||||||||||||||||||||
| Approve or deny refund requests above authorized limits |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 24 |
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CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| Process approved refund requests above authorized limits |
X | X | X | |||||||||||||||||||||
| Process Intercompany Cash Settlement Transactions |
||||||||||||||||||||||||
| Apply intercompany cash to appropriate company |
X | X | X | |||||||||||||||||||||
| Settle intercompany transactions (manually/automated) |
X | X | X | |||||||||||||||||||||
| Approve intercompany cash amounts applied |
X | X | X | |||||||||||||||||||||
| Cash Reconciliation and Other Periodic Activities |
||||||||||||||||||||||||
| Compare bank records against ERP to ensure that the data is synchronized accurately |
X | X | X | |||||||||||||||||||||
| Perform cash reconciliation between batched cash and cash posted to the AR sub-ledger |
X | X | X | |||||||||||||||||||||
| Investigate and resolve reconciliation issues identified from daily cash |
X | X | X | |||||||||||||||||||||
| Reconcile intercompany transactions |
X | X | X | |||||||||||||||||||||
| Reconcile customer account (at agreed frequency) based on payments received |
X | X | X | |||||||||||||||||||||
| Receive, research and address cash application reconciliations escalations |
X | X | X | |||||||||||||||||||||
| Generate customer account statements |
X | X | X | |||||||||||||||||||||
| Dispatch of customer statements (electronic/physical) |
X | X | X | |||||||||||||||||||||
| Past Due &Collections |
||||||||||||||||||||||||
| (Supplier to be responsible for non-strategic customers only. Split between strategic and non-strategic customers to be agreed during Transition Analysis) | ||||||||||||||||||||||||
| Run monthly A/R balances reports (i.e., aging reports in SAP) |
X | X | X | |||||||||||||||||||||
| Identify customers with past due balances and analyze reasons for non-payment |
X | X | X | |||||||||||||||||||||
| Oversee automated daily collections task-list for work distribution and collections activities |
X | X | X | |||||||||||||||||||||
| Prioritize collections activities based on tasks assigned to collectors and in accordance with LS&Co. collections guidelines |
X | X | X | |||||||||||||||||||||
| Set collection targets for team/individuals to drive collections |
X | X | X | |||||||||||||||||||||
| Review, Approve overall collections strategy |
X | X | X | |||||||||||||||||||||
| Perform Bad Debt Analysis |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 25 |
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CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Review and Approve Bad Debt Analysis |
X | X | X | |||||||||
| Contact key strategic customers or high dollar balance customers in accordance with written credit and collection policies and procedures to determine if debt is collectable (AMA* business decision to have Supplier collect all customer accounts) | X | X | X | |||||||||
| Contact non-strategic customers or small dollar balance customers in accordance with written credit and collection policies and procedures to determine if debt is collectable | X | X | X | |||||||||
| Request payment of outstanding invoices which are due for strategic customers and identify invoice disputes (AMA business decision to have Supplier collect all customer accounts) | X | X | X | |||||||||
| Request payment of outstanding invoices which are due for non-strategic customers and identify invoice disputes | X | X | X | |||||||||
| Record customer contact information and collection notes for strategic or high dollar balance customers (AMA business decision to have Supplier collect all customer accounts) | X | X | X | |||||||||
| Record customer contact information and collection notes for non-strategic or small dollar balance customers | X | X | X | |||||||||
| Discuss causes for delinquency and implement corrective actions with customers. Identify opportunities to improve customer payments within terms (i.e. for strategic customers in LS&Co. scope) | X | X | X | |||||||||
| Discuss causes for delinquency and implement corrective actions with customers. Identify opportunities to improve customer payments within terms (i.e. for non-strategic customers in-scope for Supplier) | X | X | X | |||||||||
| Create customer xxxxxxx letters/statements and send to customers (physical dispatch requirements to be agreed as part of Mailroom & Scanning solution) Note: AMA & US currently do not dispatch xxxxxxx letters. |
X | X | X | |||||||||
| Manage collection process of strategic insolvent/bankrupt customers, follow up progress with administrators and receivers until insolvency is concluded. The terms and conditions of sale should include clause on recovery of LS&Co. products. | X | X | X | |||||||||
| Manage collection process of non-strategic insolvent/bankrupt customers, follow up progress with administrators and receivers until insolvency is concluded. The terms and conditions of sale should include clause on recovery of LS&Co. products. | X | X | X | |||||||||
| For draft transactions against a letter of credit, follow-up with strategic customer to inform that we will draw from their letter of credit | X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 26 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| For draft transactions against a letter of credit, follow-up with non-strategic customer to inform that we will draw from their letter of credit | X | X | X | |||||||||
| Approve and maintain list of customers that are defined as strategic |
X | X | X | |||||||||
| Propose change in payment terms and or payment plan where needed (non-strategic customers only) |
X | X | X | |||||||||
| Approve change in payment terms or approve payment plan where needed |
X | X | X | |||||||||
| Provide ‘Go forth and Collect’ reporting to the business on monthly basis (for non-strategic customers) |
X | X | X | |||||||||
| Review and approve customers authorized for payment plans under defined terms and periods |
X | X | X | |||||||||
| Unauthorized discount recovery |
X | |||||||||||
| Post dated check management |
X | X | ||||||||||
| Direct debit management (mainly Spain, GAS, also Italy) |
X | |||||||||||
| Manage Write-offs |
||||||||||||
| (Supplier to be responsible for non-strategic customers only. Split between strategic and non-strategic customers to be agreed during Transition Analysis) | ||||||||||||
| Initiate request for accounts/invoices write-offs, seek approval and make updates as necessary |
X | X | X | |||||||||
| Approve “write off” requests which are outside the authorization levels in accordance with written policies, procedures and rules |
X | X | X | |||||||||
| Refer LS&Co. approved aged receivables to collection agency |
X | X | X | |||||||||
| Coordinate collections and write-offs with collection agency |
X | X | X | |||||||||
| Validate write-offs as needed |
X | X | X | |||||||||
| Receive, research and address collections escalations |
X | X | X | |||||||||
| Customer Disputes |
||||||||||||
| (Supplier to be responsible for non-strategic customers only. Split between strategic and non-strategic customers to be agreed during Transition Analysis) | ||||||||||||
| Log incoming customer service issues, inquiries or disputes |
X | X | X | |||||||||
| Provide guidelines for billing adjustments |
X | X | X | |||||||||
| Identify billing adjustments needed and their type based on guidelines provided |
X | X | X | |||||||||
| Recommend billing adjustments |
X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 27 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Escalate unresolved customer disputes to business units based on escalation matrix |
X | X | X | |||||||||
| Refer uncollectible disputes to 3rd party collection agencies (write off only per agreed desktop procedures and approval from LS&Co) |
X | X | X | |||||||||
| Manage 3rd party collection efforts, resolve “exception” or unique customer disputes, and post any entries related to outcomes of dispute management resolution | X | X | X | X | X | X | ||||||
| Share analysis with LS&Co. on channel and customer disputes to identify customer specific and channel trends. Investigate root cause and address prevention with internal and external sources | X | X | X | |||||||||
| Review and provide updates/actions to be taken if any |
X | X | X | |||||||||
| Reporting |
||||||||||||
| Generate agreed process reports per procedures |
X | X | X | |||||||||
| Jointly participate in periodic business/process performance reviews |
X | X | X | X | X | X | ||||||
| Calculate DSO to determine average number of days to collect revenue |
X | X | X | |||||||||
| Prepare unapplied cash report |
X | X | X | |||||||||
| Prepare Daily aging by credit report |
X | X | X | |||||||||
| Prepare Daily customer balance detail |
X | X | X | |||||||||
| Retail Store Accounting |
||||||||||||
| Reconcile stores cash/Bank details |
X | X | X | |||||||||
| Liaise with stores for updates, discrepancies |
X | X | X | |||||||||
| Retail cash posting and reconciliation |
X | X | X | |||||||||
| Manage and oversee daily/monthly reconciliation from bank; resolve escalations |
X | X | X | |||||||||
6. GENERAL ACCOUNTING
6.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Intercompany Accounting |
||||||||||||
| Setup Intercompany Agreements |
||||||||||||
| Obtain cross business unit agreement on eligible intercompany transactions, including transfer pricing agreements. |
X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 28 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Configure pre-requisites of systems including: |
||||||||||||
| a. Intercompany organizations |
X | X | X | |||||||||
| b. Transaction types |
||||||||||||
| c. Approval workflow |
||||||||||||
| Identify and Enter Intercompany Transactions |
||||||||||||
| Setup intercompany suppliers and customers |
X | X | X | |||||||||
| Approve intercompany suppliers and customers additions/changes |
X | X | X | |||||||||
| Receive approved intercompany transactions requiring set up. Enter intercompany transactions |
X | X | X | |||||||||
| Validate and Post Intercompany Entries |
||||||||||||
| Process intercompany invoices |
X | X | X | |||||||||
| Process intercompany credit/debit notes |
X | X | X | |||||||||
| Resolve holds and automation defects on payable invoices |
X | X | X | |||||||||
| Post transactions via the intercompany |
X | X | X | |||||||||
| Process intercompany payments and receipts |
X | X | X | |||||||||
| Process preliminary and final intercompany netting and escalate exceptions as applicable |
X | X | X | |||||||||
| Perform intercompany hedging |
X | X | X | |||||||||
| Create policy to govern intercompany accounting |
X | X | X | |||||||||
| Generate intercompany receivable and payable reports |
X | X | X | |||||||||
| Prepare schedule of intercompany payables and receivables |
X | X | X | |||||||||
| Prepare appropriate documents like Inter-company invoices etc. |
X | X | X | |||||||||
| Reconcile Intercompany Transactions |
||||||||||||
| Perform intercompany reconciliations; sub ledger to ledger reconciliations and provide reconciliations to the counterparty and request confirmation of the reconciled balance | X | X | X | |||||||||
| Perform Intercompany Eliminations |
||||||||||||
| Eliminate LS&Co. approved intercompany revenues/expenses and balances |
X | X | X | |||||||||
| Eliminate intercompany profit on sales and inventory |
X | X | X | |||||||||
| Resolve Intercompany Disputes |
||||||||||||
| Identify intercompany disputes |
X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 29 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||||
| Perform accounting transactions to facilitate dispute/difference resolution (e.g. pre-approved transactions that need to be corrected or transfer pricing transactions) | X | X | X | |||||||||||
| Receive and remediate escalations for intercompany transactions per regional guidelines |
X | X | X | |||||||||||
| Receive, research and address and escalations related to disputed intercompany invoices or differences |
X | X | X | |||||||||||
| Journal Entries and Review |
||||||||||||||
| Park and Post all journal entries agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Review Journals periodically for compliance |
X | X | X | |||||||||||
| Prepare and process transactional/recurring/non-strategic Journal Entries |
X | X | X | |||||||||||
| Process manual and automated journal entries (mass allocation batch run during month end) |
X | X | X | |||||||||||
| Prepare and process exceptional/one-time/complex/strategic Journal Entries |
X | X | X | |||||||||||
| Process standard accruals agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Process standard reserves agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Prepare manual allocations agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Review and finalize proposed allocations agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Process standard allocations agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Perform standard reversals and re-class as agreed to be in-scope for Supplier |
X | X | X | |||||||||||
| Perform escalated reversals and re-class |
X | X | X | |||||||||||
| Clear suspense and re-class inter-company |
X | X | X | |||||||||||
| E-archival & retrieval of journals & supporting documentation per current LS&Co. procedures & tools |
X | X | X | |||||||||||
| Define rules for archival / retrieval activities |
X | X | X | |||||||||||
| Perform physical archival/retrieval activities |
X | X | X | |||||||||||
| Perform physical archival/retrieval activities as may be agreed to be in-scope for Supplier Mailroom & Scanning solution |
X | X | X | |||||||||||
| Foreign Currency Accounting |
||||||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 30 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Update foreign exchange rates in the system |
X | X | X | |||||||||
| Perform Foreign exchange gain/loss accounting |
X | X | X | |||||||||
| Perform Account Reconciliation |
||||||||||||
| Extract preliminary reports and trial balances |
X | X | X | |||||||||
| Prepare Balance Sheet reconciliations agreed to be in-scope for Supplier |
X | X | X | |||||||||
| Analyze and resolve reconciling variances for balance sheet accounts |
X | X | X | |||||||||
| Bank Account Reconciliation agreed to be in-scope for Supplier |
X | X | X | |||||||||
| Analyze un-presented checks and deposits not cleared |
X | X | X | |||||||||
| Reconcile bank balance to General Ledger |
X | X | X | |||||||||
| Review out of date checks |
X | X | X | |||||||||
| Investigate un-cleared deposits |
X | X | X | |||||||||
| Prepare journal entries for reconciling variances |
X | X | X | |||||||||
| Provide explanations for all reconciling variances in accordance with LS&Co. policy guidelines |
X | X | X | |||||||||
| Obtain approval for reconciliations and correcting journal entries in accordance with LS&Co. approval hierarchy | X | X | X | |||||||||
| Provide hierarchy of approvals related to high/med/low account reconciliations |
X | X | X | |||||||||
| Review and approve account reconciliations and correcting journal entries per risk level of reconciliations/accounts (i.e. LS&Co. does not expect to approve all account reconciliations performed by Supplier) | X | X | X | |||||||||
| Provide copies of account reconciliations and correcting journal entries as requested (e-archival & retrieval using LS&Co. tools) | X | X | X | |||||||||
| Closing Activities |
||||||||||||
| Communicate close schedule, hold pre-close meetings and begin initial analysis |
X | X | X | |||||||||
| Submit supporting materials to Retained personnel per close calendar |
X | X | X | |||||||||
| Close sub-ledgers (accounts payable, fixed assets, accounts receivable etc.) & General Ledger based on timing and calendar for period end close schedule set by LS&Co | X | X | X | |||||||||
| Review, approve and close business units books |
X | X | X | |||||||||
| Perform period ending adjustments |
X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 31 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Review, approve and close corporate books (HFM) |
X | X | X | |||||||||
| Create cause of change summaries, perform close analysis and any top level adjustments or true ups; resolve exceptions |
X | X | X | |||||||||
| Provide final review, approval and close corporate books (HFM) |
X | X | X | |||||||||
| Perform final consolidations and finalize executive summaries including legal entity reporting package |
X | X | X | |||||||||
| External Reporting |
||||||||||||
| Review local statutory filings, interim/annual earnings releases/reports to shareholders and government entities |
X | X | X | |||||||||
| Maintain local statutory filings and other regulatory reports |
X | X | X | |||||||||
| Submit regulatory reports |
X | X | X | |||||||||
| Support creation of external reports- provide data, complete templates |
X | X | X | |||||||||
| Manage Fixed Assets Inventory |
||||||||||||
| Create asset master and post assets basis request from LS&Co |
X | X | X | |||||||||
| Process changes to asset master data per request from LS&Co |
X | X | X | |||||||||
| Set policy and identify owners for fixed asset inventory |
X | X | X | |||||||||
| Coordinate physical asset tracking and tagging |
X | X | X | |||||||||
| Administer periodic physical asset verification |
X | X | X | |||||||||
| Make appropriate transactional entries for assets based on outcome of physical inventory process |
X | X | X | |||||||||
| Approve the physical asset loss |
X | X | X | |||||||||
| Book accrual for missing assets (Note: AMA currently writes off missing assets directly) |
X | X | X | |||||||||
| Book accrual for tax portion of capitalized asset |
X | X | X | |||||||||
| Ensure depreciation is posted accurately across all Fixed Asset Areas and ledgers (support from LS&Co. for in-country local GAAP compliance) |
X | X | X | |||||||||
| Run processes to capitalize Fixed Assets or Fixed Asset additions |
X | X | X | |||||||||
| Ensure that all assets under construction postings are accurate and can be capitalized and escalate cases in which judgment is required | X | X | X | |||||||||
| S&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 32 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Meet with project managers to ensure projects are getting capitalized according to project Go Live. |
X | X | X | |||||||||
| Perform impairment test & communicate the impairment values of assets |
X | X | X | |||||||||
| Post journal entries to record asset impairments in accordance with LS&Co. policy guidelines |
X | X | X | |||||||||
| Communicate any statutory requirements |
X | X | X | |||||||||
| Create transactions as necessary for special one-time events (e.g. restructuring, sale of facilities) |
X | X | X | |||||||||
| Post transactions as necessary for special one-time events (e.g., restructuring, sale of facilities) |
X | X | X | |||||||||
| Asset Additions, Transfers, or Deletions |
||||||||||||
| Initiate request for asset additions, transfers, or deletions |
X | X | X | |||||||||
| Review and approve requests for asset additions, transfers, or deletions |
X | X | X | |||||||||
| Process asset addition (with and without Internal Orders), transfer, or deletion according to LS&Co. policy and guidelines | X | X | X | |||||||||
| Post additions to Fixed Assets for the month to the proper depreciation/amortization schedules and ensure they go to the correct asset class | X | X | X | |||||||||
| Seek additional clarification as needed to facilitate asset additions, transfers or deletions |
X | X | X | |||||||||
| Run Depreciation |
||||||||||||
| Process depreciation journal entries for assets |
X | X | X | |||||||||
| Post depreciation to General Ledger |
X | X | X | |||||||||
| Seek approval for depreciation exceptions per LS&Co. policy guidelines |
X | X | X | |||||||||
| Validate and approve exceptions |
X | X | X | |||||||||
| Process Asset Sale or Retirement |
||||||||||||
| Initiate request for asset sale or retirement |
X | X | X | |||||||||
| Receive, review and approve completed acknowledgment forms with details on assets to be retired or sold |
X | X | X | |||||||||
| Process and post transactions to record retirements and sales of assets |
X | X | X | |||||||||
| Seek additional clarification as needed to facilitate asset sale or retirement |
X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 33 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Maintain Leases |
||||||||||||
| Receive completed lease contract and capital appropriation request, determine and classify lease type (operating or capital), create lease amortization schedule, and submit request to AP for payment set up (if applicable). | X | X | X | |||||||||
| Create periodic management reports for Corporate Finance and Treasury |
X | X | X | |||||||||
| Run capital leased asset depreciation and transfer to General Ledger |
X | X | X | |||||||||
| Record accruals or prepayments for any operating or capital leases and book monthly journal entries |
X | X | X | |||||||||
| Approve accruals or prepayments for any operating or capital leases |
X | X | X | |||||||||
| Process changes to asset master data |
X | X | X | |||||||||
| Perform Month-End Closing and Reconciliation of Lease Account |
||||||||||||
| Reconcile lease account to bank payments and investigate/resolve reconciliation issues identified from monthly cash statement |
X | X | X | |||||||||
| Escalate reconciliation issues/exceptions as needed |
X | X | X | |||||||||
| Retire leased assets as appropriate |
X | X | X | |||||||||
| Monitor leases for renewals/retirement |
— | — | — | X | X | X | ||||||
| Review and approve reports and journal entries using third party system(s) as appropriate |
X | X | X | |||||||||
| Maintain Assets Under Creation/Project Accounting |
||||||||||||
| Initiate request for funding via completion of a capital appropriation form |
X | X | X | |||||||||
| Receive completed capital appropriation request form Provide pre-approved budget for a fixed asset under construction and supporting documentation | X | X | X | |||||||||
| Open internal Order per completed request from LS&Co |
X | X | X | |||||||||
| Review PER (Project Expense Request) for completeness of data |
X | X | X | |||||||||
| Monitor projects for spending completion and notify the business if it is stagnant |
X | X | X | |||||||||
| Publish reports like fixed assets roll forwards, capital tracking, aging projects and retain records in electronic format records for Auditor and SOX testing; support audit process as needed | X | X | X | |||||||||
| Review by LS&Co |
X | X | X | |||||||||
| Initiate any queries related to reporting |
X | X | X | |||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 34 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Respond to any incoming queries |
X | X | X | |||||||||
| Close out project/related internal order and establish asset once spending is complete |
X | X | X | |||||||||
| Support for Escalations and Processing Service Requests/Inquiries |
||||||||||||
| Receive, research and address escalations raised during the Fixed Assets physical inventory processes |
X | X | X | |||||||||
| Receive and research escalations raised during asset impairment decision making process |
X | X | X | |||||||||
| Prepare reports for management purposes such as depreciation expense summary, and Fixed Asset summary per agreed LS&Co. requirements | X | X | X | |||||||||
| Respond to end-user requests for asset values and disposition values; escalate unresolved queries to LS&Co | X | X | X | |||||||||
| Resolve cases escalated to LS&Co. per agreed procedures |
X | X | X | |||||||||
| Establish, maintain, and communicate policies, procedures, approval limits and guidelines for intercompany accounting per regional guidelines | X | X | X | |||||||||
| Merger & Acquisitions |
||||||||||||
| Process entries for goodwill in accordance with instructions from LS&Co |
X | X | X | |||||||||
| Approve accounting entries for new acquisitions |
X | X | X | |||||||||
| Policy and procedure for goodwill accounting |
X | X | X | |||||||||
7. INVENTORY ACCOUNTING
7.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Provide inputs to expense allocations and inventory valuation (raw materials, WIP, finished goods) | X | X | X | |||||||||
| Support product costing (For Business Finance / Operations) and inventory accounting (maintain standard cost rates, track cycle counts, and cost revisions) | X | X | X | |||||||||
| Create and process judgmental entries related to inventory valuation (i.e. LCM) |
X | X | X | |||||||||
| Process standard journal entries for inventory adjustments |
X | X | X | |||||||||
| Reconciling POS data, ERP differences |
X | X | X | |||||||||
| Follow up with stores related to potential inventory adjustments |
X | X | X | |||||||||
8. TREASURY TRANSACTIONS
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 35 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
8.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Rate updates (forex, cost rates, budget rates, etc.) |
X | X | X | |||||||||
| Exact split of work for Supplier to be detailed during Transition Analysis |
||||||||||||
| Closing journals |
X | X | X | |||||||||
| Generate in-house bank statements, |
X | X | X | |||||||||
| Liaison with Banks, in-country finance teams for funding requirements, transfers, hedging, cash forecasting etc. | X | X | X | |||||||||
9. INTERNAL REPORTING
9.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Internal Reporting |
||||||||||||
| Support preparation of management reports |
X | X | X | |||||||||
| Participate in regional and higher process reviews |
X | X | X | |||||||||
| Participate in affiliate process reviews |
X | X | X | |||||||||
| Respond to internal customer inquiries and escalated as necessary |
X | X | X | |||||||||
| Respond to escalations |
X | X | X | |||||||||
| FP&A (Variance analysis, budgeting & forecasting activities) |
X | X | X | |||||||||
10. INDIRECT PROCUREMENT ENABLEMENT
10.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Define and Communicate Policies |
||||||||||||
| Establish, maintain, and communicate policies, procedures, band-level approval (BLA) limits |
X | X | X | |||||||||
| Provide local legal/statutory inputs for PO policies and procedures |
X | X | X | |||||||||
| Transactional Procurement |
||||||||||||
| Requisitioning |
||||||||||||
| Requestor determines purchase need and creates requisition in requisitioning tool |
X | X | X | |||||||||
| Verify all supporting documentation is included in submission of requisition. |
X | X | ||||||||||
| Receive and review approved requisitions for completeness, accuracy and compliance |
X | X | ||||||||||
| LS&Co. – Attachment 2.2 – Description of Services – Finance Services | Page 36 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| PO Management |
||||||||||||
| Create purchase order |
X | X | ||||||||||
| Create purchase order AMA |
X | |||||||||||
| PO Sending |
X | X | X | |||||||||
| Initiate changes to PO ( PO Amendment) |
X | X | X | |||||||||
| Follow PO amendment process |
X | X | ||||||||||
| Sending Amended PO |
X | X | ||||||||||
| PO closure ( Yearly activity) |
X | X | ||||||||||
| Procurement Helpdesk |
||||||||||||
| Provide requisition and PO support to business |
X | X | ||||||||||
| Provide Xxxxx 0 support on requisitioning tool |
X | X | ||||||||||
| Provide Level 2 support on requisitioning tool |
X | X | ||||||||||
| Support for raising PO in system |
X | |||||||||||
| Reporting |
||||||||||||
| Create periodic reports (e.g. Hands-free PO’s, Hands-on PO’s, Block PO’s, After the fact PO’s, Open PO report ) |
X | X | X | |||||||||
| Create ad hoc reports (e.g. Spend per vendor, Spend per commodity) |
X | X | X | |||||||||
| Catalog Management (to be determined in TA / KA) |
||||||||||||
| Enable Catalogs |
||||||||||||
| Negotiate all items and pricing agreements for the selected catalogue suppliers, and ensure agreements are in place prior to Service Provider’s engagement with Supplier. | ||||||||||||
| Provide the necessary technical and business support for the implementation of catalogues into catalogue system. |
||||||||||||
| Validate content. Complete any normalization and cleaning as required and agreed based on agreed-upon data quality standards and format. | ||||||||||||
| Resolve data quality issues beyond scope of agreed-upon data quality standards and format, or work with vendor to do so. |
||||||||||||
| Establish new catalogue uploads schedule for Supplier managed contracts. |
||||||||||||
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| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| Conduct vendor training for any updates to tools and processes as required and agreed |
||||||||||||||||||||||||
| Resolve exceptions with vendor. Escalate unresolved issues to client |
||||||||||||||||||||||||
| Work with vendors to format Data using content management tool for internal catalogue or define Punch-out requirements. |
||||||||||||||||||||||||
| Receive catalogue/contract Data from vendor. |
||||||||||||||||||||||||
| Qualify vendor Data for Punch Out Catalogue. |
||||||||||||||||||||||||
| Send Catalogues to vendor integration for loading. |
||||||||||||||||||||||||
| Facilitate punch out catalogue to be linked to the catalogue system |
||||||||||||||||||||||||
| Create, load and maintain catalogue/contract content in the catalogue system. |
||||||||||||||||||||||||
| Propose items to be included in a catalogue based on the spend data |
||||||||||||||||||||||||
| Maintain Catalogs |
||||||||||||||||||||||||
| Update catalogue contents per approved request and agreed scope. |
||||||||||||||||||||||||
| Validate content changes. Complete any normalization and cleaning as required. Catalogue manager is responsible for validating format changes | ||||||||||||||||||||||||
| Category Manager is responsible for validation updates on pricing and products. Approve updated catalogue content to be loaded into production within upon turnaround time. | ||||||||||||||||||||||||
| Resolve exceptions with vendor. Escalate unresolved issues to client |
||||||||||||||||||||||||
| Resolve escalated issues within agreed upon turnaround time |
||||||||||||||||||||||||
| Load updated catalogue into production environment within agreed turnaround time. |
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| Execute end user communications related to the catalogue as required within agreed upon turnaround time |
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11. TECHNOLOGY & MASTER DATA MANAGEMENT
11.1 SPLIT OF RESPONSIBILITY
| Principal Activity |
LS&Co. | Supplier | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Define and Communicate Policies |
||||||||||||||||||||||||
| Establish, maintain, and communicate policies regarding Master Data |
X | X | X | |||||||||||||||||||||
| Establish, maintain, and communicate Data Master classification, timing and coding standards |
X | X | X | |||||||||||||||||||||
| Establish, maintain, and communicate clean-up schedule and guidelines |
X | X | X | |||||||||||||||||||||
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| Principal Activity |
LS&Co. | Supplier | ||||||||||
| Master Data Administration (Per volume metrics below) |
||||||||||||
| New Record Creation Requests |
||||||||||||
| Seek approval for new master record setup |
X | X | X | |||||||||
| Review for completeness of the request and duplicate check |
X | X | X | |||||||||
| Obtain clarification from stakeholders for missing details/information |
X | X | X | |||||||||
| Create Master record in the ERP |
X | X | X | |||||||||
| In case of Vendor master raise ticket to get more vendor ID number when we reach close to exhaustion of the current numbers allocated | X | X | X | |||||||||
| FICO MASTER DATA |
||||||||||||
| Gather FICO master data requests via v |
X | X | ||||||||||
| Hold approval meeting with pre-published agenda with all stakeholders to gain approval |
X | X | ||||||||||
| Gather additional information from requestors as required |
X | X | ||||||||||
| Approve FICO master data changes |
X | X | X | |||||||||
| Update master file data (e.g. chart of accounts, company codes, cost centers, profit centers) |
X | X | X | |||||||||
| Analyze master file data and provide recommendations when master file data is obsolete and should be removed |
X | X | X | |||||||||
| Monitor compliance with internal controls policies and procedures |
X | X | X | X | X | X | ||||||
| Maintain Requests (On-going) |
||||||||||||
| Receive master data modification requests |
X | X | X | |||||||||
| Gather all inputs required and seek final approval |
X | X | X | |||||||||
| Approve requests escalated by service provider |
X | X | X | |||||||||
| Modify / Delete the master record per request |
X | X | X | |||||||||
| Note all approvals related to change to be maintained (Share drive/share point) |
X | X | X | |||||||||
| Respond to stakeholders (Client, Vendor, Customer) change requests including name, payment method, remittance, tax ID, status, etc. | X | X | X | |||||||||
| Maintenance and Clean-up |
||||||||||||
| Conduct scheduled maintenance and clean-up |
X | X | X | |||||||||
| Provide ongoing feedback on coding and standards |
X | X | X | |||||||||
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| Principal Activity |
LS&Co. | Supplier | ||||||||||
| System Maintenance and Interfaces |
||||||||||||
| Roll out of future LS&Co. related tools and systems |
X | X | X | |||||||||
| Perform testing as requested for rollout of future LS&Co. related tools and systems |
X | X | X | |||||||||
| Direct Vendor Master |
||||||||||||
| Receive Vendor Request via Email or BPM |
X | X | X | |||||||||
| Verify proper approval party in request & MSA/TOE is approved by authorized person |
X | X | X | |||||||||
| Create Vendor Master and send alert for confirmation |
X | X | X | |||||||||
| Confirm Vendor Master in SAP |
X | X | X | |||||||||
| Communicate new Vendor Master details to Nexus Contract for Trade Card Vendors |
X | X | X | |||||||||
| Set up Output Condition for Trade Card Vendors |
X | X | X | |||||||||
| Update Global Vendor Database (IT) |
X | X | X | |||||||||
| Manage Records Retention of Request Forms |
X | X | X | |||||||||
| Manage Records Retention of Trade Vendor Master Service Agreement |
X | X | X | |||||||||
| Indirect Vendor Master (including Employee Master) |
||||||||||||
| Create Internal Order for Employee Master (AMA) |
X | X | X | |||||||||
| Communicate new Employee Master details to business users and Concur Team |
X | X | X | |||||||||
| Communicate new Vendor Master details to business users |
X | X | X | |||||||||
| Manage Records Retention of Request Forms |
X | X | X | |||||||||
| Technology |
||||||||||||
| Updates to tax master and overall system maintenance |
X | X | X | |||||||||
| Validate Supplier team user access to in-scope systems & applications |
X | X | X | |||||||||
| Bi-annual review of individual access levels |
X | X | X | |||||||||
| User access creation, updates and support |
X | X | X | |||||||||
| Raise ticket for Fixed Asset sub-ledger transactions like new locations, useful life etc. |
X | X | X | |||||||||
| Raise tickets for extending system generated serial numbers to accommodate new vendors |
X | X | X | |||||||||
| IT Production to create required serial numbers in the system |
X | X | X | |||||||||
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12. OTHERS
12.1 CONTROLS
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| All In-scope Finance Processes |
||||||||||||
| Ensure the adequacy of the design of the controls |
X | X | X | |||||||||
| Ensure the operating effectiveness of the controls in-scope for Supplier |
X | X | X | |||||||||
| External Auditor Relationship |
X | X | X | |||||||||
| Provide audit trails from underlying systems, email boxes, shared points per agreed procedures |
X | X | X | |||||||||
| Update SOX key controls |
X | X | X | |||||||||
| Address identified controls issues as agreed with LS&Co. subject to change control procedures |
X | X | X | |||||||||
12.2 ESCHEATMENT PROCESS (APPLICABLE FOR LSUS ONLY)
| Principal Activity |
LS&Co. | Supplier | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Due diligence for escheatment processing for unclaimed AP payments (applicable for LS US only) |
X | |||||||||||
| Escheatment process for unclaimed Payroll payments |
X | |||||||||||
| Administer escheatment process for unused AR credits |
X | |||||||||||
13. LANGUAGE
| Languages Supported | ||||
| LSA |
LSE |
AMA | ||
| English | English | English | ||
| Portuguese | French | Korean | ||
| Spanish | German | Vietnamese | ||
| Italian | Japanese | |||
| Polish | Mandarin | |||
| Russian | Cantonese | |||
| Spanish | Bahasa- Malay (discussed perhaps not required but provisioned to aid initial change management) | |||
| Turkish | Bahasa- Indo (discussed perhaps not required but provisioned to aid initial change management) | |||
| Dutch (For XX primarily) | ||||
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| Countries Supported | ||||
| LSA |
LSE |
AMA | ||
| Brazil |
Belgium | Australia | ||
| Canada |
Czech Republic | China | ||
| Mexico |
France | Hong Kong | ||
| United States |
Germany | India | ||
| Greece | Indonesia | |||
| Hungary | Japan | |||
| Italy | Korea | |||
| Poland | Malaysia | |||
| Russia | New Zealand | |||
| Spain | Pakistan | |||
| Switzerland | Philippines | |||
| Turkey | Singapore | |||
| UK | South Africa | |||
| Netherlands | Taiwan | |||
| Vietnam | ||||
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BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.1
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
NETWORK SERVICES
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1. INTRODUCTION
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement. References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto. Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
LS&Co.’s responsibility will focus on all Engineering tasks associated with supporting Network. This includes items such as certifying new firmware builds, reviewing and testing new technologies, creating documentation and procedures for turnover to the day-to-day teams and implementing automation.
It is incumbent on Supplier to train their technicians on all existing technologies (including future version upgrades) implemented at LS&Co. in order to be proficient in supporting said technologies. In addition, Supplier will develop a comprehensive onboarding process to bring new resources up to speed quickly without disruption to LS&Co.’s operations or internal resources.
The LS&Co. Engineering teams will provide up to 10 hours per calendar month to assist as necessary to resolve incidents, problems or requests. This effort excludes any kind of engineering scope activities and is dedicated effort for supporting Supplier BAU team for any operational issue
Without limiting Section 3 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labeled Supplier).
2. IN SCOPE
Below is a list of in-scope activities (hereinafter referred to as “Network Services”)
Data
| • | 24x7 monitoring of network availability & performance |
| • | L2/3 Support for Incidents, Problems and Requests escalated from L1 |
| • | Maintenance of standards and design. |
| • | Network device management Router / Switch/Firewalls/Wireless /Remote Access/Security /DNS, DHCP Device & Patch Deployment, WAN optimization, IPAM |
| • | Root cause analysis and performance analysis |
| • | Telco / OEM co-ordination |
| • | Trend analysis and reporting |
| • | Update the asset register during change/deployment and validate CMDB updates |
| • | WAN management (coordination with circuit Providers) |
| • | LAN management |
Voice & Video
| • | Voice support and administration includes support for IPT Voice Gateways, Phones (IP) & Voice Mail. |
| • | Support for Video conference rooms |
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| • | Support for Webcast |
| • | Support for Internal Audio conference |
| • | Coordination with Telecom service providers for dependency on Audio and Video services. |
Common Services
| • | Hands and Feet Support |
| • | IMACD’s Soft & Hard |
| • | Configuration, Incident & Service Level Management |
| • | Network Documentation |
| • | Supplier Co-ordination |
| • | LAN Cabling for retail to be covered as Time and Material |
Levis Retained function
| • | Transport Circuit Ownership |
| • | Financial responsibility for Telecom circuits, and Network hardware |
| • | Defining Network technical Architecture for Data, voice & Video infrastructure |
| • | Network Product selection |
| • | Building Network configuration standards |
| • | LAN Cabling (Excluding patch cabling) |
| • | Facilities Management |
| • | Warranty, Maintenance and Support Agreements |
| • | Equipment (Hardware) Procurement |
Additional Items Not Included In This Document That MUST be included are:
| 1. | Supplier will update inventory within LS&Co.’s CMDB/Asset Inventory on a daily basis A bi-annual validation would also be performed. The Bi-Annual validation will be performed using the report from HP NNMi and ITAM (Service Now) in order to ensure that all the changes to the CI have been updated in the correct manner |
| 2. | Supplier as part of Project support will meet with customers to determine network requirements, only if a requirement does not meet within the existing supported framework will it be escalated to engineering. LS&Co. will provide up to 10hrs per month consulting to Supplier. |
| 3. | Supplier will create, review and upkeep process documentation and store them in a defined LS&CO. owned repository. |
| 4. | Supplier will manage QOS policies and ensure consistency across the global environment. |
| 5. | Supplier will prepare and execute test recovery exercise and actual recovery if required. |
| 6. | Supplier will participate in all operational related meetings, to include, but not limited to Daily Operations, Change Review and team meetings. |
| 7. | Supplier will perform all the necessary activities to prepare network equipment’s for decommission and disposal and coordinate with LS&Co. Supplier for the asset disposal |
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| 8. | Supplier will provide a monthly license tracking and reporting for network related devices utilizing the existing ServiceNow ITAM and SCCM tools set. |
| 9. | Supplier will follow LS&Co.’s documented escalation process for high incident tickets. |
| 10. | Supplier will perform all the necessary activities to prepare Network equipment for decommission and asset disposal will be coordinated with LS&Co.’s Supplier for the disposal. Supplier will update LS&Co.’s on the required CI to update the CMDB/Asset Inventory. |
| 11. | Supplier will maintain all network related devices (including voice/webcast) to N-1 firmware/OS versions to ensure global consistency. |
| 12. | Firmware upgrade for Cisco devices will not maintained to n or N-1 as per LS&Co’s. |
| 13. | LS&Co.’s confirm the current Firmware/OS versions are maintained to N or N-1. |
| 14. | If Standardization of Firmware/OS versions are required then it will be treated as a project. |
| 15. | Develop and maintain comprehensive Process Document with respect to the DR plan as it relates to all Datacenter network devices listed in this SOW. Supplier will follow the existing DR plan created by LS&Co |
2.1. TECHNOLOGY PLATFORMS AND ENVIRONMENT
Supplier will provide Network Services for the following existing but not limited to technology platforms:
| • | Cisco Routers |
| • | Cisco Switches |
| • | HP Switches / Routers |
| • | Cisco WAAS / Silver peak |
| • | Cisco Wireless Access Points and LAN Controllers |
| • | Cisco Call Manager |
| • | Cisco Unity |
| • | Lync audio conference |
| • | Polycomm Video conference. |
| • | F5 Load Balancers. |
| • | Infoblock (IPAM) |
2.2. SUPPORT COVERAGE
Supplier will monitor and manage LS&Co. WAN, LAN, WLAN, Audio and Video network infrastructure 24x7x365 with a combination of dedicated remote and onsite resources augmented by partner for hands-on support.
The dedicated onsite resources in San Francisco, Singapore, Westlake and Brussels locations will work local business hours and will follow local working policies including those applying to holidays and leaves. At these dedicated sites resources will be available for after-hours support for Severity 1 and Severity 2 incidents at no additional charge.
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3. NETWORK OPERATIONS CENTER (NOC)
Supplier will be responsible for performing the network operations with the principal activities set forth in the following table.
| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| LS A | LS E | AM A | LS A | LS E | AM A | |||||||||
| 1 | Physical Scope | |||||||||||||
| 1.1 | The Supplier will perform the Services at locations required to meet LS&Co.’s business objectives. These include the locations mutually agreed between Supplier and LS&Co.’s as per Exhibit 7. | x | x | x | x | x | x | |||||||
| 2 | Demarcation Boundaries of the Services | |||||||||||||
| 2.1 | The Supplier will perform the Services within the physical boundaries of the Network Services | x | x | x | ||||||||||
| 2.2 | WAN and Analog lines in stores will be Supplier coordination only. | x | x | x | ||||||||||
| 2.3 | Manage Billing and invoicing for Retail analog lines. | . | X | X | X | |||||||||
| 2.4 | Unmanaged devices like (Hubs and any network devices which are not SNMP enabled) will be Supplier co ordination | x | x | x | ||||||||||
| 3 | General Management and Administration Services | |||||||||||||
| 3.1 | Act as a single point of contact for the management and administration of the Network within the scope of this Contract | x | x | x | ||||||||||
| 3.2 | Implement approved Network strategies in support of business objectives and in accordance with Change Management process. | x | x | x | ||||||||||
| 3.3 | Analyze and propose cost-effective Network Service alternatives. | x | x | x | ||||||||||
| 3.4 | Support all telecommunication protocols approved for use by LS&Co.’s. | x | x | x | ||||||||||
| 3.5 | Monitor the compliance of all Third-Party Suppliers with any service levels, or contractual commitments contained in any agreement between LS&Co.’s and Third-Party Suppliers. | x | x | x | ||||||||||
| 3.6 | Network services asset management will be reviewed/updated on a monthly basis to ensure accuracy in LS&Co.’s CMDB/Asset database. This will also include periodic review/reconciliation as requested by LS&Co. Using the report from HP NNMi and ITAM (Service Now). | x | x | x | ||||||||||
| 4 | Third-Party Supplier Management and Coordination | |||||||||||||
| 4.1 | Manage and coordinate the activities of all Third-Party Suppliers where The Third-Party Supplier provides services to LS&Co.’s in direct support of the Network. | x | x | x | ||||||||||
| 4.2 | Notify LS&Co.’s and the Third-Party Supplier of each Third-Party Supplier failure to perform in accordance with the provisions of its agreement. | x | x | x | ||||||||||
| 4.3 | Evaluate and recommend retention, modification, or termination of a Third-Party Supplier based on the performance or cost benefits to LS&Co.’s as tracked by the Supplier. | x | x | x | ||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| 5 | Architecture Services | |||||||||||||
| 5.1 | Define Strategy, Standards and High Level Architecture – Design Authority | x | ||||||||||||
| 5.2 | Review standards and provide input | x | ||||||||||||
| 6 | Network Operations and Management | |||||||||||||
| 6.1 | Operations and Management of all in-scope network equipment and any future network devices and Network Services that are added by agreement to the scope – all devices in this scope must support SNMP Read / Write | x | x | x | ||||||||||
| 6.2 | Perform Network configuration management backups according to LS&Co. standards. | x | x | x | ||||||||||
| 6.3 | For LS&Co’s owned equipment provide Network services for Xxxxx 0,0 &0 xxx XXX, XXX, Xxxxx, Xxxxxxxx, remote access VPN, Firewalls, Load Balancers and Call Manager and Unity Voicemail | x | x | x | ||||||||||
| 6.4 | Provide physical network management (devices & circuits) | x | x | x | ||||||||||
| 6.5 | Procurement, Financial responsibility with the Telecom carrier and third parties for cabling as well as Procurement & financial responsibility of all network devices | x | x | x | ||||||||||
| 6.6 | Raise the PO for new devices | x | x | x | ||||||||||
| 6.7 | Perform 1st – 3rd Level network problem determination and resolution for Network Services | x | x | x | ||||||||||
| 6.8 | Perform third party Supplier management and performance management | x | x | x | ||||||||||
| 6.9 | Approve Preventative Maintenance time window. | x | x | x | ||||||||||
| 6.10 | Perform manufacturer prescribed preventive maintenance | x | x | x | ||||||||||
| 6.11 | Provide audit logs of all activity with network equipment | x | x | x | ||||||||||
| 6.12 | Provide monthly proactive reporting, analysis, solutions | x | x | x | ||||||||||
| 6.13 | Perform patching between xxxx panel and Network equipment in Datacenters. Require Supplier to perform this for field site locations by coordinating with local site contacts or sending a dispatch partner (cost paid by LS&Co’s) as defined by LS&Co. | x | x | x | ||||||||||
| 6.14 | Perform IP Address administration using agreed tools. | x | x | x | ||||||||||
| 6.15 | Perform IMAC IP Addressing changes | x | x | x | ||||||||||
| 7 | Network Monitoring | |||||||||||||
| 7.1 | Perform proactive network monitoring using agreed upon management systems | x | x | x | ||||||||||
| 7.2 | Respond to alerts using agreed upon tools in order to meet Service Levels | x | x | x | ||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| 7.3 | Monitor report and investigate bandwidth spikes / exceeding of thresholds. In the case of the WAN this is in conjunction with the Telecom Service Provider | x | x | x | ||||||||||
| 7.4 | Implement Monitoring for all LS&CO’s owned equipment (Routers, Network LAN, Firewalls, Load Balancers, remote access, Call Manager, Unity Voicemail, Wireless, Video, Voice). Coordinate for resolution of the incident with Telecom service provider and other third parties for hardware/services provided by them | x | x | x | ||||||||||
| 7.5 | Coordinate with Telecom service provider for ADSL and other links terminated at stores | x | x | x | ||||||||||
| 7.6 | Coordinate with Telecom service provider for new requests. | x | x | x | ||||||||||
| 7.7 | Coordinate with Telecom service provider for incidents related to WAN links and Network equipment provided by Telecom service providers. | x | x | x | ||||||||||
| 7.8 | LS&Co.’s to inform Supplier on new links to be installed and existing links to be removed for Retail stores | x | x | x | ||||||||||
| 7.9 | Coordinate with Telco providers to have new links installed and existing links removed for Retail stores | x | x | x | ||||||||||
| 7.10 | Coordinate with LS&Co. retail business on network changes as part of retrofits. | x | x | x | ||||||||||
| 7.11 | store opening, closing will be covered as part of a project | x | x | x | ||||||||||
| 8 | Hardware and Software Management | |||||||||||||
| 8.1 | Develop installation plan for IMACs | x | x | x | ||||||||||
| 8.2 | Procure new equipment and necessary Software / Hardware upgrades | x | x | x | ||||||||||
| 8.3 | Schedule installation and cut-over activities for IMACs | x | x | x | ||||||||||
| 8.4 | Coordinate with onsite LS&Co.’s staff / dispatch technicians or hardware maintenance service provider to perform Network hardware maintenance services as needed | x | x | x | ||||||||||
| 8.5 | Perform hardware receiving and staging at LS&Co.’s locations for IMACs During hardware installation or retrofit an existing environment, it is expected that the wiring will be routed in a professional manner, using proper zip ties/Velcro to prevent stress and binding of cables. Pictures will be required to ensure the task was performed properly. |
x | x | x | ||||||||||
| 8.6 | During hardware installation or retrofit of an existing environment Supplier will perform patch cabling. | x | x | x | ||||||||||
| 8.7 | For any structured cabling or running the cable through closed ceilings, under the floor. Supplier will do Supplier co ordination | x | x | x | ||||||||||
| 8.8 | Any custom cabling, cabling Supplier will perform crimping of connectors and Supplier will be responsible for Supplier coordination only. | X | X | x | ||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| 8.9 | Coordinate (Telecom Service provider equipment) resolution of hardware related problems | x | x | x | ||||||||||
| 8.10 | Perform regular maintenance on in-scope Assets (IOS standardization, check on EOL/EOS devices and updating LS&Co.’s for replacing the same etc.) | x | x | x | ||||||||||
| 8.11 | Coordinate and Validate warranty maintenance and replacements with third parties when applicable | x | x | x | ||||||||||
| 9 | Software Configuration and Firmware Management | |||||||||||||
| 9.1 | Maintain Records for Supported Software and Firmware Versions in LS&Co.’s CMDB/Asset database. | x | x | x | ||||||||||
| 9.2 | Recommend Software Licenses and associated firmware to ensure supported releases are in use | x | x | x | ||||||||||
| 9.3 | Perform agreed installation and deployment activities for IMAC | x | x | x | ||||||||||
| 9.4 | Maintain agreements to procure software and firmware releases to keep them current | x | x | x | ||||||||||
| 9.5 | Review and approve software and firmware upgrade requests | |||||||||||||
| 9.6 | Document and maintain configuration management processes and ensure they are consistently followed | x | x | x | ||||||||||
| 9.7 | Review and approve configuration management processes | x | x | x | ||||||||||
| 9.8 | Establish standard configurations for Equipment and software | x | x | x | ||||||||||
| 9.9 | Review and approve standard configurations for equipment and software | x | x | x | ||||||||||
| 10 | Moves, Adds and Changes (MAC) | |||||||||||||
| 10.1 | Define user requirements | x | x | x | ||||||||||
| 10.2 | Validate MAC requests | x | x | x | ||||||||||
| 10.3 | Provide and Procure facility environment, space, cabling, power, cooling and including under floor cabling, fiber and dark fiber | x | x | x | ||||||||||
| 10.4 | Plan and schedule IMACs | x | x | x | ||||||||||
| 10.5 | Develop installation and configuration specification of new equipment that is required for IMAC purposes | x | x | x | ||||||||||
| 10.6 | Implement and / or manage installation and configuration of IMAC. | x | x | x | ||||||||||
| 10.7 | Perform test and cutover and validation for IMAC. These activities will be performed remotely. If smart hands and feet are required, these steps will be performed onsite. | x | x | x | ||||||||||
| 10.8 | Perform user notification for IMAC. These activities will be performed remotely. | x | x | x | ||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| 11 | Transport, Carrier and Connectivity Management | |||||||||||||
| 11.1 | Procure circuits and bandwidth for network services | x | x | x | ||||||||||
| 11.2 | Manage third party contracts like Cisco Smartnet etc. Supplier will be responsible for updating LS&Co.’s on the expiry or change of support coverage only. LS&Co.’s will be financially responsible for renewing/upgrading the contracts. | x | x | x | ||||||||||
| 11.3 | Reviews and approve changes to third party contracts | x | x | x | ||||||||||
| 11.4 | Manage, Coordinate and resolve with Telecom carriers and third party Suppliers for any network problems | x | x | x | ||||||||||
| 11.5 | Monitor network for failures and performance | x | x | x | ||||||||||
| 11.6 | Provide availability, Root Cause Analysis and performance reports on a monthly basis using Telecom Carrier provided information for both WAN and Voice circuits | x | x | x | ||||||||||
| 11.7 | Perform coordination of end to end testing during Carrier outages | x | x | x | ||||||||||
| 12 | Telecom | |||||||||||||
| 12.1 | Monitor and resolve Voice Network alerts and events [console monitoring] | x | x | x | ||||||||||
| 12.2 | Soft MACD (remote installations) for phone, Voice Mail and Voice Gateways | x | x | x | ||||||||||
| 12.3 | Perform dial plan changes | x | x | x | ||||||||||
| 12.4 | Notifications and resolution for the voice incident tickets | x | x | x | ||||||||||
| 12.5 | Resolve Voice Device/Voicemail failures/ troubleshooting | x | x | x | ||||||||||
| 12.6 | Perform Voice device software patch application | x | x | x | ||||||||||
| 12.7 | Procure Voice circuits, Hardware, Software, Cabling Services and Infrastructure to support the Managed Service and necessary upgrades | x | x | x | ||||||||||
| 12.8 | Coordinate and validate installation of Voice circuits | x | x | x | ||||||||||
| 12.9 | Perform/Coordinate installation of Voice network hardware | x | x | x | ||||||||||
| 12.10 | Physical installation/movements of the phones / Gateway | x | x | x | ||||||||||
| 13 | Cabling and Wiring Services | |||||||||||||
| 13.1 | The Supplier’s responsibilities will include: | |||||||||||||
| 13.2 | Coordinate Support and Commission, as required, Facilities provision of Cabling and intra-floor and inter-floor Wiring, within the Supplier physical demarcation boundaries. | x | x | x | ||||||||||
| 13.3 |
Supplier will coordinate and validate the installation of physical cabling in all LS&Co.’s locations |
x | x | X | ||||||||||
| 13.4 |
Supplier will be responsible for Datacenter Patch Cabling. |
x | x | x | ||||||||||
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| 13.5 | Third party cabling Supplier will be responsible for all structured cabling and any long runs of cabling in Datacenter. | x | x | x | ||||||||||
| 13.6 | Interact with LS&Co.’s real estate, landlord management, and other Authorized Users so that Cabling and Wiring requirements are properly communicated and managed. | x | x | x | ||||||||||
| 14 | WAN Acceleration | |||||||||||||
| 14.1 | Manage, Troubleshoot and resolve the WAN Acceleration environment to assure adequate caching and optimization so that connection limits are not exceeded. | x | x | x | ||||||||||
| 14.2 | Maintain software level compliance for all WAN Acceleration systems | x | x | x | ||||||||||
| 14.3 | Where applicable, suggest a WAN Accelerator service to connect LS&Co.’s Sites to the existing WAN infrastructure. | x | x | x | ||||||||||
| 15 | Wired LAN Services | |||||||||||||
| 15.1 | The Supplier’s responsibilities will include: | |||||||||||||
| 15.2 | Provide wired systems support for LS&Co.’s wired LAN environment to include Network Services | x | x | x | ||||||||||
| 15.3 | Coordinate with Suppliers for LAN cabling and for any unmanaged devices like Hubs. | x | x | x | ||||||||||
| 15.4 | Supplier will perform punch down work at the Datacenter | x | x | x | ||||||||||
| 15.5 | Third-party cabling Supplier will perform device cabling at all other LS&Co. locations and Supplier will do coordination work. | x | x | x | ||||||||||
| 15.6 | Unmanaged devices like hubs will be supported at a “Best Effort” basis | x | x | x | ||||||||||
| 15.7 | Adhere to IEEE standards as well as Client technical and security guidelines with regard to wired LANs. | x | x | x | ||||||||||
| 15.8 | Comply with all security policies and requirements. | x | x | x | ||||||||||
| 15.9 | Support and update all new Hardware documentation for the wired LAN environment and store it in a LS&Co. owned repository. | x | x | x | ||||||||||
| 16 | Wireless LAN Services | |||||||||||||
| 16.1 | Provide wireless Systems support , | x | x | x | ||||||||||
| 16.2 | Troubleshoot and resolve issues at all LS&Co. locations. | x | x | x | ||||||||||
| 16.3 | Manage security systems (for example, authentication and authorization servers) associated with wireless LAN Systems. | x | x | x | ||||||||||
| 16.4 | Adhere to IEEE standards as well as Client technical and security guidelines with regard to wireless LANs. | x | x | x | ||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| 16.5 | Comply with all radio frequency (RF) regulations. | x | x | x | ||||||||||
| 17 | Conferencing Services | |||||||||||||
| 17.1 | Provision, configure, install, operate, support and maintain all In-Premise Conferencing Systems. | x | x | x | ||||||||||
| 17.2 | Assume responsibility for In-Premise Conference System set-up, for testing and implementation of Changes, and for providing conference bridge operation. | x | x | x | ||||||||||
| 17.3 | Manage and coordinate all Third-Party Suppliers associated with the provision of Conferencing Services. | x | x | x | ||||||||||
| 17.4 | Perform periodic Conferencing System testing to validate that individual components and the overall system are working correctly. | x | x | x | ||||||||||
| 17.5 | Perform preventive maintenance in accordance with the manufacturer’s specifications for all In-Premise Conferencing Systems located and maintained at LS&Co.’s Sites. | x | x | x | ||||||||||
| 17.6 | Perform Firmware updates and configuration changes as required | x | x | x | ||||||||||
| 18 | Video Conferencing Services | |||||||||||||
| 18.1 | Schedule video conferencing facilities support. | x | x | x | ||||||||||
| 18.2 | Manage and maintain the calling directory. | x | x | x | ||||||||||
| 18.3 | Use the centralized management system provided by LS&Co.’s to perform daily monitoring of the status of IP-based Connectivity to all Video Conferencing Systems. | x | x | x | ||||||||||
| 18.4 | Troubleshooting and resolve any issues related to the video conference system | X | X | x | ||||||||||
| 18.5 | Assist users with real-time issues | X | X | x | ||||||||||
| 18.6 | Require Supplier to provide onsite support during any executive town hall events (Dry Run Test, preparation on day of etc.) | X | X | x | ||||||||||
| 18.7 | Supplier will perform firmware/software updates for both infrastructure and room system equipment. (Excludes the cabling, lighting or any other facilities related upgrades) | X | X | X | ||||||||||
| 19 | Store Infrastructure | |||||||||||||
| 19.1 | WAN Infrastructure | |||||||||||||
| 19.1.2 | Dispatch Supplier technicians as necessary to resolve store-networking issues. | X | X | X | ||||||||||
| 19.1.3 | Any cabling issues will be provided by Supplier. Any structural cabling/line cabling will done on Time and Material basis (Excluding patch cabling) | X | X | X | ||||||||||
| 19.1.4 | Coordinate with Third party cabling Supplier for all Retail Store cabling infrastructure management | x | x | x | ||||||||||
| -Installation | ||||||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| -Support | ||||||||||||||
| -Design | ||||||||||||||
| -Testing | ||||||||||||||
| -Liaison with business on requirements | ||||||||||||||
| 19.1.5 | Reactive monitoring support for WAN links and routers | x | x | x | ||||||||||
| 19.1.6 | Coordinate with Telecom service providers for all WAN link incidents | x | x | x | ||||||||||
| 19.1.7 | Coordinate with Telecom Service provider for all WAN router incidents | x | x | x | ||||||||||
| 19.1.8 | Manage requests for WAN service changes including adding new links and removing existing links | X | X | X | ||||||||||
| 19.2 | LAN Infrastructure - Wired | |||||||||||||
| 19.2.1 | Coordinate with Telecom service provider for all LAN ports provided on the ADSL routers | x | x | x | ||||||||||
| 19.2.2 | Proactive monitoring for switch ports on ADSL routers will be done by Telecom service provider | x | x | x | ||||||||||
| 19.2.3 | Proactive monitoring for all store networking devices which are SNMP enabled and owned by LS&Co.’s (Currently only 1 Switch per store in LSA and LSE is being assumed. AMA as Switch ports are provided on ADSL router itself there will be no proactive monitoring. If there are any other network devices then the same will be discussed with LS&Co.’s and added as scope change) | x | x | x | ||||||||||
| 19.2.4 | Provide incident resolution for all store-networking devices owned by LS&Co.’s and which are SNMP enabled. | x | x | x | ||||||||||
| 19.2.5 | Manage requests for updates to store LAN technology including adding new and removing existing. (Assumed this to be a part of store installation count) | X | X | X | ||||||||||
| 19.3 | LAN Infrastructure - Wireless | |||||||||||||
| 19.3.1 | Support all store wireless technologies. | X | X | X | ||||||||||
| 19.3.2 | Manage requests for updates to store Wireless infrastructure changes including adding new and removal of existing. | x | x | x | ||||||||||
| 19.3.3 | Mounting of Wireless access point to the ceiling will be performed by the Third party cabling Supplier. | X | X | x | ||||||||||
| 19.3.4 | Manage the Motorola Wireless currently deployed leveraging LS&Co’s tools. (Dude Monitoring, Motorola WiNG) | X | ||||||||||||
| 19.4 | Analog Lines | |||||||||||||
| 19.4.1 | Co-ordinate with Telecom service provider for all incidents and requests | x | x | x | ||||||||||
| 19.4.2 | Incident logging with Telecom service provider | x | x | x | ||||||||||
| 19.4.3 | Manage Telecom service billing | X | X | X | ||||||||||
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| Xx.XX |
Principal Activity |
Supplier | LS&Co | |||||||||||
| 20 |
Load Balancers |
|||||||||||||
| 20.1 |
Performing on-going administration, management and monitoring of Load Balancers devices. |
x | x | x | ||||||||||
| 20.2 |
Load balance policy Configuration (including rule-base addition / modification / deletion) |
x | x | x | ||||||||||
| 20.3 |
Defining new server farms, real servers |
x | x | x | ||||||||||
| 20.4 |
Integration or Deletion of new or existing new server farms |
x | x | x | ||||||||||
| 20.5 |
Perform backup and Restoration of the load balancer configuration |
x | x | X | ||||||||||
| 20.6 | Supplier will implement the latest software upgrade, patch release, bug fix and hardware fix and version updates once certified by Engineering. | X | x | x | ||||||||||
| 20.7 |
Perform user access management on Load Balancer |
x | x | X | ||||||||||
| 20.8 |
Incident Management to include resolution related to performance and availability of Load Balancer |
x | x | X | ||||||||||
| 20.9 |
Device configuration changes by following Change Management process |
x | x | x | ||||||||||
| 20.10 |
Supplier will install/configure new load balancers / guests according to LS&Co. standards. |
x | x | x | ||||||||||
4. PROJECT SUPPORT
| • | Activities in the above roles & responsibility matrix stated in Statement of Work, such as Major upgrades, migrations, Hardware Refreshes, Evaluation of new tools & technologies, will be considered part of project support. |
Projects performed by Supplier will fall into one of the following categories:
1. Steady State Projects
2. Project Pool Hour Projects
3. Major Projects
1. STEADY STATE PROJECTS
Steady State Projects are Projects of less than or equal to 40 hours that:
| • | are capable of being performed by the Steady State Staff (i.e., the Steady State Staff possess the appropriate skillsets to perform the Project); and |
| • | Will not impact Supplier’s ability to meet applicable Service Level Agreements, as mutually agreed by the Parties’ respective Service Tower leads, taking into account the current and planned workload capacity of the applicable Steady State Staff resources). |
| • | The total hours allocated to Steady State Projects in any given month cannot exceed 5% of the then current total monthly Steady State Staff FTE hours allocated for each Service Tower |
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Examples of work performed as Steady State Projects are system upgrades, hardware and software refreshes, and equipment installations and modifications across Service Towers. The total hours allocated to Steady State Projects in any given month cannot exceed 5% of the then current total monthly Steady State Staff FTE hours allocated for each Service Tower (the “Steady State Cap”). For example, if there are 20 FTEs comprising the Steady State Staff for NOC Services, the Steady State Cap for the NOC Service Tower for the month would equal 3,200 hours x 5% = 160 (assuming a 4 week month at 40 hours/week). LS&Co. will not receive an invoice credit if the hours used for Steady State Projects for a given month are less than the Steady State Cap.
Steady State Projects are included in the Base Fees and will not incur additional charges. LS&Co. may, in its discretion, allocate Project Pool Hours for the completion of any Steady State Project in excess of the Steady State Cap. LS&Co. may not split a longer duration Project (i.e., a Project in excess of 40 hours) into multiple smaller Projects in order to use up any unused hours for the month.
The prioritization of Steady State Projects will be handled by the Operating Committee as part of the Services Governance between LS&Co. and Supplier. If LS&Co. determines that a Steady State Project will take priority over achievement of a Service Level Agreement for a given month, LS&Co. will issue a written Service Level exception to the Service Provider. The total projects hours available from the steady state resource pool is 840 hrs. / year spread evenly across each month
2. PROJECT POOL HOURS PROJECTS
Project Pool Hours Projects are Projects greater than 40 hours in duration that are performed by the Project Pool Staff. Project Pool Hours Projects may also include Projects of equal to or less than 40 hours in duration that exceed the Steady State Cap.
These will be further sub-divided into
| a) | Network related infrastructure led projects |
Supplier will provide the infrastructure Project Pool hours to LS&Co. each year for a 5 year period, based on the Project forecasts provided by LS&Co. Currently this pool constitutes of 5,000 for network i.e. total of 4,160 project hour/year that can be leveraged for network related infrastructure led projects This Project Pool will be available based on priorities established by LS&Co. and communicated to Service Provider on a weekly basis. Service Provider will provide an estimate of the Project Pool hours required for each Project Pool Hours Project by Skillset Category for review and approval by LS&Co. LS&Co. will draw down these hours over time, and such use will be reported by Service Provider on a monthly basis.
Service Provider will initially allocate resources to the Project Pool Staff in accordance with the hours per Skillset Category as agreed below. Any skillset required outside of the Skillset Categories will be made available to LS&Co. outside of the Project Pool, in accordance with the rate card submitted.
Westlake – 1 resource (Data), India—1 resource (Voice)
| • | Apart from the above 4,160 hrs. Annually as dedicated for only projects, there is an additional 840 hrs. annually for projects under NOC support which can be utilized within the steady state resource pool |
| b) | Application-led projects |
This pool is to meet with customers/application teams to identify requirements, sizing, and costing of new and changes to existing environments. Any application-led projects which can be covered within the 5000 hours/ year mentioned under infrastructure-led projects will not lead to additional cost. However if the demand from an application-led project exceeds the 5000 project hours, the same will be performed as a separate project under time and material using the project rate card
3. MAJOR PROJECTS
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Major Projects are Projects that do not meet the conditions for the Steady State Projects or the Project Pool Hours Projects. Major Projects are not included in the Base Charges. For each Major Project requested by LS&Co, Supplier will prepare a proposal based on the requirements and scope of work defined by LS&Co. and will include an estimate of the charges for such Major Project. The Parties will enter into a separate Work Order with respect to any Major Project approved by LS&Co.
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BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.2
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
DESKSIDE SUPPORT
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| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement. References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto. Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
Without limiting Section 2 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labeled Supplier).
| 2. | CORPORATE AND RETAIL DESKSIDE SUPPORT |
The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following Processes:
| • | End User Computing Services |
| • | Field Support Services for Corporate Users |
| • | Field Support Services for Retail Users |
| • | Desktop Engineering Services |
Supplier will support the following End User categories as designated:
| a. | Corporate locations support ; |
| b. | Retail store support ; |
| c. | Executive End Users |
End User Computing Services includes the Services and activities, as further detailed in this SOW, required to respond and resolve End User device related issues that cannot be resolved remotely and needs a physical technician to visit at client location.
Also Supplier will be responsible for Desktop Engineering services
| • | Active Directory Computer Management – (i.e., data cleansing—old objects) |
| • | AD Group Policy Management – Management of the existing policy |
| • | AD/OS/App scripting such as scripting for an application push within SCCM |
| • | Application Certification Management which comprises of coordination with application team for application certification management and help testing of such applications with the image |
| • | Application Deployment Management |
| • | Image Certification Management |
| • | Hardware Certification which includes new model certification once a year for each device type. The device type included for this activity is Personal Computer and Tablets. |
| • | Virtual Desktop Management – Managing of the existing virtual desktops in the environment |
| • | Apple Infrastructure Management (everything…) which refers to the management of the apple devices and the infrastructure related to the apple devices |
| • | PC Patch Management |
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 1 |
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| • | Desktop engineering Strategy/Roadmap which comprises of supporting LS&Co. in defining the tools strategy for end user computing and help finalize on the tools/technology strategy |
| • | End user and support groups communication with respect to any change in the environment |
| • | Training & Education (knowledge transfer) of the changes to the SD and Hands and Feet support engineers |
| • | Management of the existing end user computing tools such as– ChangeBase (application testing tool), Casper, GoToMyPC, eFax |
| • | Projects will be determined during LS&Co. AFP and will managed via the project change process |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| INSTALLATIONS, MOVES, ADDS, CHANGES AND DISPOSAL (IMACD) |
||||||||||||||||||||||||
| Provide or oversee, as appropriate, all installations, de-installations, cascades, moves, add and changes for all EUC Equipment, Software, and related Services at LS&Co. Corporate and Retail Sites. | x | x | x | |||||||||||||||||||||
| Coordinate, plan, and schedule IMACs with all affected IT functions (whether the function is included within the Services provided by Supplier, as a LS&Co. retained functions or a Third Party). | x | x | x | |||||||||||||||||||||
| Create and document the processes to enable IMAC execution for each Software and/or Equipment component, and obtain LS&Co’s approval for such processes and documentation | x | x | x | |||||||||||||||||||||
| Coordinate and communicate with designated LS&Co. personnel or other Third Parties, concerning scheduling and requirements so as to minimize the business impact on Authorized Users. | x | x | x | |||||||||||||||||||||
| Provide physical space for storage of End User | x | x | x | x | x | X | ||||||||||||||||||
| Equipment, Software, parts, Network, cabling, or any other services necessary to execute the IMAC | ||||||||||||||||||||||||
| Coordinate the scheduling and dispatching of appropriate technicians, including Third-Party Vendors | x | x | x | |||||||||||||||||||||
| Perform any required backup procedures in accordance with Change Management guidelines | x | x | x | |||||||||||||||||||||
| Re-load data or back up files as necessary | x | x | x | |||||||||||||||||||||
| Set up security, file access, and other administrative procedures associated with the IMAC | x | x | x | |||||||||||||||||||||
| Test the Equipment, Software, and related Services after the implementation of the IMAC to include network access (e.g., file open and print routing capabilities, remote connectivity, Internet/intranet access, etc.). | x | x | x | |||||||||||||||||||||
| Provide desk-side orientation training materials appropriate to the Authorized User(s) receiving the IMAC. | x | x | x | |||||||||||||||||||||
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| Principal Activity |
Supplier | LS&Co. | ||||||||||
| If asset Tag is being used, affix an asset identifier tag to the asset and update the Asset Inventory and Management System in a timely manner when any Equipment or Software changes are implemented by Supplier or reported by LS&Co. | x | x | x | |||||||||
| Monitor client satisfaction and closely monitor Service Levels throughout the IMAC activity and following the delivery at predetermined intervals. | x | x | x | |||||||||
| Manage the recording and collection of the required inventory information and update the inventory system (or other LS&Co. inventory system) | x | x | x | |||||||||
| Provide IMAC services for new store openings, store closing and store retrofits as a part of the IMAC visit as mentioned in section 3 of this SOW “Services Environment”. | X | X | X | |||||||||
| Disposal Services | ||||||||||||
| Adhere to the relevant LS&Co. Policies covering the decommissioning and disposal of equipment and any other disposal standards notified by LS&Co. to Supplier from time to time and provide a Report to LS&Co. certifying sanitization in accordance with this LS&Co. Policy | x | x | x | |||||||||
| Remove all data from the Supported Equipment and arrange the disposal of cleansed Supported Equipment which is not appropriate for refurbishing and has been approved for disposal by LS&Co. | x | x | x | |||||||||
| Provide a channel (disposal vendor) to dispose of Supported Equipment securely and in accordance with Applicable Law | x | x | x | |||||||||
| All LS&Co. asset management policies will be followed as part of the disposal process | X | X | X | |||||||||
| OPERATIONS AND TECHNICAL SUPPORT | ||||||||||||
| Provide onsite support or dispatch of support specialists as necessary to provide Authorized Users with operational and technical support and to meet specified Service Levels. | x | x | x | |||||||||
| Coordinate its activities with the Service Desk, and provide Level 2 and Level 3 Support to the Service Desk and/or Authorized Users as necessary. | x | x | x | |||||||||
| Resolve Incidents and Problems associated with EUC Equipment and Software, and provide break/fix support, advice, and assistance to Authorized Users. | x | x | x | |||||||||
| Responsible for resolving all Incidents and Problems associated with failure or degradation of Services related to EUC Equipment and Software. | x | x | x | |||||||||
| Coordinate efforts with Third-Party service and maintenance providers as necessary to keep EUC Equipment and Software in good working order. | x | x | x | |||||||||
| Perform proactive and reactive troubleshooting to effectively identify potential Incidents or Problems, and attempt to eliminate them before they occur. | x | x | x | |||||||||
| Identify the scope of an Incident and request or a Problem, and provide operational and technical assistance to remedy the Incident or Problem. | x | x | x | |||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 3 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| When replace Equipment and/or Software in order to conduct a repair, copy data and perform backups. | x | x | x | |||||||||
| Assist Authorized Users with support to enable the correct use of EUC Equipment and Software, as well as access to and use of related technologies and Services. | x | x | x | |||||||||
| Provide L3 support & business liaison for Retail services in local languages where ever possible and provide support during all store hours. After-hours support is required for P1/P2 incidents. L3 supports includes but not limited to (Retail store technology, support, business liaison, support new initiatives, lead store open, closes and retrofits with respect to technical project management) | X | X | X | |||||||||
| We currently have resources located in the following sites.
-Brussels
-Paris
-Spain
-SFO – Includes Retail Lab |
||||||||||||
| Provide L2 support in local languages which includes but not limited to (Retail store technology, support, support new initiatives, support store open, closes and retrofits, vendor coordination, maintain knowledge base) | X | X | X | |||||||||
| -Will provide support during all store hours. After-hours support is required for P1/P2 incidents. | ||||||||||||
| -Maintain metrics of store downtime, ticket volumes, service levels, root cause analysis, reporting | ||||||||||||
| Coordinate with Retail store staff for all technical dispatch situations | X | X | X | |||||||||
| Store technology changes, additions and holiday readiness activities will be supported with IMAC or DSS services | X | X | X | |||||||||
| Retail tower management
• Status reporting
• Incident analysis & reporting
• Queue management & reporting
• Incident trend analysis & reporting
• Resource management
• Team management |
X | X | X | |||||||||
| • Maintain Retail knowledge base in in the LS&Co. ITSM Tool and coordinate with the service desk when processes and procedures are changed. |
X | X | X | |||||||||
| Provide following reports using existing LS&Co. tools:
• Maintain and report metrics of store downtime
• Maintain and report metrics of tickets volumes
• Maintain and report metrics of root cause for major incidents.
• Maintain and report metrics for Service Level’s |
x | x | x | |||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 4 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| Manage Retail lab including the following
• Perform testing for Retail equipment this could include software or hardware testing.
• Reproduce and test technical errors
• Maintain Lab equipment
• Maintain processes for testing |
x | x | x | |||||||||
| • Providing funding for necessary lab infrastructure |
x | x | x | |||||||||
| DESKTOP PATCH MANAGEMENT | ||||||||||||
| Install Third-Party-supplied corrections and Patches to all end user PC devices as necessary. | x | x | x | |||||||||
| Confirm compatibility or special requirements before widespread installation including compliance with LS&Co. Software Quality Standards. | x | x | x | |||||||||
| Distribute security patches to comply with LS&Co. IT Security policies. | x | x | x | |||||||||
| Provide monthly reporting to LS&Co. on the installation of all patches | x | x | x | |||||||||
| ELECTRONIC SOFTWARE DISTRIBUTION | ||||||||||||
| Utilize the existing electronic Software distribution system that effectively and efficiently distributes new Software to LAN-connected workstations located at LS&Co. Sites and to remotely connected workstations in a timely manner. This may require alternative transport methods (for example, CDs, etc.) because of size and bandwidth parameters. | x | x | x | |||||||||
| With respect to LS&Co. developed applications, distribute Software, install Software, and install upgrades as required by LS&Co | x | x | x | |||||||||
| Schedule Software distributions to minimize Authorized User disruption, and without Authorized User assistance and interaction, in order to support time-critical release upgrades, and to maintain current projects. | x | x | x | |||||||||
| Perform Software distributions consistent with the configurations associated with Standard Products, as applicable, independent from the distribution media (for example, LAN, WAN, dial-up, CD ROM, etc.). | x | x | x | |||||||||
| Use an SCCM / LS&Co. tool for Software distribution solution that provides consistent and efficient Software deployments for Software configuration changes. | x | x | x | |||||||||
| Create and maintain automated installation packages for all software utilized on more than ten (10) workstations, or for any LS&Co. requested installation (i.e. – due to complexity or validation reasons, it may be desirable to automate small-deployed applications). This includes updates and patches for all packaged installations. | x | x | x | |||||||||
| Wherever possible, install Software via an automated installation package without Authorized User interaction needed to verify a harmonized installation globally and to reduce lost productivity due to a missing or wrong application configuration. | x | x | x | |||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 5 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| Ensure any software installation/distribution does not adversely affect existing installations. Procedure, testing and documentation must comply with LS&Co. Software Quality standards and requirements. | x | x | x | |||||||||||||||||||||
| Maintain exception process for designated workstations and/or sites, to ensure software patches and distributions do not automatically install, reboot or disrupt operations on exception PCs (as defined by LS&Co). | x | x | x | |||||||||||||||||||||
| Provide Software distribution processes to support different Authorized User environments in an automated way (for example, LS&Co. LAN and WAN, home offices, Authorized Users working remotely, etc.). | x | x | x | |||||||||||||||||||||
| Provide a transparent deployment mechanism independent from the distribution media (for example, LAN, WAN, dial-up, CD ROM, etc.). | x | x | x | |||||||||||||||||||||
| Provide processes to link Software distributions and workstation inventories in order to verify the success of local and global deployments and to provide the ability to implement and track configurations. | x | x | x | |||||||||||||||||||||
| Provide to LS&Co., and as required by LS&Co., software distribution device target counts and success results. | x | x | x | |||||||||||||||||||||
| Resolve all failed software distribution | x | x | x | |||||||||||||||||||||
| Continually review and improve the percentage of EUC devices that can be reached and updated with the electronic Software distribution system. | x | x | x | |||||||||||||||||||||
| Provide the global SCCM 2012 infrastructure for the software distribution | x | x | x | |||||||||||||||||||||
| Using SCCM 2012, Track & Report Desktop License usage for Corporate and Retail | X | X | X | |||||||||||||||||||||
| Track license usage for non-SCCM connected sites as a part of the onsite visit (IMAC , Desk Side Software or Break Fix) which can be generated as a part of the Service Requests. | X | X | X | |||||||||||||||||||||
| The details of the number of (IMAC, Desk Side Software and Break Fix) issues are provided in section 3 in this SOW under “Services Environment” | ||||||||||||||||||||||||
| SOFTWARE PACKAGING SERVICES |
||||||||||||||||||||||||
| As part of the Packaging Services, Supplier will:
1. script and package Software for installation (and back-out) to the Services Environment;
2. create Packages for different LS&Co. configurations
3. create updates to existing Packages (e.g., patching, configuration changes or version changes); and |
x | x | x | |||||||||||||||||||||
| Utilize the existing tool set to generate the Package deployment success and failure reporting | x | x | x | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 6 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| In performing the Packaging Services, Package the software so that:
a) each Package is packaged in accordance with, and meets, the LS&Co. packaging standards (as such LS&Co. packaging standards may be changed by LS&Co. from time to time); and
b) each Package, once distributed to the Workstations, is capable of correct installation (and back-out) on the Workstations without any End User intervention. |
x | x | x | |||||||||
| Provide the current library of documentation that reflects the complexity and diversity of the environment and that enhances the Software support process. This library should contain all EUC software installed and supported, source code location, installation instructions (manual and automated/packaged), prerequisites, other application dependencies, patches required, version history and information, and quantity deployed. |
x | x | X | |||||||||
| Maintain a library of documentation that reflects the complexity and diversity of the environment and that enhances the Software support process. This library should contain all EUC software installed and supported, source code location, installation instructions (manual and automated/packaged), prerequisites, other application dependencies, patches required, version history and information, and quantity deployed. | x | x | x | |||||||||
| Maintain master copies of the Software associated with Standard Products in a secure, central location. Distributed copies also need to be available for each region to ensure updates and installations can be performed in a reasonable manner (i.e. no performance lag due to WAN bandwidth). | x | x | x | |||||||||
| Prior to the start of each calendar quarter, give notice to LS&Co. of all major installations and upgrades of Software that are planned to occur in the quarter for which notice is being given. Provide at least two weeks’ notice for all planned software distributions that are not the result of a user request. Provide immediate notice to LS&Co. for any ‘emergency’ (i.e. security related) distributions. | x | x | x | |||||||||
| Consult with LS&Co. on the timing for implementing Software updates, to be determined by LS&Co. Perform technical impact assessment of any proposed update; i.e. impact to validated applications. | x | x | x | |||||||||
| Define and check for particular Software signatures. | x | x | x | |||||||||
| Check the presence and version of Software on specific devices. Provide ad-hoc/on-demand reporting to LS&Co. as needed. | x | x | x | |||||||||
| Update Asset Management and Configuration Management Systems. | x | x | x | |||||||||
| Remedy any defects relating to Packaging of a Package that are identified before, during or after deployment of the Package. | x | x | x | |||||||||
| Determine the compatibility of End User Software with other Software in the Services Environment in accordance with the Software Certification Services | x | x | x | |||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 7 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| Provide Test Labs and utilize the existing tools being used for application packaging | x | x | x | |||||||||||||||||||||
| The Tools used by Supplier to perform the Packaging will be subject to LS&Co.’s approval and should complement / integrate with the other tools and technologies used by LS&Co carry out appropriate quality assurance tests (“QA Tests”) on the packaging components of the package (but not the functionality of the Packaged Software itself) to verify, at a minimum: | x | x | x | |||||||||||||||||||||
| that the Package functions correctly within the Services Environment;
that the Package was packaged in accordance with the Packaging Standards; and |
x | x | x | |||||||||||||||||||||
| that the Package is able to completely install on the Workstations and Distributed Servers, in conjunction with the existing End User Software or Distributed Server Software, as relevant; | ||||||||||||||||||||||||
| if a Package fails the QA Tests make necessary Modifications to the Package and repeat the QA Tests until either the Package passes the QA Tests or both Supplier and LS&Co. determine that the Packaged Software is not capable of passing the QA Test; | x | x | x | |||||||||||||||||||||
| in relation to Business Applications only, provide the QA Test scripts for Supplier’s use in testing of the Packages and Supplier will proactively provide LS&Co. with suggested updates to the QA Test scripts; | x | x | x | |||||||||||||||||||||
| in relation to Common Applications only, Supplier will develop and maintain the QA Test scripts for Supplier’s use in testing of the Packages, and will locate such scripts in the Supplier Repository. | x | x | x | |||||||||||||||||||||
| Inventory Management | ||||||||||||||||||||||||
| Conduct spares forecasting for the Break / Fix Services across corporate and retail environment. |
x | x | x | |||||||||||||||||||||
| Manage the staging and storage areas at Sites designated by LS&Co., including verifying that the Equipment will be stored in a secure area and not subject to extreme heat, cold, or dampness and managing such areas in accordance with the LS&Co. policies. Such staging and storage areas will be used by Supplier to store parts, Refurbished End User Computing Equipment and new Workstation and Server Equipment which has yet to be installed. |
x | x | x | |||||||||||||||||||||
| Maintaining inventory levels and working with the OEM for end user devices under warranty for parts shipment and replenishment of stocks |
x | x | x | |||||||||||||||||||||
| Minimize space requirements by using appropriate processes, including just in time delivery of Equipment. |
x | x | x | |||||||||||||||||||||
| For all End User Computing Equipment and Server equipment, manage pools of whole units of Equipment or parts for use in Incident and request Resolution as required to meet or exceed the Performance Standards (“Whole Unit Spares”). |
x | x | x | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 8 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| 1. Ensure that any Whole Unit Spare that it provided to an End User:
(a) is a comparable item of Equipment with the Equipment that is being replaced;
(b) in the case of Peripherals, is compatible with the End User’s Workstation;
(c) in the case of Workstations, has the same End User Software and data installed and the same configurations as the End User’s Workstation; and
2. is operating correctly and ready for End User use. |
x | x | x | |||||||||
| For Workstation Whole Unit Spares, Supplier will transfer the necessary End User Software and data to such Whole Unit Spare and assist End Users in restoring files |
x | x | x | |||||||||
| LS&Co. will own all spares and the shipment material and cost of spares |
x | x | x | |||||||||
| Pull & Ship from Depot locations. |
x | x | x | |||||||||
| Manage return shipping and repair of damaged components |
x | x | x | |||||||||
| Identifies any failed End User Computing Equipment or Server Equipment that is reasonably beyond economic repair, and inform LS&Co. before the device is prepared for disposal |
x | x | x | |||||||||
| Asset Management |
||||||||||||
| Manage and update the asset information in the ServiceNow asset management module as and when there is a change to an asset status | X | X | X | |||||||||
| Define the policies will be followed as part of the asset update / management process |
X | X | X | |||||||||
| Periodically maintain SCCM database in order to remove the stale objects, Also update the SCCM as and when assets are added or decommissioned in the environment | X | X | X | |||||||||
| Procurement Management | ||||||||||||
| Maintain inventory and determine when stock is low. And maintain the replenishment model and maintain the adequate stock level |
X | X | X | |||||||||
| LS&Co. to approve all new orders |
X | X | X | |||||||||
| Regular reporting of inventory status to include on-hand min/max levels, on a monthly / Quarterly basis |
x | x | x | |||||||||
| Order new inventory as required as a part of refresh and/ or replenishment utilizing a globally accessible ordering portal where applicable as provided by LS&Co. |
x | x | x | |||||||||
| Image Management |
||||||||||||
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 9 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| Create, test, certify, manage, update and maintain standard images (including “gold master” images or equivalent) for all Corporate and Retail Workstations. | x | x | x | |||||||||
| Provide Media, License Information, Test Lab, Testing Hardware | x | x | x | |||||||||
| Identify Pilot Testing Users | x | x | x | |||||||||
| Discuss deployment plan and target devices | x | x | x | x | x | x | ||||||
| Deploy LS&Co. approved software images to Workstations as applicable. | x | x | x | |||||||||
| Perform transaction status monitoring as part of integrated retail operations center for Raymark Applications based POS ( In English) for the owned and operated stores and network monitoring from the up/down status perspective | x | x | x | |||||||||
| 1. | PROJECT POOL HOURS PROJECTS |
Supplier will provide the infrastructure Project Pool hours to LS&Co. each year for a 5 year period, based on the Project forecasts provided by LS&Co. Currently this pool constitutes of 4,000 for end user computing ,
Service Provider will initially allocate resources to the Project Pool Staff in accordance with the hours per Skillset Category as agreed below. Any skillset required outside of the Skillset Categories will be made available to LS&Co. outside of the Project Pool, in accordance with the rate card submitted.
Currently the pool is planned to have following resources
| • | India - EUC Engineering – 2 |
| • | 1 FTE – Image Management |
| • | 1 FTE – VDI Specialist (VM Xxxx) |
| LS&Co. – Attachment 2.3.2 – Description of Services – Information Technology Services – Deskside Support | Page 10 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.3
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
CROSS FUNCTIONAL SERVICES
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.
Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
As a part of Cross-Functional services, Supplier will leverage LS&Co.’s current IT Service Management processes and tools to deliver and manage the IT infrastructure services. LS&Co.’s Service Management team will enable Supplier to understand the current processes by means of training and orientation sessions that will be conducted by LS&Co. during transition. Supplier will develop appropriate process documents for subsequent use and reference during the steady state operations. Supplier will submit the process documents to LS&Co. for its review and approval.
Supplier will work with LS&Co.’s Service Management team to establish appropriate interfaces between LS&Co.’s and Supplier’s service management toolsets during the transition phase. The interfaces will establish appropriate integration between the two toolsets. Supplier understands that the system of records will be LS&Co.’s service management tool. The integration of toolset will be bi-directional and Supplier’s service management tool will synchronize data with LS&Co.’s service management tool. Supplier will provide LS&Co. detailed plans for the toolset integration during transition planning phase.
As part of onboarding Supplier personnel, Supplier will establish procedures to impart appropriate level of training to new personnel that will enable them to understand and become aware of LS&Co.’s Service Management policies, processes and procedures. All Supplier personnel will use LS&Co.-approved process documents as reference documents to deliver and manage IT services.
The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following Processes:
| • | Incident and Major Management Process |
| • | Service Request Management Process |
| • | Problem Management Process |
| • | Change Management Process |
| • | Knowledge Management Process |
| • | Configuration Management Process |
Without limiting Section 2 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labelled Supplier).
The services, functions, and responsibilities set forth in this Statement of Work are supplemental to and incorporated into Supplier’s services, functions, and responsibilities in the other Information Technology Services Statements of Work (the other Statements of Work that form part of Attachment 2.3). Accordingly, Supplier shall provide all such cross-functional Services with respect to all of the Information Technology Services (the other Services documented as part of Attachment 2.3).
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 1 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 2. | CROSS FUNCTIONAL PROCESSES |
Incident Management Process
Incident Management handles all Service-affecting Incidents which may be failures or faults and restores the Service as quickly and efficiently as possible to the required Service Levels, while minimizing any adverse Impact on LS&Co. business operations.
Scope:
Supplier will manage and oversee the Incident Management Process across the Services and collaborate with LS&Co. and LS&Co. Third Party Contractors to manage the Cross Functional Incident Management Process.
Supplier will provide overall Incident Management Support and accepts that, while some Incidents may only affect the Services within the scope of Supplier, there will be Incidents that apply across the Cross Functional Services and require cooperation and joint work between Supplier, LS&Co. and the LS&Co. Third Party Contractors to resolve. Therefore, the Incident Management activities as described in this Exhibit apply to all types of Incidents.
The following table gives the activities and responsibilities of Supplier and LS&Co.
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| All Incidents |
||||||||||||||||||||||||
| Provide available LS&Co. Incident Management policies, standards and procedures. | X | X | X | |||||||||||||||||||||
| Provide Incident investigation, diagnosis, impact analysis, and reclassification as required. | X | X | X | |||||||||||||||||||||
| Utilize and update the Incident Management System with all relevant information relating to an Incident. | X | X | X | |||||||||||||||||||||
| Make an initial determination of the potential resolution. | X | X | X | |||||||||||||||||||||
| Prioritize and escalate Incidents from VIP or Executive Users. | X | X | X | |||||||||||||||||||||
| Link multiple contacts pertaining to the same Incident to the associated Incident Record. Resolve as many Incidents as possible during the Authorized User’s initial contact with the Service Desk, without transferring the call or using any escalation. |
X | X | X | |||||||||||||||||||||
| Resolve Incidents that are resolvable by Level 1 Support, and close the Incident after receiving confirmation from the affected Authorized User that the Incident has been resolved. | X | X | X | |||||||||||||||||||||
| Resolve Incidents arising from or related to the Services, including break/fix hardware and Software support | X | X | X | |||||||||||||||||||||
| Act proactively, and coordinate with all other parties (including Third Parties) as needed in order to resolve Incidents. | X | X | X | |||||||||||||||||||||
| Transfer Incidents within specified time limits to the appropriate party without compromising Service Levels or Security requirements. | X | X | X | |||||||||||||||||||||
| Provide or coordinate the final resolution to the Incident. | X | X | X | |||||||||||||||||||||
| Escalate Incidents to the appropriate levels for resolution in accordance with escalation procedures approved by LS&Co. | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 2 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| Escalate an Incident where the Incident cannot be resolved within the relevant Service Levels or agreed timeframe | X | X | X | |||||||||
| Close escalated Incidents after receiving confirmation from the affected Authorized User that the Incident has been resolved. | X | X | X | |||||||||
| Restore normal service operations as quickly as possible following an Incident, with minimum disruption to LS&Co. Business operations, and in compliance with Service Levels. | X | X | X | |||||||||
| Retain overall responsibility and ownership of all Incidents until the Incident is closed, subject to LS&Co. approval. | X | X | X | |||||||||
| Track and report the progress of resolution efforts and the status of all Incidents | X | X | X | |||||||||
| Keep LS&Co. informed of changes in Incident status throughout the Incident Lifecycle in accordance with agreed Service Levels | X | X | X | |||||||||
| Leverage the LS&Co. Service Knowledge Management System to assist with the resolution of Incidents | X | X | X | |||||||||
| Track the use of the Knowledge Management System, and report usage statistics to LS&Co. on a monthly basis, or as requested by LS&Co. | X | X | X | |||||||||
| Where Incidents relate to Assets, update details in the Asset Register and the CMS/CMDB, or coordinate with the relevant process to confirm updates are made. | X | X | X | |||||||||
| Incidents That Do Not Arise From or Relate to IT Services | ||||||||||||
| Record the Incident and open an Incident Record. | X | X | X | |||||||||
| Transfer the Incident to the appropriate person or entity for resolution or to provide guidance | X | X | X | |||||||||
| Transfer Incidents within specified time limits to the appropriate party without compromising Service Levels or Security requirements. | X | X | X | |||||||||
| Provide status updates to Authorized User within agreed Service Levels. | X | X | X | |||||||||
| Incidents Only Partially Related to IT Services | ||||||||||||
| Continue to work toward resolution of the relevant part(s). | X | X | X | |||||||||
| Transfer the remaining part(s) to the Service Desk, without compromising Service Levels | X | X | X | |||||||||
| Provide status updates to Authorized User within agreed Service Levels. | X | X | X | |||||||||
| Incident Escalation | ||||||||||||
| Support and reasonably assist with the creation of an escalation procedure to be documented in the Procedures Manual. | X | X | X | |||||||||
| Review the Supplier developed process for escalation of Incidents, and if acceptable to LS&Co., approve such procedures. | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 3 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| Provide appropriate business feedback and responses to Provider upon request for critical events and major Incidents. | X | X | X | |||||||||
| Escalate unresolved Incidents according to procedures approved by LS&Co., and automatically prioritize high-impact Applications, Software, Equipment and services, such that they are treated with the highest Priority.
Implement escalation procedures that reflect and describe the Incident, including
1. Priority level of the Incident
2. Location of the Incident and the name and/or number of affected Authorized Users
3. Elapsed time before an Incident is escalated to the next higher Priority level |
X | X | X | |||||||||
| Investigate and diagnose activities to identify Workarounds for each Incident | X | X | X | |||||||||
| Incident resolution activities to restore normal service in compliance with the Service Levels | X | X | X | |||||||||
| Resolve Incidents by matching Incidents to Known Errors that are stored in a Known Error Database | X | X | X | |||||||||
| Escalate Incidents to the Supplier’s and/or LS&Co. management team | X | X | X | |||||||||
| Generate a Problem Record from an Incident | X | X | X | |||||||||
| Generate Requests for Change (RFCs) where necessary for the implementation of Workarounds | X | X | X | |||||||||
| Incident Management Reporting | ||||||||||||
| Provide regular progress notifications to LS&Co. on current Priority Xxxxx 0, Xxxxxxxx Xxxxx 0, Xxxxxxxx Xxxxx 0, and Priority Level 4 Incidents and, as necessary, through any follow up communication and work required post-resolution | X | X | X | |||||||||
| Provide regular progress notifications to the Service Desk on Incidents raised by VIP or Executive Users, with the frequency of such notification in accordance with Service Levels and LS&Co. requirements | X | X | X | |||||||||
| Provide prompt notification to LS&Co. of System Outages on critical Systems; and otherwise provide affected Authorized Users with regular and timely progress updates about the Incident including:
1. Nature of the Incident
2. Estimated time to completion
3. Potential short-term alternatives |
X | X | X | |||||||||
| Provide the monthly report in electronic copy in a format agreed to with LS&Co., which at a minimum includes | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 4 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| 1. Key issues relating to Incident Management
2. Number of Incidents during the month, grouped by Priority, service, region, and classification
3. List of Incidents, short description, reference number, and a shortcut to detailed description
4. Detailed description, including timing of activities
5. Links to Problem and Known Error Records
6. Trend analysis of the Incidents reported during the thirteen (13) most recent months |
||||||||||||||||||||||||
| Calculate statistics and provide monthly reports to LS&Co., which include:
1. The number of Incidents
2. Sources of the Incidents
3. Frequency regarding the types or categories of Incidents
4. The duration of open Incidents (average and quantities by age)
5. Number of Incidents resolved upon first contact
6. Other pertinent information regarding Incident resolution, including Service Level measurement reporting |
X | X | X | |||||||||||||||||||||
| Post successful resolution, document resolution within Incident Management Tool and initiate Incident closure via Service Desk as and when required. | X | X | X | |||||||||||||||||||||
| Integrate Supplier Incident Management tool to LS&Co. Incident Management tool | X | X | X | |||||||||||||||||||||
| Integrate the Supplier Incident Management Tool with the other Cross Functional and Supplier Service Management Processes and Tools. | X | X | X | |||||||||||||||||||||
| LS&Co. Process Owners will provide Incident Management Process Training using the “Train the Trainer” format to Supplier Leads | X | X | ||||||||||||||||||||||
| LS&Co. specific Incident Management Trainings—Onboarding and Orientation Trainings for all new employees / joiners aligned to support. | X | X | X | |||||||||||||||||||||
| Changes to the Incident Management process globally | X | X | X | |||||||||||||||||||||
| Ownership of changes to be done on the LS&Co. Tools environment if there is a requirement due to a Process workflow change in the Incident Management Process | ||||||||||||||||||||||||
| Data Collection & Validation (Accuracy) | X | X | X | |||||||||||||||||||||
| 1. Collect and provide agreed performance data from systems by required date;
2. Review reports for accuracy based on Deliverables and Obligations, Service Level, and unstructured input;
3. Resolving reporting issues with LS&Co. as necessary |
||||||||||||||||||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 5 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
Definitions – Incident Priorities
Priority is derived from impact and urgency settings
Impact
| Setting |
Impact Value |
Highest Business Criticality of Impacted Services |
Financial and/or human impact | |||
| 1 | High | 1 - Most Critical | 1. Impacting >50 people or cost of $50,000 | |||
| 2 | Medium | 2 - Somewhat Critical | 2. Impacting 25 to 50 people or cost between 25 to $50K | |||
| 3 | Low | 3 - Less Critical | 3. Impacting less than 23 people or cost of less than $25K | |||
| 4 - Not Critical | ||||||
Urgency
| Setting |
Impact Value |
Highest Business Criticality of Impacted Services |
Financial and/or human impact | |||
| 1 | High | 1 - Most Critical | 1. Impacting >50 people or cost of $50,000 | |||
| 2 | Medium | 2 - Somewhat Critical | 2. Impacting 25 to 50 people or cost between 25 to $50K | |||
| 3 | Low | 3 - Less Critical | 3. Impacting less than 23 people or cost of less than $25K | |||
| 4 - Not Critical | ||||||
| Priority |
Impact |
Urgency | ||
| 1 | 1-High | 1-High | ||
| 2 | 1-High | 2-Medium | ||
| 2 | 2-Medium | 1-High | ||
| 3 | 2-Medium | 2-Medium | ||
| 3 | 1-High | 3-Low | ||
| 3 | 3-Low | 1-High | ||
| 4 | 3-Low | 2-Medium | ||
| 4 | 2-Medium | 3-Low | ||
| 5 | 3-Low | 3-Low | ||
| Best Judgment Guideline—For incidents where impact is current or imminent | ||
| 1 Fatal Impact on Services provided to the business, affecting critical production, e.g. Network connectivity down, critical application unavailable, unable to access business data |
>50 Users impacted or >$50,000 and Time to Impact is less than 4 hours | |
| Critical or Negative impact on services provided to the business, affecting production |
>50 Users impacted or >$50,000 | |
| 2 e.g. All or a portion of a less critical application unavailable, degraded network performance |
and Time to Impact is less than 8 hours
or
>25 Users impacted or >$25,000
and Time to Impact is less than 4 hours | |
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 6 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 3 Low or minimal impact to an application. Degradation of a non-critical function, problems of low impact. Alternatives not immediately available. Problems that degrade but do not prevent accessibility or usability. |
Not qualified for P1 or 2, but still has an impact on users | |
| 4 No current of imminent impact to business services. Irritation. |
||
Service Request Management Process
The goal of Request Fulfillment is to manage the Lifecycle of all Service Requests. Service Requests include all requests that Authorized Users submit to the IT department, including information, advice, a Standard Change, or access to a service.
Scope:
Supplier will manage and oversee the Request Fulfillment Process across its Services and collaborate with the Service Desk, LS&Co. and LS&Co. Third Party Contractors to manage the Cross Functional Request Fulfillment Process.
Supplier will provide support for Service Requests. While some Service Requests may only affect the Services within the scope of the Supplier, there will be Service Requests that apply across the Cross Functional Services and require cooperation and joint work between Supplier, LS&Co., Service Desk and the LS&Co. Third Party Contractors.
The following table gives the activities and responsibilities of Supplier and LS&Co.
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Provide LS&Co. specific Service Request procedures | X | X | X | |||||||||
| Document and maintain the LS&Co. Provided Service Request procedures in the Procedures Manual. | X | X | X | |||||||||
| Ensure that all Service Requests receive appropriate LS&Co. approval before beginning work. | X | X | X | |||||||||
| Work with LS&Co. to implement and manage master data (assignment groups, solution areas, approval information, etc.) to the extent it is necessary to support effective Service Request execution. | X | X | X | |||||||||
| Fulfill all standard Service Requests that have been approved by LS&Co. in accordance with the Procedures Manual and Service Level (if applicable) | X | X | X | |||||||||
| Fulfill all non-standard Service Requests in a manner and on a timeline mutually agreed with the LS&Co. | X | X | X | |||||||||
| Cooperate with and participate in meetings with other providers, as required or requested by LS&Co., to enable fulfillment of a Service Request. | X | X | X | |||||||||
| Provide accurate and regular status updates for all Service Requests assigned to Supplier | X | X | X | |||||||||
| Provide a self-service capability to allow users to check the status of their Service Requests. | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 7 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Maintain a knowledge management system to support the management of Service Requests. The knowledge should include resolution information on Service Requests. | X | X | X | |||||||||
| Work effectively with LS&Co. and other Third Party Contractors regarding fulfillment activities for Service Requests. | X | X | X | |||||||||
| Maintain and update a Service Request management system with each Service Request in accordance with LS&Co.’s Service Request procedures. | X | X | X | |||||||||
| Subject to LS&Co.’s approval, establish and maintain Service Request Escalation Procedures. | X | X | X | |||||||||
| Liaise with Change Management to ensure that Service Requests follow the Change Management | X | X | X | |||||||||
| Process for Standard Changes and Requests for Change (RFCs). | ||||||||||||
| After successful resolution, document resolution within the Request Fulfillment Tool and initiate Service Request closure via Service Xxxx.xx and when required. | X | X | X | |||||||||
| Provide status update reports and summary reports at the frequency and in a format agreed with LS&Co. and as a dashboard for Service management meetings. | X | X | X | |||||||||
| Integrate Supplier Request Management tool to LS&Co. Service Management tool | X | X | X | |||||||||
| LS&Co. Process Owners will provide Service Request Management Process Training using the “Train the Trainer” format to Supplier Leads | X | X | X | |||||||||
| LS&Co. specific Request Management Trainings – On boarding and Orientation Trainings for all new employees / joiners aligned to support. | X | X | X | |||||||||
| Changes to the Service Request Management process globally | X | X | X | |||||||||
| Ownership of changes to be done on the LS&Co. Tools environment if there is a requirement due to a Process workflow change for Service Request Management | X | X | X | |||||||||
| Data Collection & Validation (Accuracy)
1. Collect and provide agreed performance data from systems by required date;
2. Review reports for accuracy based on Deliverables and Obligations, Service Level, and unstructured input;
3. Resolving reporting issues with LS&Co. as necessary |
X | X | X | |||||||||
Problem Management Process
Problem Management analyses Incidents to prevent future Incidents and/or eliminate repeating Incidents, and to minimize the Impact of Incidents that cannot be prevented. Problem Management is responsible for driving Problem investigation and managing all Problems end-to-end.
Scope
Supplier will manage and oversee the Problem Management Process across its Services and collaborate with LS&Co. and LS&Co. Third Party Contractors to manage the Cross Functional Problem Management Process.
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 8 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
Supplier will support Problem Management Process. While some Problem may only affect the Services, there will be Problem that apply across the Cross Functional Services and require cooperation and joint work between the LS&Co. Supplier and the LS&Co. Third Party Contractors to resolve the Problems.
The following table gives the activities and responsibilities of Supplier and LS&Co.
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Provide available LS&Co. Problem policies, standards and procedures. | X | X | X | |||||||||
| Retain overall responsibility for all Problems allocated to the Supplier until the Problem is closed, subject to LS&Co.’s approval | X | X | X | |||||||||
| Establish and maintain Problem allocation rules and procedures, as defined by LS&Co. | X | X | X | |||||||||
| Approve or reject the Problem Management procedures submitted by Supplier for approval. | X | X | X | X | X | X | ||||||
| Provide necessary information from the time a Problem is identified through to resolution. As necessary, also provide any follow-up communications and report work required post-resolution to LS&Co. and to LS&Co. Third Party Contractors. | X | X | X | |||||||||
| Track and report any backlog of unresolved Problems on at least a monthly basis to LS&Co., or more frequently as requested. | X | X | X | |||||||||
| The Supplier shall provide a monthly report using LS&Co. ServiceNow. This report shall include:
1. The number of Problems and Known Errors in total and grouped by type, Priority, and status,
2. Statistics on total numbers of Problems and Known Errors
3. Problem reviews,
4. Trend analysis of Problems and Known Errors documented during the thirteen (13) most recent months,
5. Problem and Known Error trend analysis findings,
6. The number of Requests for Change initiated for Known Errors,
7. Outages that could have been prevented,
8. Number of open and closed Problem Records and Known Error Records,
9. Resolution time of Problems,
10. Priority 1 Outages and Priority 1 Incidents,
11. Performance data showing the relationship between effective Problem Management and the reduction in the number of Incidents.
12. Any issues relating to the efficiency and effectiveness of Problem Management, such as any information that may improve or facilitate a better Problem Management process, including decisions to be made by LS&Co.. |
X | X | X | |||||||||
| Perform trend analyses on the volume and nature of Problem. | X | X | X | |||||||||
| Ensure Root Cause Analysis (RCA) are completed for all identified problems and permanent fixes are identified and implemented | X | X | X | |||||||||
| Ensure Known Error Database (KEDB) is updated with appropriate workarounds and fixes | X | X | X | |||||||||
| Analyse Problems guidance or advice trends, and recommended actions. | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 9 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Collating Problem information regarding suggested improvements to Supplier’s Services. | X | X | X | |||||||||
| Develop an action plan on a quarterly basis to address suggested improvements | X | X | X | |||||||||
| Reviewing and implement the action plan with LS&Co.’s approval | X | X | X | |||||||||
| Monitoring and reporting on progress and improvements made and reporting on the percentage of actions completed within the target completion date. | X | X | X | |||||||||
| Conduct Problem Management Meetings and attend Problem Management Meeting as scheduled by LS&Co. | X | X | X | |||||||||
| Inform LS&Co. if Problems exceeds or are expected to exceed their target Resolution Times. | X | X | X | |||||||||
| Escalate issues to the appropriate levels for resolution in accordance with escalation procedures approved by LS&Co. | X | X | X | |||||||||
| Verify with all involved parties that a Problem is resolved before recommending it for closure. | X | X | X | |||||||||
| Approve the closure of a Problem Ticket | X | X | X | |||||||||
| Report to LS&Co., which can be via Service management tooling, each Problem that has been resolved. | X | X | X | |||||||||
| LS&Co. Process Owners will provide Problem Management Process Training using the “Train the Trainer” format to Supplier Leads | X | X | X | |||||||||
| LS&Co. specific Problem Trainings - Onboardring and Orientation Trainings for all new employees / joiners aligned to support. | X | X | X | |||||||||
| Changes to the Problem Management process globally | X | X | X | |||||||||
| Ownership of changes to be done on the LS&Co. Tools environment if there is a requirement due to a Process workflow change in the Problem Management Process | X | X | X | |||||||||
| Data Collection & Validation (Accuracy)
1. Collect and provide agreed performance data from systems by required date;
2. Review reports for accuracy based on Deliverables and Obligations, Service Level, and unstructured input;
3. Resolving reporting issues with LS&Co. as necessary |
X | X | X |
Change Management Process
Change Management enables Changes to be made with minimal disruption to the Services, ensuring that Changes are deployed in a controlled way, such that they are evaluated, prioritised, planned, tested, implemented and documented.
Supplier will manage and oversee the Change Management Process across its Services and collaborate with LS&Co. and LS&Co. Third Party Contractors to manage the Cross Functional Change Management Process.
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 10 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
Supplier will manage the Change Management Process in the way that achieves a set of clearly defined objectives including:
| • | Efficient implementation of Changes |
| • | Clear accountability for implementation of Changes and approvals, |
| • | Appropriate risk assessment and mitigation |
| • | Minimization of business disruption |
| • | Effective coordination and communication |
| • | Review the action plan for LS&Co. approval |
| • | Reporting on progress and improvements made and on the percentage of actions completed within the target completion date. |
Some of the Change Management activities may only affect the Services, however, there will also be activities that apply across the Cross Functional Services and require cooperation and joint work between the Supplier, LS&Co. and the LS&Co. Third Party Contractors.
The following table gives the activities and responsibilities of Supplier and LS&Co.
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Provide available LS&Co. Change Management policies, standards and procedures. | X | X | X | |||||||||
| Retain the ownership of the overall Change Managements Process globally | X | X | X | |||||||||
| Integrate Change Management Process and other Service Management Processes with the Cross Functional Change Management | X | X | X | |||||||||
| Specify “freeze” periods during which the Supplier will not make any Changes. | X | X | X | |||||||||
| Retain the ownership of overall CAB meetings | X | X | X | |||||||||
| Collaborate as required by LS&Co. in the operation of the overall CAB by providing input including: | X | X | X | |||||||||
| 1. Evaluations of Change Impact
2. Recommendations for approval or otherwise
3. Recommending an implementation plan
4. Recommending appropriate participation based on the Request for Change |
||||||||||||
| Review Changes according to the Change Authorization Matrix as per LS&Co. Change Management Process. | X | X | X | |||||||||
| Approve Changes according to the Change Authorization Matrix as per LS&Co. Change Management Process. | X | X | X | |||||||||
| Retain overall responsibility for all Changes allocated to the Supplier (in scope services) until the Change is closed, subject to CAB and LS&Co. approval. | X | X | X | |||||||||
| Provide status update reports and summary reports at the frequency and in a format agreed with LS&Co., during Service Management meetings. | X | X | X | |||||||||
| Summarize the Changes made each week, and report the information to LS&Co. on a weekly basis | X | X | X | |||||||||
| Supplier shall manage the effective entry of Change Records into the Change Management Tool | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 11 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | A’MA | |||||||
| Raise and submit proposed Changes to LS&Co. for assessment using the LS&Co. provided Change Management Process and templates. At a minimum, each submitted proposed Request for Change shall include: | X | X | X | |||||||||
| 1. Description of the Change and its Impact on Infrastructure, Configuration Items, Services, processes etc.,
2. The purpose and justification for the Change,
3. A list of Service(s), geographical regions, End User(s), LS&Co. Third Party Contractors potentially affected by the Change,
4. The proposed implementation procedures,
5. The Resources required executing the Change. |
||||||||||||
| Update its CMDB/CMS in cooperation with Service Asset and Configuration Management for any changes that is performed by Supplier | X | X | X | |||||||||
| Review proposed Changes, schedule all Service Providers and obtain all necessary approvals in accordance with the approval matrix for proposed Changes. | X | X | X | |||||||||
| Provide advice to LS&Co. if the initial review indicates the Priority Level should be altered | X | X | X | |||||||||
| In an emergency, Supplier will gain authorization from the Emergency Change Advisory Board to implement an Emergency Change in accordance with Change Management procedures. | X | X | X | |||||||||
| Approve Emergency changes as per LS&Co. Change Management Process. | X | X | X | |||||||||
| Escalate issues to the appropriate levels for resolution in accordance with escalation procedures provided by LS&Co. | ||||||||||||
| Conduct Post Implementation Reviews of Changes to determine whether the Change was successful | X | X | X | |||||||||
| Collect data on every Change attempted (in-scope services). Such data shall include: | X | X | X | |||||||||
| The cause of any Incidents
1. Measures taken to prevent recurrence,
2. Whether the Change was successful from the perspective of the Authorised Users and LS&Co. Third Party Contractors affected by the Change. |
||||||||||||
| Close and update the Change Record with all of the details of the Change in accordance with the Change Management policies. | X | X | X | |||||||||
| Integrate Supplier Change Management tool to LS&Co. Service Management tool | X | X | X | |||||||||
| Integrate the Supplier Change Management Tool with the other Cross Functional and Supplier Service Management Processes and Tools. | X | X | X | |||||||||
| LS&Co. Process Owners will provide Change Management Process Training using the “Train the Trainer” format to Supplier Leads | X | X | X | |||||||||
| LS&Co. specific Change Management Trainings—Onboarding and Orientation Trainings for all new employees / joiners aligned to support. | X | X | X | |||||||||
| Changes to the Change Management process globally | X | X | X | |||||||||
| Ownership of changes to be done on the LS&Co. Tools environment if there is a requirement due to a Process workflow change in the Problem Management Process | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 12 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | A’MA | |||||||
| Data Collection & Validation (Accuracy)
1. Collect and provide agreed performance data from systems by required date;
2. Review reports for accuracy based on Deliverables and Obligations, Service Level, and unstructured input;
3. Resolving reporting issues with LS&Co. as necessary |
X | X | X | |||||||||
Knowledge Management Process
Knowledge Management allows the sharing of perspectives, ideas, experience and information, and ensures that these are available in the right place at the right time to enable informed decisions.
Supplier shall manage the Knowledge Management Process across its Services and collaborate with LS&Co. and LS&Co. Third Party Contractors to manage the Cross Functional Knowledge Management Process.
Some of the Knowledge Management activities may only affect the Services within the scope of the Supplier, however, there will be activities that apply across the Cross Functional Services and require cooperation and joint work between the Supplier, LS&Co. and the LS&Co. Third Party Contractors.
The following table gives the activities and responsibilities of Supplier and LS&Co.
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Provide available LS&Co. Knowledge Management policies, standards and procedures. | X | X | X | |||||||||
| Retain the ownership of the overall knowledge Management Process globally | X | X | X | |||||||||
| Integrate Knowledge Management Process and other Service Management Processes with the Cross Functional Change Management | X | X | X | |||||||||
| Retain the ownership of all Knowledge Articles | X | X | X | |||||||||
| Implement actions defined in the communication improvement plan as directed by LS&Co. | X | X | X | |||||||||
| Support LS&Co. activities to audit the knowledge base contents to ensure the correctness of the data and information contained therein. | X | X | X | |||||||||
| Conduct regular assurance activities with to ensure information required to manage the Services is captured, stored, and presented accurately and completely in the Knowledge Base. The information shall include: | X | X | X | |||||||||
| 1. Policies and procedures,
2. Best practices,
3. Methods to resolve Incidents,
4. Known Errors,
5. Frequently Asked Questions (FAQs),
6. Trainings Material |
||||||||||||
| LS&Co. Process Owners will provide Knowledge Management Process Training using the “Train the Trainer” format to Supplier Leads | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 13 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| LS&Co. specific Knowledge Management Trainings - Onboarding and Orientation Trainings for all new employees / joiners aligned to support. | X | X | X | |||||||||
| Changes to the Knowledge Management process globally | X | X | X | |||||||||
| Ownership of changes to be done on the LS&Co. Tools environment if there is a requirement due to a Process workflow change in the Knowledge Management Process | X | X | X | |||||||||
Configuration Management Process
Supplier supports the Configuration Management Process across its Services and collaborates with LS&Co. and LS&Co. Third Party Contractors to manage the Cross Functional Configuration Management Process.
The following are the activities Supplier will undertake to facilitate interface with LS&Co. defined Configuration Management Process:
| • | Utilize LS&Co. Configuration Management Database or any other equivalent system to facilitate impact assessment for Request for Configurations |
| • | Keep the CI information updated |
| • | Monitor and track CI baselines subsequent to new changes and releases |
| • | Interface with LS&Co. Configuration/Asset Managers to understand new deployment or releases |
| • | Provide Service Assets and CI reports as defined and agreed with LS&Co. |
| • | Participate in reviews with LS&Co. Service Management team |
| • | Assist LS&Co. when it audits the Configuration Management process once in a quarter |
| • | Provide Configuration Management reports on monthly basis |
| • | Develop a Configuration Management process and procedures manual and regularly update this manual |
The following table gives the activities and responsibilities of Supplier and LS&Co.
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Define and provide current LS&Co. Configuration Management requirements and policies | X | X | X | |||||||||
| Define configuration management policies | X | X | X | |||||||||
| Review Provider requests to make changes to CI records, and if acceptable to LS&Co. approve such request. | X | X | X | |||||||||
| Define CIs | X | X | X | |||||||||
| Review CMDB database environment changes submitted by Supplier for approval and, if acceptable to LS&Co., approved such requests. | X | X | X | |||||||||
| Categorize CIs | X | X | X | |||||||||
| Define CI unique identifiers | X | X | X | |||||||||
| Define CMDB structure | X | X | X | |||||||||
| Map CIs to Services | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 14 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| Define the scope of CMDB audits as required in the LS&Co. approved Configuration Management plan. | X | X | X | |||||||||
| Defining access rights to CMDB | X | X | X | |||||||||
| Recording CI details in CMDB as a part of the daily operations as and when a device status changes | X | X | X | |||||||||
| Update CMDB | X | X | x | |||||||||
| Setup Definitive Media Library (DML) | X | X | X | |||||||||
| Update Definitive Media Library (DML) | X | X | X | |||||||||
| Provide feedback and recommend improvements to the Configuration Management plan to LS&Co. | X | X | X | |||||||||
| LS&Co. Process Owners will provide Problem Management Process Training using the “Train the Trainer” format to Supplier Leads | X | X | X | |||||||||
| LS&Co. specific Configuration Management Trainings—Onboarding and Orientation Trainings for all new employees / joiners aligned to support. | X | X | X | |||||||||
| Changes to the Configuration Management process globally | X | X | X | |||||||||
| Ownership of changes to be done on the LS&Co. Tools environment if there is a requirement due to a Process workflow change in the Configuration Process | X | X | X | |||||||||
| LS&Co. – Attachment 2.3.3 – Description of Services – Information Technology Services – Cross Functional Services | Page 15 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | Exhibit 10.30 |
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.4
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
SERVER OPERATIONS CENTER
| * | Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions marked with [****]*. |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement. References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto. Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. LS&Co.’s responsibility will focus on all Engineering tasks associated with supporting the disciplines outlined below. This includes items such as creating and certifying new Operating System builds, reviewing and testing new technologies, creating documentation and procedures for turnover to the day-to-day teams and implementing automation. LS&Co.’s responsibility will be to train an appointed SME (subject matter expert) within Supplier, and that person will be responsibility for training the rest of the team which would include new staff added to the account.
It is incumbent on Supplier to train their technicians on all existing technologies (including future version upgrades) implemented at LS&Co. in order to be proficient in supporting said technologies.
Each discipline will provide on-call coverage and be available on a 24x7 basis. This includes the ability to reach technicians after-hours in order to facilitate faster resolution of major incidents.
Supplier will conduct quarterly business review showing metrics, adherence to Service Levels, trends, and opportunities for improvement.
The LS&Co. Engineering teams will provide up to 10 hours per calendar month to assist as necessary to resolve incidents, problems or requests. This effort excludes any kind of engineering scope activities and is a dedicated effort for supporting Supplier BAU team for any operational issue.
| • | Command Center |
| • | Infrastructure & application monitoring |
| • | Batch monitoring |
| • | Incident management |
| • | Incident lifecycle management & co-ordination |
| • | Access management |
| • | Service level management & reporting |
| • | Server monitoring & management (Wintel & UNIX) |
| • | Server standards & architecture |
| • | Server procurement |
| • | Server configuration management |
| • | Server IMAC (Install, Move, Add, Change) |
| • | Hardware maintenance |
| • | Server monitoring, administration and support |
| • | Performance tuning |
| • | Server security |
| • | Patch management |
| • | Anti-virus |
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 1 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| • | Major incident management |
| • | Operating system administration |
| • | VMware host management |
| • | Failover testing & management |
| • | Batch Job scheduling & management |
| • | Batch job monitoring |
| • | Batch job scheduling |
| • | Storage monitoring & management |
| • | Storage architecture & standards |
| • | Life cycle management |
| • | Storage monitoring & management |
| • | Storage administration |
| • | Performance tuning |
| • | Storage optimization |
| • | Storage adds, moves, changes, redeployments |
| • | Storage hardware maintenance |
| • | Configuration Management |
| • | Failover Testing & Management |
| • | Disaster Recovery Services |
| • | Disaster Recovery |
| • | Backup, recovery, retention & archival management |
| • | Backup management |
| • | Restoration management |
| • | Scratch tape management |
| • | Tape device management |
| • | Backup server management |
| • | Performance monitoring |
| • | Backup monitoring |
| • | Database Monitoring & Management |
| • | Database Provisioning |
| • | Database Refreshes |
| • | Database monitoring |
| • | Database lifecycle management |
| • | Patching |
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 2 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| • | Upgrade |
| • | Decommissioning |
| • | Database administration |
| • | Middleware (Web) Management & Support |
| • | Monitoring |
| • | Administration/Troubleshooting |
| • | Server Deployment |
| • | Architecture |
| • | Cluster |
| • | Patch management |
| • | Project Support |
| • | Continuous Improvement |
Without limiting Section 3 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labeled Supplier).
| 2. | COMMAND CENTER |
Supplier centralized monitoring team will act as a focal point, merging multiple technology stacks, processes and mission needs into a high-performing & efficient Operations Center, its role is extended to vary in accordance to the ITIL functions. The table shown below describes the different ITIL functions mapped to the roles and responsibilities of the centralized monitoring team.
| Principal Activity | Supplier | LS&Co. | ||||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||||
| Infrastructure and Application Monitoring |
||||||||||||||||||||||||||
| 1. | Event management | X | X | X | ||||||||||||||||||||||
| 2. | Automated alert monitoring - Integrate existing toolset with ServiceNow directly or via a Manager of Managers (MoM) | X | X | X | ||||||||||||||||||||||
| 3. | Manage and configure event correlation rules as per the requirement and feasibility | X | X | X | ||||||||||||||||||||||
| 4. | Manage event management topology | X | X | X | ||||||||||||||||||||||
| 5. | Configure / Maintain Service Now CMDB | X | X | X | ||||||||||||||||||||||
| 6. | An LS&Co. CMDB will be used to manage Event Management, Supplier would be responsible to update any new CI in to CMDB | X | X | X | ||||||||||||||||||||||
| 7. | Create, Maintain documentation of Service Now CMDB relationships | X | X | X | ||||||||||||||||||||||
| 8. | The existing legacy monitoring tools which are retained by LS&Co. to monitor legacy systems would be supported by Supplier on best effort basis if there is no OEM support available | X | X | X | ||||||||||||||||||||||
| 9. | Install agents (wherever supported), configure standard monitoring and support the existing infrastructure monitoring toolset | X | X | X | ||||||||||||||||||||||
| 10. | Application monitoring scope is limited to basic application monitoring for below applications • Configure and monitor CMSG which is integrated with IBM TEC • Configure and monitor URL’s using SCOM, Web metrics or Servers Alive • Configure and monitor Oracle Database using Quest • Configure and monitor Oracle using Tivoli application monitoring • Configure and monitor file level log scraping • Configure and Monitor Tripwire as required to support compliance policies – SOX and PCI. |
X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 3 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity | Supplier | LS&Co. | ||||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||||
| 11. | Maintain documentation for system monitoring including - overall landscape - monitoring interfaces - monitored metrics |
X | X | X | ||||||||||||||||||||||
| 12. | Provide routine reporting of total systems and monitoring compliance. | X | X | X | ||||||||||||||||||||||
| 13. | Maintain & Report license inventory for monitoring applications using existing LS&Co. Tool set or Process | X | X | X | ||||||||||||||||||||||
| 14. | Coordinate with Suppliers on maintenance renewals for monitoring tools. | X | X | X | ||||||||||||||||||||||
| 15. | Timely procurement of the licenses and maintenance renewal | X | X | X | ||||||||||||||||||||||
| 16. | Supplier team will follow the guidelines and maintain the design as architected by LS&Co. engineering team to minimize licensing requirements. | X | X | X | ||||||||||||||||||||||
| 17. | Build & implement workflows in the existing LS&Co. System Center Orchestrator as per business need and feasibility | X | X | X | ||||||||||||||||||||||
| 18. | Obtain approval from LS&Co. prior to implementing new solutions that could impact license counts. | X | X | X | ||||||||||||||||||||||
| 19. | Create, Maintain & Support interfaces both to and from monitoring applications. | X | X | X | ||||||||||||||||||||||
| Examples: SCOM>Orchestrator>Service Now, UNIX>TEC>Service Now | ||||||||||||||||||||||||||
| 20. | Implement monitoring application upgrades | X | X | X | ||||||||||||||||||||||
| 21. | Provide infrastructure for monitoring tools’ upgrades as needed | X | X | X | ||||||||||||||||||||||
| 22. | Create, Maintain, Tune monitoring thresholds and overrides | X | X | X | ||||||||||||||||||||||
| 23. | Migrate monitoring agents as necessary to support infrastructure or application server changes. | X | X | X | ||||||||||||||||||||||
| 24. | Execute monitoring snoozes as requested to support planned and unplanned maintenance. | X | X | X | ||||||||||||||||||||||
| 25. | Troubleshoot monitoring snooze errors | X | X | X | ||||||||||||||||||||||
| 26. | All LS&Co. servers will be monitored proactively using the capabilities of existing infrastructure monitoring tools. | X | X | X | ||||||||||||||||||||||
| 27. | Implement Supplier Fixometic tool set increasing Self Help/Self Heal capabilities for improved operations management and Maintain runbooks of command center activities | X | X | X | ||||||||||||||||||||||
| 28. | BIR (Business Impact Reporting) notification. Supplier to perform reporting to LS&Co. senior management on business impacting issues | X | X | X | ||||||||||||||||||||||
| Batch Monitoring |
||||||||||||||||||||||||||
| 29. | Batch Service Level adherence | X | X | X | ||||||||||||||||||||||
| 30. | Job holds ( one time change) | X | X | X | ||||||||||||||||||||||
| 31. | Critical job monitoring | X | X | X | ||||||||||||||||||||||
| Incident Management |
||||||||||||||||||||||||||
| 32. | Incident detection & recording | X | X | X | ||||||||||||||||||||||
| 33. | Monitoring P1/P2 queues to look for high impact incident | X | X | X | ||||||||||||||||||||||
| 34. | Perform First Level Issue Resolution. | X | X | X | ||||||||||||||||||||||
| 35. | Incident Life Cycle management | X | X | X | ||||||||||||||||||||||
| 36. | Incident classification – As per LS&Co. policy | X | X | X | ||||||||||||||||||||||
| 37. | Investigation & Diagnosis- Diagnosis of Incident through appropriate questioning | X | X | X | ||||||||||||||||||||||
| 38. | Initial Support- Resolution of Standard Problems using SOPs & Knowledge Base | X | X | X | ||||||||||||||||||||||
| 39. | Escalation- Escalate to Onsite Support or appropriate technology resolver group, Advance Notification of Critical Incidents | X | X | X | ||||||||||||||||||||||
| 40. | Incident Closure – Follow-up with support groups and close incident and after closure user acceptance | X | X | X | ||||||||||||||||||||||
| 41. | Serve as Communication Channel for Third Parties, Service Owners & Resolver Groups | X | X | X | ||||||||||||||||||||||
| 42. | Provide Trend Analysis- Initiate appropriate Problem/ Change Management process on a periodic basis. Incident analysis (Top 10 list of alerts by CI & Events.) -Reason for failures -Caused by human error -Length of downtime |
X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 4 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity | Supplier | LS&Co. | ||||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||||
| 43. | Drive global problem management -Business Impact determination -Root cause identification -Implementation of preventative measures - Execute Open Risk Reporting |
X | X | X | ||||||||||||||||||||||
| 44. | Maintain (Create, Modify) run book documentation for all problem & incident management processes | X | X | X | ||||||||||||||||||||||
| 45. | Execute problem management for all business impacting tickets & repetitive P1 & P2 tickets | X | X | X | ||||||||||||||||||||||
| 46. | Supplier designated operations manager will decide on the required attendees who need to attend daily operations meeting | X | X | X | ||||||||||||||||||||||
| 47. | Manage global communications to LS&Co. stakeholders and support providers for P1/P2 outages | X | X | X | ||||||||||||||||||||||
| 48. | Lead Outage calls with resolver teams to restore service for all outages and business impacting incidents. | X | X | X | ||||||||||||||||||||||
| 49. | Maintain detailed incident analysis logs for all outages and business impacting incidents. | X | X | X | ||||||||||||||||||||||
| Access Management |
||||||||||||||||||||||||||
| 50. | Providing requisite access / rights | X | X | X | ||||||||||||||||||||||
| 51. | Approval and tracking of data center access for support personnel and Suppliers. | X | X | X | ||||||||||||||||||||||
| Continual Service Improvement |
||||||||||||||||||||||||||
| 52. | Service Measurement, Reporting & Improvements | X | X | X | ||||||||||||||||||||||
| Service Level Management |
||||||||||||||||||||||||||
| 53. | Service Levels Adherence | X | X | X | ||||||||||||||||||||||
| 54. | Manage Metrics (Job stats, P1/P2 KPI’s) | X | X | X | ||||||||||||||||||||||
| 55. | Lead daily OPS meeting | X | X | X | ||||||||||||||||||||||
| 56. | Lead Incident Outage Reviews | X | X | X | ||||||||||||||||||||||
| 57. | Provide coordinator to manage the Tech Window calls to include shutdown, startup, and post-validation tasks. Tech Window Calls could be calls where coordination with multiple stake holders (Supplier, LS&CO, 3rd Party Supplier) would be required. Supplier will support this in an onsite/offshore model. The Coordinator will be taking calls from LS&Co. or Supplier designated office only. This resource must have proficient communication and project management skills. | X | X | X | ||||||||||||||||||||||
| 3. | SERVER MONITORING & MANAGEMENT |
Server support Services includes but is not limited to activities associated with the day-to-day management of the Server computing environment, both physical and virtual, providing and supporting a stable infrastructure and effectively and efficiently performing operational and processing procedures so that Services meet or exceed the Performance Standards. In addition, the following table describes Server Support Services that Supplier will perform, as well as the related LS&Co. Responsibilities. An “X” is placed in the column under the Party that will be responsible for performing the task. Supplier responsibilities are indicated in the column labeled “Supplier.”
Wintel Support
The Wintel support team will be responsible for administration of VMware, Windows servers, Blade Chassis, Virtual Connect switches, and supporting tools in LS&Co. environment. Supplier has vast experience in supporting:
| • | Supporting Virtualization platform VMware |
| • | Multiple latest and legacy version of Windows including Windows 2000 server, 2003 server, NT, etc. |
| • | Windows version upgrades to N or N-1 versions. |
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 5 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
UNIX & Linux Support
These teams will be responsible for administration of UNIX-AIX, HP-UX, Linux and supporting tools servers in LS&Co. environment. Supplier has vast experience in supporting:
| • | Multiple latest and legacy version of Linux including SUSE, RHEL |
| • | Latest and legacy versions of UNIX including IBM-AIX, HP-UX |
| • | Linux and UNIX version upgrades to N or N-1 versions. |
| • | Support in Re-plat forming of UNIX to x86 platforms |
| Server Support Services and Related LS&Co. Responsibilities | Supplier | LS&Co. | ||||||||||||||||||||||||
| Server Standards and Architecture | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 1. | Participate in, and recommend, architecture and standards | X | X | X | ||||||||||||||||||||||
| Engineering |
||||||||||||||||||||||||||
| 1. | Maintain implementation standards | X | X | X | ||||||||||||||||||||||
| 2. | Document and publish implementation standards | |||||||||||||||||||||||||
| 3. | Ensure implementation standards are consistent with approved technology standards | X | X | X | ||||||||||||||||||||||
| 4. | Ensure adherence to standards | X | X | X | ||||||||||||||||||||||
| 5. | Manage exceptions to standards (one-offs) | X | X | X | ||||||||||||||||||||||
| 6. | Document, publish and maintain operational processes to support services | X | X | X | ||||||||||||||||||||||
| 7. | Review and approve exceptions to standards | X | X | X | ||||||||||||||||||||||
| 8. | Review and approve operational processes | X | X | X | ||||||||||||||||||||||
| Server Procurement |
||||||||||||||||||||||||||
| 9. | Manage Bid Process | X | X | X | ||||||||||||||||||||||
| 10. | Manage Supplier contracts/relationships | X | X | X | ||||||||||||||||||||||
| 11. | Maintain POs with Suppliers, place orders, monitor fulfillment | X | X | X | ||||||||||||||||||||||
| 12. | Manage invoice payment | X | X | X | ||||||||||||||||||||||
| 13. | Receive hardware, software and supplies in the data center, check for damage and reconcile to order/inventory | X | X | X | ||||||||||||||||||||||
| Server Configuration Management |
||||||||||||||||||||||||||
| 14. | Define standard server images to meet LS&Co. various computing environment requirements | X | X | X | ||||||||||||||||||||||
| 15. | Develop guidelines of how to build and configure servers and system images | X | X | X | X | X | X | |||||||||||||||||||
| 16. | Publish the content, configuration, and load parameters for each type of device in the LS&Co. IT environment of any LS&Co. master image for a device | X | X | X | ||||||||||||||||||||||
| 17. | Test, and publish the results of testing, the remote loading (Jump Start Procedure) test of each LS&Co. master image. Include Advanced troubleshoot further before escalating to L3. | X | X | X | ||||||||||||||||||||||
| 18. | Execute the Jump Start Procedure as requested by LS&Co. | X | X | X | ||||||||||||||||||||||
| 19. | Maintain the current version of each LS&Co. master image on a network accessible device | X | X | X | ||||||||||||||||||||||
| 20. | Maintain documentation of servers and system images | X | X | X | ||||||||||||||||||||||
| 21. | Develop/Define server/system images to meet changes in requirements | X | X | X | ||||||||||||||||||||||
| 22. | Manage/maintain the build process to support the changes to server/system images | X | X | X | ||||||||||||||||||||||
| 23. | Continually update and maintain the CMDB for additions, changes and redeployments of all hardware and software based on the Supplier’s provided updates. | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 6 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Server Support Services and Related LS&Co. Responsibilities | Supplier | LS&Co. | ||||||||||||||||||||||||
| Server Standards and Architecture | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 24. | Monthly metric reporting to include license tracking, virtualization ratio, assets by region, OS, HW make/model, etc. utilizing the existing LS&Co. tools or processes | X | X | X | ||||||||||||||||||||||
| 25. | Track, identify and remediate differences between implemented server configurations and LS&Co. approved configurations (e.g. version control) | X | X | X | ||||||||||||||||||||||
| Server IMAC (Install, Move, Add, Change) |
||||||||||||||||||||||||||
| 26. | Meet with customers (part of Business/application led Project support) to identify requirements, sizing, and costing of new and changes to existing environments. | X | X | X | ||||||||||||||||||||||
| 27. | Remote base server build and configuration - including operating system, utilities, and security per LS&Co. standards .Coordinate with other teams as necessary (changes, tasks, etc.) | X | X | X | ||||||||||||||||||||||
| 28. | Supplier will perform all the necessary activities to prepare a Server for decommission and disposal and coordinate with LS&Co. Supplier for the asset disposal | X | X | X | ||||||||||||||||||||||
| 29. | Provide the Supplier for physical asset disposal | X | X | X | ||||||||||||||||||||||
| 30. | Provide access to application teams to perform install/troubleshooting as requested | X | X | X | ||||||||||||||||||||||
| 31. | DHCP server set up | X | X | X | ||||||||||||||||||||||
| 32. | Implementation and migration of system configurations, operating systems, utilities, security and LS&Co. applications | X | X | X | ||||||||||||||||||||||
| 33. | Participate in weekly CAB to represent changes/tasks being performed by Operations staff | X | X | X | ||||||||||||||||||||||
| 34. | Ensure systems are configured, tested and certified per agreed upon gate-keeping and QA process | X | X | X | ||||||||||||||||||||||
| 35. | Coordinate with hardware/software Suppliers as required to complete on-site build process | X | X | X | ||||||||||||||||||||||
| 36. | Manage delivery of new systems to designated locations and the server build process | X | X | X | ||||||||||||||||||||||
| 37. | Coordinate delivery of replacement systems to designated locations and the server build process and execute installation in Data Centers and Campus locations | X | X | X | ||||||||||||||||||||||
| 38. | Plan and execute move/add/change requests within autonomous change windows and freeze periods that will vary by application & business unit. | X | X | X | ||||||||||||||||||||||
| 39. | Coordinate preparation with facilities, site IT or other third parties of physical site prior to installation of hardware - wiring, cabling, physical placement, rack requirements, etc. with escalation support by LS&Co. | X | X | X | ||||||||||||||||||||||
| 40. | Identify and perform all necessary backups for back out and recovery configurations prior to add/move/change request execution | X | X | X | ||||||||||||||||||||||
| 41. | Communicate any additional requirements to support move/add/change requests | X | X | X | ||||||||||||||||||||||
| 42. | Coordinate functional testing with responsible LS&Co. staff or other providers after the add/move/change - verifying correctness of the change | X | X | X | ||||||||||||||||||||||
| 43. | Recertification of hardware after redeployment | X | X | X | ||||||||||||||||||||||
| 44. | Review server configuration requirements prior to execution of work order | X | X | X | ||||||||||||||||||||||
| 45. | Ensure servers are fully configured according to LS&Co. architectural design | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 7 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Server Support Services and Related LS&Co. Responsibilities | Supplier | LS&Co. | ||||||||||||||||||||||||
| Server Standards and Architecture | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| Hardware Maintenance |
||||||||||||||||||||||||||
| 46. | Coordinate with hardware maintenance service provider to perform server and peripheral hardware maintenance services as needed | X | X | X | ||||||||||||||||||||||
| 47. | Identify, coordinate and execute break-fix, and reconfiguration | X | X | X | ||||||||||||||||||||||
| 48. | Notify LS&Co./Facilities provider of planned site visits as needed | X | X | X | ||||||||||||||||||||||
| 49. | Coordinate warranty maintenance and replacements with third parties when applicable | X | X | X | ||||||||||||||||||||||
| 50. | Coordinate non-warranty maintenance and replacements with third parties when applicable | X | X | X | ||||||||||||||||||||||
| 51. | Coordinate in-scope hardware repair | X | X | X | ||||||||||||||||||||||
| 52. | Review and approve replenishment requests | X | X | X | ||||||||||||||||||||||
| 53. | Abide by manufacturer warranty guidelines | X | X | X | ||||||||||||||||||||||
| Server Monitoring, Administration and Support |
||||||||||||||||||||||||||
| 54. | Populate and maintain LS&Co. owned Knowledge Base | X | X | X | ||||||||||||||||||||||
| 55. | Create and maintain operational process documentation | X | X | X | ||||||||||||||||||||||
| 56. | Print server queue management | X | X | X | ||||||||||||||||||||||
| 57. | Share and access management | X | X | X | ||||||||||||||||||||||
| 58. | Cluster administration and management (Incident, Problem, Change, and Configuration Management) | X | X | X | ||||||||||||||||||||||
| 59. | Active Directory administration and management (Incident, Problem, Change, and Configuration Management) | X | X | X | ||||||||||||||||||||||
| 60. | SCCM administration and management (Incident, Problem, Change, and Configuration Management) | X | X | X | ||||||||||||||||||||||
| 61. | Define monitoring conditions, event correlation rules, alerting thresholds and notification/escalation procedures | X | X | X | ||||||||||||||||||||||
| 62. | Provide daily monitoring 7 X 24 X 365 of hardware, OS, critical server processes, and other system software services such as: backup, file transfer, NTP, etc. | X | X | X | ||||||||||||||||||||||
| 63. | Provide daily representation in Operations calls to discuss outages and provide status on RCA | X | X | X | ||||||||||||||||||||||
| 64. | Monitor VMware host health | X | X | X | ||||||||||||||||||||||
| 65. | Installation of system monitoring tools agents | X | X | X | ||||||||||||||||||||||
| 66. | First Level Troubleshooting and Ticket Handling | X | X | X | ||||||||||||||||||||||
| 67. | Problem Management, Root Cause Analysis etc. | X | X | X | ||||||||||||||||||||||
| 68. | Manage system monitoring tool thresholds | X | X | X | ||||||||||||||||||||||
| 69. | Implement continuous improvement program to include automated tasks/functions which are being performed manually | X | X | X | ||||||||||||||||||||||
| 70. | Recommend enhancements to improve the monitoring solution based on day to day observation and problem incidents experienced | X | X | X | ||||||||||||||||||||||
| 71. | Implement new system monitoring for problem incidents and non-impacting events (i.e. near misses) undetected by the monitoring service | X | X | X | ||||||||||||||||||||||
| 72. | Submit recommended system configuration improvements based on Incident Root Cause Analysis | X | X | X | ||||||||||||||||||||||
| 73. | Respond to automatic paging and escalations associated with server monitoring events | X | X | X | ||||||||||||||||||||||
| 74. | Provide notification of critical system monitoring event | X | X | X | ||||||||||||||||||||||
| 75. | Provide recovery assistance for applications | X | X | X | ||||||||||||||||||||||
| 76. | Resolve system problems | X | X | X | ||||||||||||||||||||||
| 77. | Log File maintenance and archival | X | X | X | ||||||||||||||||||||||
| 78. | Address audit Findings | X | X | X | ||||||||||||||||||||||
| 79. | Maintain directories, directory structures and naming conventions | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 8 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Server Support Services and Related LS&Co. Responsibilities | Supplier | LS&Co. | ||||||||||||||||||||||||
| Server Standards and Architecture | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 80. | Administer and manage batch processing activities, including: Administer and manage CRON jobs, Create, enhance and manage shell script | X | X | X | ||||||||||||||||||||||
| 81. | Prioritize and schedule batch jobs to optimize use of processing windows | X | X | X | ||||||||||||||||||||||
| 82. | Engage technology Suppliers for problem and incident resolution, including opening tickets with other third party suppliers as required | X | X | X | ||||||||||||||||||||||
| 83. | Maintain 24x7 on-call schedule and provide 24x7 on-call support for escalation | X | X | X | ||||||||||||||||||||||
| 84. | Define health maintenance strategy for server environment including but not limited to monthly security patches, performance & maintenance patch bundles, etc. | X | X | X | ||||||||||||||||||||||
| 85. | Execute health maintenance strategy for server environment | X | X | X | ||||||||||||||||||||||
| 86. | Maintain firmware/driver currency of Servers and Peripheral hardware to LS&Co. defined standards | X | X | X | ||||||||||||||||||||||
| 87. | Configure monitoring settings or tools as specified in change requests | X | X | X | ||||||||||||||||||||||
| 88. | Proactively propose and implement monitoring as needed with existing tools | X | X | X | ||||||||||||||||||||||
| 89. | Evaluate, select and pilot monitoring technologies | X | X | X | ||||||||||||||||||||||
| 90. | Provide daily, full operational life cycle media management at LS&Co. DC. Include handling tape media onsite, and offsite, in accordance with LS&Co. policies and procedures | X | X | X | ||||||||||||||||||||||
| 91. | Perform the daily, weekly and other (as required) system backups and restores |
X | X | X | ||||||||||||||||||||||
| Performance Tuning |
||||||||||||||||||||||||||
| 92. | Define key Application performance indicators (KPIs) | X | X | X | ||||||||||||||||||||||
| 93. | Define key System performance indicators that map to application performance indicators | X | X | X | ||||||||||||||||||||||
| 94. | Establish baselines and repository of historical metrics for performance indicators | X | X | X | ||||||||||||||||||||||
| 95. | Troubleshoot, analyze and recommend changes based on performance against thresholds | X | X | X | ||||||||||||||||||||||
| 96. | Deliver optimal system performance | X | X | X | ||||||||||||||||||||||
| 97. | Identify, recommend & provide support for overall solution improvement and cost savings, e.g., server consolidation, virtualization | X | X | X | ||||||||||||||||||||||
| 98. | Scheduled and ad-hoc server health checks, server drive performance including remediation | X | X | X | ||||||||||||||||||||||
| 99. | Provide regular and ad-hoc performance reporting, including historical data reporting and trending, as well as direct access to reporting tools | X | X | X | ||||||||||||||||||||||
| 100. | Perform comparative analysis of performance data in support of configuration recommendations | X | X | X | ||||||||||||||||||||||
| Server Security |
||||||||||||||||||||||||||
| 101. | Attend security SWAT meetings as necessary | X | X | X | ||||||||||||||||||||||
| 102. | As identified or upon LS&Co. request, perform vulnerability mitigation | X | X | X | ||||||||||||||||||||||
| 103. | Define security requirements for server builds, including access control, server hardening, IDS/IPS sensors, etc. | X | X | X | ||||||||||||||||||||||
| 104. | Implement post OS hardening or OS changes to meet defined security requirements | X | X | X | ||||||||||||||||||||||
| 105. | Annual review of baseline security requirements | X | X | X | ||||||||||||||||||||||
| 106. | Perform periodic and ad hoc health checks (re-certifications) of server security including remediation | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 9 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Server Support Services and Related LS&Co. Responsibilities | Supplier | LS&Co. | ||||||||||||||||||||||||
| Server Standards and Architecture | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 107. | Conduct Monthly review of security service effectiveness, including status on outstanding alerts, hardening and access control, defects, patch currency, violations, remediation plan updates | X | X | X | ||||||||||||||||||||||
| 108. | Review the results of quarterly security service audits and approve remediation plans | X | X | X | ||||||||||||||||||||||
| 109. | Execute and maintain security response plan | X | X | X | ||||||||||||||||||||||
| 110. | Report server policy compliance using Symantec CCS SM tool | X | X | X | ||||||||||||||||||||||
| 111. | Review and approve security response plan | X | X | X | ||||||||||||||||||||||
| 112. | Comply with LS&Co. security standard policies and processes | X | X | X | ||||||||||||||||||||||
| Patch Management |
||||||||||||||||||||||||||
| 113. | Attend monthly patch meetings and provide input and recommendations on risk ratings. | X | X | X | ||||||||||||||||||||||
| 114. | Perform Patching, Emergency Patch Management (VMware, HW, Windows, Unix and Linux) | X | X | X | ||||||||||||||||||||||
| 115. | Monitoring servers post patching to ensure operational integrity | X | X | X | ||||||||||||||||||||||
| 116. | Security patch preparation ( patch testing, Entering change tickets, Assigning appropriate tasks, Scheduling deployment in SCCM, Interacting with Customers, Tracking down approvals etc.) | X | X | X | ||||||||||||||||||||||
| 117. | Supplier team will scheduled a patch at a specific time as agreed and approved by LS&Co | X | X | X | ||||||||||||||||||||||
| 118. | Frequency of patch update will be decided by LS&Co. CAB in consultation with Supplier | X | X | X | ||||||||||||||||||||||
| 119. | Apply all approved patches in the automated patch management tool | X | X | X | ||||||||||||||||||||||
| 120. | Scanning servers to ensure deployment is 100% successful | X | X | X | ||||||||||||||||||||||
| 121. | Reporting on the patch update | X | X | X | ||||||||||||||||||||||
| 122. | Applying Group policy for updating Windows update key on servers on the Organizational Units wherever it is not present | X | X | X | ||||||||||||||||||||||
| 123. | Deploying patches manually on cluster servers and all other servers that are not updated automatically / that require manual patching | X | X | X | ||||||||||||||||||||||
| 124. | Operating system service pack and security patch upgrades (Windows Servers) | X | X | X | ||||||||||||||||||||||
| Anti-virus Management for Servers |
||||||||||||||||||||||||||
| 125. | Apply AV software upgrades | X | X | X | ||||||||||||||||||||||
| Major Incident Management |
||||||||||||||||||||||||||
| 126. | Assess severity of outages to initiate major incident management process, is appropriate | X | X | X | ||||||||||||||||||||||
| 127. | Lead the incident management process | X | X | X | ||||||||||||||||||||||
| 128. | Notify major incident manager | X | X | X | ||||||||||||||||||||||
| Operating System Administration |
||||||||||||||||||||||||||
| 129. | Determine/Define initial optimal performance settings for O/S parameters (for new applications) | X | X | X | ||||||||||||||||||||||
| 130. | Manage and configure optimal performance settings for O/S parameters | X | X | X | ||||||||||||||||||||||
| 131. | Monitor performance adjustments for impact on the application | X | X | X | ||||||||||||||||||||||
| 132. | Define and document OS maintenance plan | X | X | X | ||||||||||||||||||||||
| 133. | Manage O/S kernel parameters | X | X | X | ||||||||||||||||||||||
| 134. | Troubleshoot O/S problems and work with Supplier to resolve O/S issues | X | X | X | ||||||||||||||||||||||
| 135. | Perform O/S Upgrades | X | X | X | ||||||||||||||||||||||
| 136. | Create file systems and/or logical volumes | X | X | X | ||||||||||||||||||||||
| 137. | Define startup/shutdown procedures for O/S and other non-O/S software | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 10 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Server Support Services and Related LS&Co. Responsibilities | Supplier | LS&Co. | ||||||||||||||||||||||||
| Server Standards and Architecture | LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 138. | Review and approve startup/shutdown procedures for O/S and other non-O/S software | X | X | X | ||||||||||||||||||||||
| 139. | Perform scheduled startup/shutdown of O/S, Hardware, and other non-O/S software | X | X | X | ||||||||||||||||||||||
| 140. | Perform ad-hoc startup/shutdown | X | X | X | ||||||||||||||||||||||
| 141. | System Load Test including Execution and Technical Analysis | X | X | X | ||||||||||||||||||||||
| 142. | Manage and Test of OS, BIOS and Firmware Patch and Updates; with LS&Co. approval on software version | X | X | X | ||||||||||||||||||||||
| 143. | Restart the Hardware and O/S after Failure | X | X | X | ||||||||||||||||||||||
| 144. | Manage User Accounts and Groups (AD and local) | X | X | X | ||||||||||||||||||||||
| 145. | Restart and notification after failure of applications | X | X | X | ||||||||||||||||||||||
| 146. | Maintain Service Packs, Firmware, and Device Drivers at N-1 levels. | X | X | X | ||||||||||||||||||||||
| VMWare Host Management |
||||||||||||||||||||||||||
| 147. | Data store administration and management | X | X | X | ||||||||||||||||||||||
| 148. | VLAN administration and management | X | X | X | ||||||||||||||||||||||
| 149. | Maintain Host health | X | X | X | ||||||||||||||||||||||
| 150. | Perform migrations to/from clusters as necessary to support physical-virtual and virtual-virtual migrations | X | X | X | ||||||||||||||||||||||
| 151. | Incident, Problem, Change, and Configuration Management | X | X | X | ||||||||||||||||||||||
| 152. | Deploy new ESX hosts | X | X | X | ||||||||||||||||||||||
| 153. | Create new VM instances within host | X | X | X | ||||||||||||||||||||||
| 154. | Resize VM Resources on VM instances [user VMs / user requests, vCops reporting] | X | X | X | ||||||||||||||||||||||
| 155. | Migrate VMs across servers | X | X | X | ||||||||||||||||||||||
| 156. | Configure VMs with storage and back-ups | X | X | X | ||||||||||||||||||||||
| Failover Testing and Management |
||||||||||||||||||||||||||
| 157. | Develop & Define failover / high availability model for systems | X | X | X | ||||||||||||||||||||||
| 158. | Support failover / high availability model for systems | X | X | X | ||||||||||||||||||||||
| 159. | Create schedule for failover testing | X | X | X | ||||||||||||||||||||||
| 160. | Coordinate and support failover tests | X | X | X | ||||||||||||||||||||||
| 161. | Report on success or failure of failover testing | X | X | X | ||||||||||||||||||||||
| 162. | Correct configuration issues for high availability systems | X | X | X | ||||||||||||||||||||||
| Infrastructure Tools / Misc. |
||||||||||||||||||||||||||
| 163. | OS and server software package creation, testing, and deployments | X | X | X | ||||||||||||||||||||||
| 164. | Provide temporary access or oversight to application teams for purposes of SW troubleshooting, problem remediation, and installations | X | X | X | ||||||||||||||||||||||
| 4. | BATCH JOB SCHEDULING & MANAGEMENT |
Supplier Batch & Production Job Scheduling comprises of all the activities pertaining to running of jobs as per pre-defined schedules and ensuring that all the scheduled jobs are completed within the defined timelines. Features of these services are as provided below:
| • | Monitoring batch job runs |
| • | Logging of incidents |
| • | Monitoring Job Failure only for Critical Applications (other job failures are managed by respective application teams) |
| • | Performing restart as per Standard operating procedures for job failures related to critical Applications |
| • | Notification and escalation to higher levels of support |
| • | Knowledge base maintenance and quality assurance initiatives |
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 11 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| • | The Batch Job Integrators will liaise with customer application teams to define business requirements for Enterprise Job scheduling and associated technical requirements for the Schedulers. Once the business requirements have been defined, the Scheduler will schedule the job in the tools i.e. Tivoli Workload Scheduler. |
| • | Batch job related tickets will be handled based on the assigned priority. |
The following table illustrates some of the indicative tasks and their owners for all job scheduling activities. This table is only a sample and will be fine-tuned based on the individual customer requirements and delivery model.
| Principal Activity | Supplier | LS&Co. | ||||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||||
| Infrastructure and Application Monitoring |
||||||||||||||||||||||||||
| 1. | Monitoring of Batch Jobs on LS&Co. systems | X | X | X | ||||||||||||||||||||||
| 2. | Running Jobs on Adhoc Basis (Unscheduled) | X | X | X | ||||||||||||||||||||||
| 3. | Killing / Re-Running of Jobs as per customer request | X | X | X | ||||||||||||||||||||||
| 4. | Scheduling of New Jobs / Modifying existing Jobs | X | X | X | ||||||||||||||||||||||
| 5. | Batch Scheduling Tool installation | X | X | X | ||||||||||||||||||||||
| 6. | Migration from Chronological to Batch Scheduling Tool | X | X | X | ||||||||||||||||||||||
| 7. | Job Failure Debugging for Infrastructure related jobs | X | X | X | ||||||||||||||||||||||
| 8. | Scripting / Automation of Minor Tasks | X | X | X | ||||||||||||||||||||||
| 9. | Installing Batch Scheduling Agent | X | X | X | ||||||||||||||||||||||
| 10. | Batch Scheduling Tool Configuration | X | X | X | ||||||||||||||||||||||
| 11. | Performance Management for Batch Scheduling | X | X | X | ||||||||||||||||||||||
| 12. | Perform software upgrades for scheduling tool (IBM TWS) | X | X | X | ||||||||||||||||||||||
| 13. | Patching on Batch Scheduling applications | X | X | X | ||||||||||||||||||||||
| 14. | Scripting / Automation of Major/ Complex Tasks | X | X | X | ||||||||||||||||||||||
| 15. | Recovery of Batch Scheduling Servers & Schedules from failure | X | X | X | ||||||||||||||||||||||
| 16. | Integration of Batch monitoring tools for auto ticketing. Support from LS&Co. would be required for any configuration changes to be done in Service Now for this integration | X | X | X | X | X | X | |||||||||||||||||||
| 17. | Planning and Implementing Security for Batch Scheduling Tools | X | X | X | ||||||||||||||||||||||
| 18. | Designing and Architecting Batch Scheduling Solution | X | X | X | ||||||||||||||||||||||
| 19. | Planning Architectural Changes | X | X | X | ||||||||||||||||||||||
| 20. | Monitoring of Batch Jobs on LS&Co. systems | X | X | X | ||||||||||||||||||||||
| 21. | Running Jobs on Adhoc Basis (Unscheduled) | X | X | X | ||||||||||||||||||||||
| 22. | Killing / Re-Running of Jobs | X | X | X | ||||||||||||||||||||||
| 23. | Scheduling of New Jobs / Modifying existing Jobs | |||||||||||||||||||||||||
| 24. | Batch Scheduling Tool Installation | X | X | X | ||||||||||||||||||||||
| 25. | Migration from Chronological to Batch Scheduling Tool | X | X | X | ||||||||||||||||||||||
| 26. | Job Failure Debugging | X | X | X | ||||||||||||||||||||||
| 27. | Scripting / Automation of Minor Tasks | X | X | X | ||||||||||||||||||||||
| 28. | Remove/Delete jobs from the schedule upon request. | X | X | X | ||||||||||||||||||||||
| 29. | Execute special month end/year end processing as per standard process. | X | X | X | ||||||||||||||||||||||
| 30. | Manage scheduling changes to support daylight savings time changes | X | X | X | ||||||||||||||||||||||
| 31. | Create, maintain security within scheduling systems. | X | X | X | ||||||||||||||||||||||
| 32. | Request accounts as required to execute batch jobs | X | X | X | ||||||||||||||||||||||
| 33. | Create, Maintain documentation for scheduling including - overall landscape - scheduling systems - Job intra-relationships - Job definitions - Job runtime details |
X | X | X | ||||||||||||||||||||||
| 34. | Maintain & Report license inventory for scheduling applications using existing LS&Co. Tool set or process | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 12 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity | Supplier | LS&Co. | ||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 35. | Coordinate with Suppliers on maintenance renewals. | X | X | X | ||||||||||
| 36. | Design & Implement solutions to minimize licensing requirements. | X | X | X | ||||||||||
| 37. | Work with LS&Co. leadership prior to implementing new solutions that could impact license counts. | X | X | X | ||||||||||
| 38. | Maintain monitoring thresholds and overrides | X | X | X | ||||||||||
| 39. | Migrate scheduling agents as necessary to support infrastructure or application server changes | X | X | X | ||||||||||
| 40. | Restart batch schedule as required to support unplanned system outages. Must have knowledge of job dependencies and intra-relationships. | X | X | X | ||||||||||
| 41. | Support TWS job modifications as required supporting planned system maintenance. | X | X | X | ||||||||||
| 42. | Modify jobs and schedules. | X | X | X | ||||||||||
| 43. | Manage daylight savings times job schedule changes | X | X | X | ||||||||||
| 5. | STORAGE & DATA MANAGEMENT SERVICES |
Storage and data management Services include but are not limited to activities associated with the provisioning and day-to-day management of the Server storage and data environment (e.g., direct access storage devices (DASD), redundant array of independent disks (RAID), storage area network (SAN), Network-attached storage (NAS), tape and optical), providing a stable supporting infrastructure and effectively and efficiently performing procedures so that the Services meet or exceed the Performance Standards. In addition, the following table describes Storage and Data Management Services that Provider will perform, as well as the related LS&Co. Responsibilities.
| Storage and Data Management Services and Related LS&Co. responsibilities |
Supplier | LS&Co. | ||||||||||||||||||||||||
| Storage Architecture and Standards |
LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 1. | Storage Area Network (SAN) requirements and design, including topology ([****]*&), Hardware & software selection | X | X | X | ||||||||||||||||||||||
| 2. | Develop, document, publish and maintain LS&Co. Storage Technology Reference Architectures | X | X | X | ||||||||||||||||||||||
| 3. | Develop, document, publish and maintain LS&Co. Storage Technology Roadmaps | X | X | X | ||||||||||||||||||||||
| 4. | Ensure technology standards are consistent with approved LS&Co. enterprise architectures | X | X | X | ||||||||||||||||||||||
| 5. | Define Storage Area Network (SAN) implementation & configuration guidelines (HW & SW) | X | X | X | ||||||||||||||||||||||
| 6. | Participate in, and recommend storage architecture and standards | X | X | X | ||||||||||||||||||||||
| 7. | Review and approve Storage Area Network (SAN) implementation and configuration guidelines (HW & SW) | X | X | X | ||||||||||||||||||||||
| 8. | Define security hardening and access standards for storage infrastructure | X | X | X | ||||||||||||||||||||||
| 9. | Maintain documentation and implementation standards | X | X | X | ||||||||||||||||||||||
| 10. | Review and approve implementation standards | X | X | X | ||||||||||||||||||||||
| 11. | Ensure implementation standards are consistent with approved technology standards | X | X | X | ||||||||||||||||||||||
| 12. | Ensure adherence to standards and perform remediation | X | X | X | ||||||||||||||||||||||
| 13. | Manage exceptions and/or changes to standards | X | X | X | ||||||||||||||||||||||
| 14. | Review and approve exceptions to technology standards | X | X | X | ||||||||||||||||||||||
| Life Cycle Management |
||||||||||||||||||||||||||
| 15. | Determine asset (hardware and software) replacement cycle | X | X | X | ||||||||||||||||||||||
| 16. | Develop and review the criteria for determining replacement of assets | X | X | X | ||||||||||||||||||||||
| 17. | Coordinate, manage, and execute migrations and other associated tasks to support replacement of assets | X | X | X | ||||||||||||||||||||||
| 18. | Identify recurring equipment problems to enable refresh planning process | X | X | X | ||||||||||||||||||||||
| 19. | Identify and document migration requirements from old to new equipment | X | X | X | ||||||||||||||||||||||
| 20. | Recommend asset replacement and disposal process | X | X | X | ||||||||||||||||||||||
| 21. | Supplier will perform all the necessary activities to prepare Storage devices for decommission and disposal and coordinate with LS&Co. Supplier for the asset disposal | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 13 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Storage and Data Management Services and Related LS&Co. responsibilities |
Supplier | LS&Co. | ||||||||||||||||||||||||
| Storage Architecture and Standards |
LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 22. | Provide the Supplier for physical asset disposal | X | X | X | ||||||||||||||||||||||
| 23. | Recommend appropriate third party hardware/software maintenance strategy | X | X | |||||||||||||||||||||||
| 24. | Establish/estimate/manage total life cycle cost of device | X | X | X | ||||||||||||||||||||||
| 25. | Evaluate new products for consolidation into standards | X | X | X | ||||||||||||||||||||||
| 26. | Advise of service & performance enhancements available through new products or upgrades | X | X | X | ||||||||||||||||||||||
| 27. | Periodic lifecycle strategy review (aligned with overall strategy), including but not limited to review of currency, minimal acceptable targets, platform direction, etc. | X | X | X | ||||||||||||||||||||||
| 28. | Review and approve the recommendations of the periodic lifecycle strategy reviews | X | X | X | ||||||||||||||||||||||
| 29. | Conduct quarterly periodic environment health reviews (including but not limited to currency of the assets) | X | X | X | ||||||||||||||||||||||
| 30. | Maintain SW/code levels at N-1 levels | X | X | X | ||||||||||||||||||||||
| Storage Monitoring and Reporting |
||||||||||||||||||||||||||
| 31. | Define storage monitoring conditions, correlation rules, alerting thresholds, and notification/escalations procedures | X | X | X | ||||||||||||||||||||||
| 32. | Review and approve storage monitoring conditions, correlation rules, alerting thresholds, and notification/escalations procedures | X | X | X | ||||||||||||||||||||||
| 33. | Provide proactive monitoring and failure detection of storage environment, including hardware, capacity, data availability and performance, basic SAN fabric Monitoring, Performance Monitoring etc. | X | X | X | ||||||||||||||||||||||
| 34. | Respond to automatic paging associated with predetermined events | X | X | X | ||||||||||||||||||||||
| 35. | Installation, integration and on-going maintenance of storage infrastructure monitoring tools with the LS&Co. Enterprise Monitoring Framework | X | X | X | ||||||||||||||||||||||
| 36. | Recommend enhancements to improve the monitoring solution based on day to day observation and problem incidents experienced | X | X | X | ||||||||||||||||||||||
| 37. | Resolve storage environment problems | X | X | X | ||||||||||||||||||||||
| 38. | Instrument new system monitoring for problem incidents and non-impacting events (i.e. near misses) undetected by the monitoring service | X | X | X | ||||||||||||||||||||||
| 39. | Recommend changes to storage configurations when determined necessary | X | X | X | ||||||||||||||||||||||
| 40. | Attend weekly CAB meeting to represent all change/task assignments | X | X | X | ||||||||||||||||||||||
| 41. | Provide notification of critical system monitoring events | X | X | X | ||||||||||||||||||||||
| 42. | Provide recovery assistance for applications | X | X | X | ||||||||||||||||||||||
| 43. | Engage technology Suppliers for problem and incident resolution, including opening tickets as required | X | X | X | ||||||||||||||||||||||
| 44. | Maintain 24x7 on-call schedule and provide 24x7 on-call support for escalation | X | X | X | ||||||||||||||||||||||
| 45. | Evaluate and pilot monitoring technologies | X | X | X | ||||||||||||||||||||||
| 46. | Implement monitoring technologies | X | X | X | ||||||||||||||||||||||
| 47. | Operate monitoring technologies within the LS&Co. Support processes | X | X | X | ||||||||||||||||||||||
| 48. | Monitor backups and correct any abends | X | X | X | ||||||||||||||||||||||
| 49. | Monitor server side data error logs | X | X | X | ||||||||||||||||||||||
| 50. | Report on storage configuration & usage on a per system, application or per user basis (applies to disk and tape storage) | X | X | X | ||||||||||||||||||||||
| Storage Administration |
||||||||||||||||||||||||||
| 51. | Troubleshooting and Ticket Handling | X | X | X | ||||||||||||||||||||||
| 52. | LUN/RAID management | X | X | X | ||||||||||||||||||||||
| 53. | Fabric Zone Management | X | X | X | ||||||||||||||||||||||
| 54. | Snapshot Management (Array, VMware, etc.) | X | X | X | ||||||||||||||||||||||
| 55. | HBA Configuration and decommissioning | X | X | X | ||||||||||||||||||||||
| 56. | Management of all storage devices (Data Archive devices, Array, NAS, Switches, etc.) | X | X | X | ||||||||||||||||||||||
| 57. | Populate and maintain LS&Co. owned Knowledge Base | X | X | X | ||||||||||||||||||||||
| 58. | Create and maintain operational process documentation | X | X | X | ||||||||||||||||||||||
| Performance Tuning |
||||||||||||||||||||||||||
| 59. | Define performance indicators and monitor performance against these indicators | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 14 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Storage and Data Management Services and Related LS&Co. responsibilities |
Supplier | LS&Co. | ||||||||||||||||||||||||
| Storage Architecture and Standards |
LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 60. | Establish baselines and repository of historical metrics for performance indicators | X | X | X | ||||||||||||||||||||||
| 61. | Identify source and/or destination of abnormal I/O or throughput on storage subsystems, notify LS&Co. and resolve the issue through problem management | X | X | X | ||||||||||||||||||||||
| 62. | Troubleshoot, analyze and recommend changes based on performance against thresholds | X | X | X | ||||||||||||||||||||||
| 63. | Ensure optimal system performance | X | X | X | ||||||||||||||||||||||
| 64. | Review traffic volumes and patterns | X | X | X | ||||||||||||||||||||||
| 65. | Scheduled and ad-hoc storage health checks including remediation | X | X | X | ||||||||||||||||||||||
| 66. | Advise of required or recommended system configuration changes | X | X | X | ||||||||||||||||||||||
| 67. | Advise of performance enhancements available through new products or upgrades | X | X | X | ||||||||||||||||||||||
| 68. | Provide regular ad-hoc performance reporting, including historical data reporting and trending, as well as direct access to reporting tools | X | X | X | ||||||||||||||||||||||
| 69. | Perform comparative analysis of performance data in support of configuration recommendations | X | X | X | ||||||||||||||||||||||
| 70. | Install, configure and maintain any required performance management tools | X | X | X | ||||||||||||||||||||||
| Storage Optimization |
||||||||||||||||||||||||||
| 71. | Proactively identify opportunities for storage optimization | X | X | X | ||||||||||||||||||||||
| 72. | Proactively make recommendations on identified opportunities | X | X | X | ||||||||||||||||||||||
| 73. | Provide monthly metric reports to indicate health and performance. Remediate as necessary. | X | X | X | ||||||||||||||||||||||
| Storage Adds, Moves, Changes, Redeployments |
||||||||||||||||||||||||||
| 74. | Coordinate move, add, change, redeployment, installation requests, within approved change windows, such as Storage Arrays, switches and capacity upgrades | X | X | X | ||||||||||||||||||||||
| 75. | Coordinate the preparation of the facility prior to the installation, move or redeployment of an asset | X | X | X | ||||||||||||||||||||||
| 76. | Coordinate with hardware/software Suppliers as required to complete build process | X | X | X | ||||||||||||||||||||||
| 77. | Perform necessary backups of data files prior to adds/moves/ changes | X | X | X | ||||||||||||||||||||||
| 78. | Schedule work activities to minimize impact to business operations | X | X | X | ||||||||||||||||||||||
| 79. | Communicate any additional requirements to support the move/add/change | X | X | X | ||||||||||||||||||||||
| Storage Hardware Maintenance |
||||||||||||||||||||||||||
| 80. | Coordinate onsite / dispatch by Supplier technicians hardware maintenance service provider to perform storage hardware maintenance services as needed | X | X | X | ||||||||||||||||||||||
| 81. | Notify LS&Co. facilities of planned site visits as needed | X | X | X | ||||||||||||||||||||||
| 82. | Coordinate warranty maintenance and replacements with third parties when applicable | X | X | X | ||||||||||||||||||||||
| 83. | Perform manufacturer prescribed preventive maintenance | X | X | X | ||||||||||||||||||||||
| 84. | Provide sufficient and securable cabinets to store reference material and spare parts used for servicing on LS&Co. premises. | X | X | X | ||||||||||||||||||||||
| 85. | Coordinate hardware troubleshooting | X | X | X | ||||||||||||||||||||||
| 86. | Coordinate in-scope hardware repair | X | X | X | ||||||||||||||||||||||
| 87. | Obtain firmware and software fixes | X | X | X | ||||||||||||||||||||||
| 88. | Implement firmware and software fixes | X | X | X | ||||||||||||||||||||||
| 89. | Maintain and coordinate adequate spare parts inventories to perform storage hardware maintenance | X | X | X | ||||||||||||||||||||||
| 90. | Abide by Original Equipment Manufacturer (OEM) guidelines | X | X | X | ||||||||||||||||||||||
| 91. | Coordination of planned power maintenance activities | X | X | X | ||||||||||||||||||||||
| 92. | Backup data and configurations, as required, prior to maintenance services | X | X | X | ||||||||||||||||||||||
| 93. | Apply software fixes, updates and patches for the storage products and operational tools | X | X | X | ||||||||||||||||||||||
| 94. | Provide technical product support for storage systems hardware and software | X | X | X | ||||||||||||||||||||||
| Configuration Management |
||||||||||||||||||||||||||
| 95. | Document, maintain and execute configuration management processes and ensure they are consistently followed | X | X | X | ||||||||||||||||||||||
| 96. | Review and approve configuration management processes | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 15 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Storage and Data Management Services and Related LS&Co. responsibilities |
Supplier | LS&Co. | ||||||||||||||||||||||||
| Storage Architecture and Standards |
LSA | LSE | AMA | LSA | LSE | AMA | ||||||||||||||||||||
| 97. | Maintain storage system configurations documentation | X | X | X | ||||||||||||||||||||||
| 98. | Configure Virtual SANs, Zones and LUNs | X | X | X | ||||||||||||||||||||||
| 99. | Define configuration items to be captured in Documentation/CMDB | X | X | X | ||||||||||||||||||||||
| 100. | Continually update and maintain the Documentation/CMDB for all storage-related hardware and software | X | X | X | ||||||||||||||||||||||
| 101. | Provide an integrated change and configuration management plan/process—interface control for change, release and configuration management | X | X | X | ||||||||||||||||||||||
| 102. | Review and approve change and configuration management plan/process | X | X | X | ||||||||||||||||||||||
| 103. | Provide adequate configuration control in all areas | X | X | X | ||||||||||||||||||||||
| 104. | Support a configuration/asset management database (tools, technology and processes) | X | X | X | ||||||||||||||||||||||
| Failover Testing and Management |
||||||||||||||||||||||||||
| 105. | Design failover/high availability architecture | X | X | X | ||||||||||||||||||||||
| 106. | Implement failover / high availability model for systems | X | X | X | ||||||||||||||||||||||
| 107. | Create schedule for failover testing and execute failover testing working with other service lines as needed | X | X | X | ||||||||||||||||||||||
| 108. | Support failover tests | X | X | X | ||||||||||||||||||||||
| 109. | Report on success or failure of failover testing | X | X | X | ||||||||||||||||||||||
| 110. | Correct configuration issues for high availability systems | X | X | X | ||||||||||||||||||||||
| 111. | Define and develop storage replication models | X | X | X | ||||||||||||||||||||||
| 112. | Review and approve storage replication models | X | X | X | ||||||||||||||||||||||
| 113. | Implement storage replication models | X | X | X | ||||||||||||||||||||||
| 114. | Monitor storage replication processes | X | X | X | ||||||||||||||||||||||
| 115. | Correct storage replication issues | X | X | X | ||||||||||||||||||||||
| 6. | DISASTER RECOVERY SERVICES |
| Disaster Recovery Services | Supplier | LS&Co. | ||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 1. | Maintain field site recovery bins at Data centers & Campus Locations with necessary utilities to be able to recover systems. Recovery bins typically include the following (OS media, password recovery media) Also Supplier will create a DR bins and send it to locations where LS&Co. admin/staff can help in storing/maintaining it | X | X | X | ||||||||||
| 2. | Develop DR strategy | X | X | X | ||||||||||
| 3. | Develop and maintain comprehensive DR plan as it relates to all disciplines in this SOW | X | X | X | ||||||||||
| 4. | Review and approve DR plan | X | X | X | ||||||||||
| 5. | Maintain DR environment | X | X | X | ||||||||||
| 6. | Coordinate DR testing | X | X | X | ||||||||||
| 7. | Perform DR testing | X | X | X | ||||||||||
| 8. | Execute DR Procedures | X | X | X | ||||||||||
| 9. | Provide backup, business continuity and disaster recovery procedures | X | X | X | ||||||||||
| 10. | Execute back-up, business continuity and disaster recovery procedures | X | X | X | ||||||||||
| 11. | Provide proactive reporting, analysis and solutions | X | X | X | ||||||||||
| 12. | Build out DR environment. | X | X | X | ||||||||||
| 13. | Develop & Maintain DR test procedures | X | X | X | ||||||||||
| 7. | BACKUP, RECOVERY, RETENTION & ARCHIVAL MANAGEMENT |
Backup, Recovery, Retention & Archival Services include but are not limited to activities associated with the day-to-day management of the backup and archival environment (e.g., Backup Infrastructure (Tape drives, Disk, De-dup appliance, archival appliance, SAN infrastructure), providing a stable supporting infrastructure and effectively and efficiently performing procedures so that the Services meet or exceed the Performance Standards. In addition, the following table describes backup, recovery, retention & archival management Services that Provider will perform, as well as the related LS&Co. Responsibilities.
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 16 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||
| LSA | LSE | AMA | LSA |
LSE |
AMA | |||||||||||||||
| Backup & Restore |
||||||||||||||||||||
| 1. | Manage and respond to litigation / e-discovery requests | X | X | X | ||||||||||||||||
| 2. | Monitoring of Backup and Restores | X | X | X | ||||||||||||||||
| 3. | Monitoring of Drives / Robots | X | X | X | ||||||||||||||||
| 4. | Performing Adhoc Backups | X | X | X | ||||||||||||||||
| 5. | Inserting/ Ejecting Media | X | X | X | ||||||||||||||||
| 6. | Planning and maintaining appropriate levels of Scratch Media | X | X | X | ||||||||||||||||
| 7. | Assist in developing, revising, documenting and implementing Magnetic tape library procedures | X | X | X | ||||||||||||||||
| 8. | Scheduling of New Backups/ Modifying existing Jobs | X | X | X | ||||||||||||||||
| 9. | Performing Restores | X | X | X | ||||||||||||||||
| 10. | Backup agents Installation | X | X | X | ||||||||||||||||
| 11. | Debugging Backup Failures | X | X | X | ||||||||||||||||
| 12. | Scripting / Automation of Minor Tasks | X | X | X | ||||||||||||||||
| 13. | Identify tape-related production problems, fix them | X | X | X | ||||||||||||||||
| 14. | Installing Agents, to include upgrades/repair | X | X | X | ||||||||||||||||
| 15. | Planning Backup Policies and Storage Units, Pools | X | X | X | ||||||||||||||||
| 16. | Tape Library Configuration and Administration | X | X | X | ||||||||||||||||
| 17. | Online Backups for Databases, Mail Servers etc. | X | X | X | ||||||||||||||||
| 18. | Backup Tool Configurations | X | X | X | ||||||||||||||||
| 19. | Performance Management for Backup/Restore | X | X | X | ||||||||||||||||
| 20. | Maintain backup schedule configuration items in the Configuration Management Database. | X | X | X | ||||||||||||||||
| 21. | Optimizing Media Consumption | X | X | X | ||||||||||||||||
| 22. | Upgrading Versions | X | X | X | ||||||||||||||||
| 23. | Patching on Backup/Restore Tool | X | X | X | ||||||||||||||||
| 24. | Scripting / Automation of Major/ Complex Tasks | X | X | X | ||||||||||||||||
| 25. | Recovery of Backup/Restore Servers from failure | X | X | X | ||||||||||||||||
| 26. | Restore from Legacy archive tape media using EMC Legato | X | ||||||||||||||||||
| 27. | Integrating with other tools: Enterprise Management Systems | X | X | X | ||||||||||||||||
| 28. | Planning and Implementing Security for Backup & Restore Tools | X | X | X | ||||||||||||||||
| 29. | Monitoring of Backup and Restores | X | X | X | ||||||||||||||||
| 30. | Monitoring and managing data replication | X | X | X | ||||||||||||||||
| 31. | Monitoring and managing data archive to include software and hardware | X | X | X | ||||||||||||||||
| 32. | Monitoring of Drives / Robots | X | X | X | ||||||||||||||||
| Backup Management |
||||||||||||||||||||
| 33. | Manual Triggering of backups which are not triggered automatically | X | X | X | ||||||||||||||||
| 34. | Trouble Shooting for the failure jobs | X | X | X | ||||||||||||||||
| 35. | Resubmitting the jobs depending upon error | X | X | X | ||||||||||||||||
| 36. | Ensuring the Jobs Completion | X | X | X | ||||||||||||||||
| 37. | Scheduling Backup jobs | X | X | X | ||||||||||||||||
| Restoration Management |
||||||||||||||||||||
| 38. | Performing Restorations from backups | X | X | X | ||||||||||||||||
| 39. | Performing Disaster recovery process | X | X | X | ||||||||||||||||
| Media Management |
||||||||||||||||||||
| 40. | Tape Capacity Monitoring | X | X | X | ||||||||||||||||
| 41. | Replacing bad and damaged tapes in the tape library | X | X | X | ||||||||||||||||
| 42. | Performing Tape inventory before any backup | X | X | X | ||||||||||||||||
| 43. | Loading and unloading tapes in the tape library | X | X | X | ||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 17 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||
| LSA | LSE | AMA | LSA |
LSE |
AMA | |||||||||||||||
| 44. | Relocating the tapes to offsite location | X | X | X | ||||||||||||||||
| 45. | Prepare tapes for daily offsite transport | X | X | X | ||||||||||||||||
| 46. | Supplier will coordinate with existing LS&Co. Tape vaulting Suppliers for tape movement to vaulting locations. | X | X | X | ||||||||||||||||
| 47. | Availability of tape vaulting Suppliers at locations where tape vaulting is required and contracting signing with 3rd party Suppliers lies with LS&Co. | X | X | X | ||||||||||||||||
| 48. | Maintaining tape and library inventory | X | X | X | ||||||||||||||||
| Tape Device Management |
||||||||||||||||||||
| 49. | Checking connectivity between server, client, Storage etc. | X | X | X | ||||||||||||||||
| 50. | Installing new Tape Library | X | X | X | ||||||||||||||||
| 51. | Coordinate with Supplier for H/W replacements | X | X | X | ||||||||||||||||
| 52. | Coordinate with Supplier for the Firmware up gradation | X | X | X | ||||||||||||||||
| 53. | Reconfiguration of Tape library | X | X | X | ||||||||||||||||
| Backup Server Management |
||||||||||||||||||||
| 54. | Installing new Backup Servers | X | X | X | ||||||||||||||||
| 55. | Installing new Backup HW appliances | X | X | X | ||||||||||||||||
| 56. | Reconfiguration of Backup server and/or backup appliance | X | X | X | ||||||||||||||||
| 57. | Backup Integration & Implementation | X | X | X | ||||||||||||||||
| Backup Monitoring |
||||||||||||||||||||
| 58. | Monitoring the Jobs | X | X | X | ||||||||||||||||
| 59. | Creating daily, weekly, monthly and yearly backup report | X | X | X | ||||||||||||||||
| 60. | Monitoring duplication process and catalog backup | X | X | X | ||||||||||||||||
| 61. | Metrics reporting (consecutive failure report, Top 10 list, success rates, dedupe rate, job counts, tape consumption, tape inventory etc.) | X | X | X | ||||||||||||||||
| 62. | Populate and maintain LS&Co. owned Knowledge Base | X | X | X | ||||||||||||||||
| 63. | Create and maintain operational process documentation | X | X | X | ||||||||||||||||
| 8. | DATABASE MONITORING & MANAGEMENT |
Database management Services includes activities associated with the management of LS&Co. Database instances providing a stable supporting infrastructure and effectively and efficiently performing procedures so that the Services meet or exceed the Performance Standards. In addition, the following table describes Database Management Services that Supplier will perform, as well as the related LS&Co. Responsibilities.
| Database Management Services and Related LS&Co. Responsibilities |
Supplier | LS&Co. | ||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 1. | Define database standards and architecture | X | X | X | ||||||||||
| 2. | Recommend database standards and architecture | X | X | X | ||||||||||
| 3. | Maintain database standards and architecture | X | X | X | ||||||||||
| 4. | Participate in database design and review | X | X | X | ||||||||||
| 5. | Define requirements for physical database consolidation | X | X | X | ||||||||||
| 6. | Execute physical database consolidation per LS&Co. requirements | X | X | X | ||||||||||
| 7. | Participate in, and recommend, backup and recovery procedures (rows 7 to 12) | X | X | X | ||||||||||
| 8. | Define and implement LS&Co. requirements for database backup and recovery | X | X | X | ||||||||||
| 9. | Implement LS&Co. requirements for application database disaster recovery | X | X | X | ||||||||||
| 10. | Define requirements for specialized backup services such as backup to disk, virtual tape backups | X | X | X | ||||||||||
| 11. | Define & Implement database backup data requiring long term retention and for data requiring archiving | X | X | X | X | X | X | |||||||
| 12. | Define requirements for specialized storage services related to databases | X | X | X | ||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 18 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Database Management Services and Related LS&Co. Responsibilities |
Supplier | LS&Co. | ||||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||||
| 13. | Define requirements for different storage tiers for new or additional database requests | X | X | X | ||||||||||||||||||||||
| 14. | Define initial network (LAN and/or WAN) bandwidth requirements for database | X | X | X | ||||||||||||||||||||||
| 15. | Review and approve requirements documents for item nos. 2, 5-12 | X | X | X | ||||||||||||||||||||||
| 16. | Define performance requirements for different databases | X | X | X | ||||||||||||||||||||||
| 17. | Ensure technology standards are consistent with LS&Co. approved architectures | X | X | X | ||||||||||||||||||||||
| 18. | Participate in developing and maintaining implementation standards | X | X | X | ||||||||||||||||||||||
| 19. | Review and approve implementation standards | X | X | X | ||||||||||||||||||||||
| 20. | Document and publish implementation standards | X | X | X | ||||||||||||||||||||||
| 21. | Ensure implementation standards are consistent with approved technology standards | X | X | X | ||||||||||||||||||||||
| 22. | Ensure adherence to standards | X | X | X | ||||||||||||||||||||||
| 23. | Manage exceptions and/or changes to standards | X | X | X | ||||||||||||||||||||||
| 24. | Review and approve exceptions | X | X | X | ||||||||||||||||||||||
| 25. | Document, publish and maintain operational processes to support services | X | X | X | ||||||||||||||||||||||
| 26. | Provide support for advanced database features such as database mirroring, log shipping, Always On, etc. | X | X | X | ||||||||||||||||||||||
| 27. | Install and configure database client tools to support application requirements | X | X | X | ||||||||||||||||||||||
| Capacity Planning |
||||||||||||||||||||||||||
| 28. | Participate in, and recommend, capacity planning | X | X | X | ||||||||||||||||||||||
| 29. | Define key business metrics or indicators that drive database utilization | X | X | X | ||||||||||||||||||||||
| 30. | Identify key system metrics or indicators that drive capacity planning process | X | X | X | ||||||||||||||||||||||
| 31. | Collect capacity and performance data | X | X | X | ||||||||||||||||||||||
| 32. | Regular proactive analysis of capacity and utilization data | X | X | X | ||||||||||||||||||||||
| 33. | Provide exception notification and reporting on an on-going basis | X | X | X | ||||||||||||||||||||||
| 34. | Review and approve exceptions | X | X | X | ||||||||||||||||||||||
| 35. | Prepare and Lead quarterly capacity reviews, covering but not limited to: current period growth, trends, next period forecast, concerns and replenishment recommendations | X | X | X | ||||||||||||||||||||||
| 36. | Define rapid or on-demand capacity provisioning strategy, including methodology for maintaining surplus capacity | X | X | X | ||||||||||||||||||||||
| 37. | Review and approve provisioning strategy | X | X | X | ||||||||||||||||||||||
| 38. | Provide capacity replenishment recommendations in line with quarterly capacity reviews and on-demand provisioning strategy | X | X | X | ||||||||||||||||||||||
| 39. | Provide access to real-time capacity metrics and ad-hoc capacity planning reports | X | X | X | ||||||||||||||||||||||
| 40. | Capacity planning tool selection | X | X | X | ||||||||||||||||||||||
| 41. | Review and approve capacity planning tool selection | X | X | X | ||||||||||||||||||||||
| 42. | Define process for adding additional capacity | X | X | X | ||||||||||||||||||||||
| 43. | Review and approve process for adding capacity | X | X | X | ||||||||||||||||||||||
| 44. | Maintain custom scripts for database maintenance and reporting | X | X | X | ||||||||||||||||||||||
| Operations Management |
||||||||||||||||||||||||||
| 45. | Install, configure, patch and perform minor /major upgrades to databases | X | X | X | ||||||||||||||||||||||
| 46. | Provide Assistance in Load Test | X | X | X | ||||||||||||||||||||||
| 47. | Create tables and indexes per application requirements | X | X | X | ||||||||||||||||||||||
| 48. | Plan, schedule and coordinate with all LS&Co. stakeholders around database patching activities | X | X | X | ||||||||||||||||||||||
| 49. | Monitor, diagnose and resolve database issues related to but not limited to installation, configuration and performance | X | X | X | ||||||||||||||||||||||
| 50. | Suggest implementation of appropriate database management tools across all database instances. | X | X | X | ||||||||||||||||||||||
| LS&Co. – Attachment 2.3.4 – Description of Services – Information Technology Services – Server Operations Center | Page 19 |
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| Database Management Services and Related LS&Co. Responsibilities |
Supplier | LS&Co. | ||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| 51. | Support and execute data export and import requirements | X | X | X | ||||||||||
| 52. | Create copies of data/ databases as requested | X | X | X | ||||||||||
| 53. | Perform database refresh | X | X | X | ||||||||||
| 54. | Create and maintain database links | X | X | X | ||||||||||
| 55. | Plan table space reorganization | X | X | X | ||||||||||
| 56. | Execute table space reorganization | X | X | X | ||||||||||
| 57. | Monitor and manage database space | X | X | X | ||||||||||
| 58. | Maintain database inventory and license utilization | X | X | X | ||||||||||
| 59. | Create and maintain indexes per LS&Co. requirements | X | X | X | ||||||||||
| 60. | Support database hot backups | X | X | X | ||||||||||
| 61. | Create and manage database security and user permissions | X | X | X | ||||||||||
| 62. | Review and approve database security configurations/changes | X | X | X | ||||||||||
| 63. | Create and manage database user ids | X | X | X | ||||||||||
| 64. | Configure and manage database audit profiles | X | X | X | ||||||||||
| 65. | Perform database recovery as needed | X | X | X | ||||||||||
| 66. | Perform database tuning on an ongoing basis | X | X | X | ||||||||||
| 67. | Perform database maintenance per LS&Co. requirements and schedule | X | X | X | ||||||||||
| 68. | Assist application debugging utilizing database logs and traces | X | X | X | ||||||||||
| 69. | Recommend database performance improvement measures on an ongoing basis | X | X | X | ||||||||||
| Database Configuration Management | ||||||||||||||
| 70. | Define standard database configurations to meet LS&Co. various computing environment requirements | X | X | X | ||||||||||
| 71. | Reviews and approve database configuration standards | X | X | X | ||||||||||
| 72. | Maintain documentation of servers and database configurations | X | X | X | ||||||||||
| 73. | Continually update and maintain the documentation/CMDB for additions, changes and redeployments of database hardware and software | X | X | X | ||||||||||
| 74. | Track and identify differences between implemented server configurations and LS&Co. approved configurations (e.g. version control) | X | X | X | ||||||||||
| 75. | Maintain previous working state for database configurations for potential restoration | X | X | X | ||||||||||
| 76. | Configure the database so that applications software is able to perform per service levels | X | X | X | ||||||||||
| 77. | Ensure standards are consistent with approved architectures | X | X | X | ||||||||||
| 78. | Maintain exceptions to standards | X | X | X | ||||||||||
| 79. | Review and approve exceptions to standards | X | X | X | ||||||||||
| 80. | Evaluate any required non-standard products per business requirements | X | X | X | ||||||||||
| 81. | Reviews and approve any non-standards products | X | X | X | ||||||||||
| 82. | Perform database shutdowns and restarts and other maintenance activities as required. | X | X | X | ||||||||||
| 83. | Support data loading in Pre-Prod environments | X | X | X | ||||||||||
| 84. | Populate and maintain LS&Co. owned Knowledge Base | X | X | X | ||||||||||
| 85. | Create and maintain operational process documentation | X | X | X | ||||||||||
| 9. | MIDDLEWARE (WEB) MANAGEMENT & SUPPORT |
Web management Services includes activities associated with the management of LS&Co.’s Web server environments providing a stable supporting infrastructure and effectively and efficiently performing procedures so that the Services meet or exceed the Performance/Availability Standards.
| • | Must have in depth knowledge of the following technologies |
| • | Server Operating Systems (Windows and LINUX) |
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| • | HTTP Server (IIS, Apache and IBM HTTP server) |
| • | Application Server (.NET, Web logic, WebSphere, Tomcat, Jboss) |
| • | Amazon (EC2, S3 Storage, Elastic LB, RDS) |
| • | Akamai Content Delivery Network (DSA, Net storage, EDNS, Content Targeting, Advanced Cache Optimization) |
| • | F5 Big IP Local Traffic Manager |
| Middleware (Web) Management & Support |
Supplier | LS&Co. | ||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||
| Monitoring | ||||||||||||||
| 1. | Web/App Server Monitoring using enterprise tools | X | X | X | ||||||||||
| 2. | Web/App Server Monitoring using existing scripts | X | X | X | ||||||||||
| 3. | Monitoring Connection Pools | X | X | X | ||||||||||
| 4. | Monitoring JMS Queues | X | X | X | ||||||||||
| 5. | Monitoring CPU utilization | X | X | X | ||||||||||
| 6. | Monitoring File Systems used by web/App servers | X | X | X | ||||||||||
| 7. | Monitoring various Web/App server Processes | X | X | X | ||||||||||
| 8. | Monitoring Log files (Access Logs, Error Logs, system Logs) Errors | X | X | X | ||||||||||
| 9. | Event Monitoring | X | X | X | ||||||||||
| 10. | Documented activates (SOP) | X | X | X | ||||||||||
| Xxxxxxxxxxxxxx/Xxxxxxxxxxxxxxx | ||||||||||||||
| 00. | Java/Admin Console Administration | X | X | X | ||||||||||
| 12. | Patch Administration | X | X | X | ||||||||||
| 13. | Log file administration | X | X | X | ||||||||||
| 14. | Web/App server Domain/Instance creation | X | X | X | ||||||||||
| 15. | Web/App server Performance Monitoring | X | X | X | ||||||||||
| 16. | Web/App server Performance Tuning | X | X | X | ||||||||||
| 17. | Deploying Applications | X | X | X | ||||||||||
| 18. | App Server Crash Dump Analysis | X | X | X | ||||||||||
| 19. | DNS management internal/external | X | X | X | ||||||||||
| 10. | PROJECT SUPPORT |
Any Infrastructure led Activity in the above roles & responsibility matrix stated in this Statement of work such as Major upgrades, gathering of new business requirements, migrations, Hardware refresh’s, Evaluation of new tools & technologies would be considered as part of project support. All project work related to business or application demand shall be excluded from this section.
Example of future projects identified by LS&Co.
| 1. | LS&Co. engineering is working on a strategy to simplify our branch office strategies. Under this new model all data would be centralized at regional datacenter locations by implementing VMware and WAN Accelerators to cache data locally in the field sites. Supplier will be expected to lead the implementation and data migrations |
| 2. | Meet with customers to identify requirements, sizing, and costing of new and changes to existing environments (example of a business/application led project) |
| 3. | Implementation of SAP HANA and Sybase IQ |
Projects performed by Supplier will fall into one of the following categories:
| • | Steady State Projects |
| • | Project Pool Hour Projects |
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| • | Major Projects |
| 1. | STEADY STATE PROJECTS |
Steady State Projects are Projects of less than or equal to 40 hours that:
| • | Are capable of being performed by the Steady State Staff (i.e., the Steady State Staff possess the appropriate skillsets to perform the Project); and |
| • | Will not impact Supplier’s ability to meet applicable Service Level Agreements, as mutually agreed by the Parties’ respective Service Tower leads, taking into account the current and planned workload capacity of the applicable Steady State Staff resources). |
| • | The total hours allocated to Steady State Projects in any given month cannot exceed 5% of the then current total monthly Steady State Staff FTE hours allocated for each Service Tower |
Examples of work performed as Steady State Projects are system upgrades, hardware and software refreshes, and equipment installations and modifications across Service Towers. The total hours allocated to Steady State Projects in any given month cannot exceed 5% of the then current total monthly Steady State Staff FTE hours allocated for each Service Tower (the “Steady State Cap”). For example, if there are 20 FTEs comprising the Steady State Staff for SOC Services, the Steady State Cap for the SOC Service Tower for the month would equal 3,200 hours x 5% = 160 (assuming a 4 week month at 40 hours/week). LS&Co. will not receive an invoice credit if the hours used for Steady State Projects for a given month are less than the Steady State Cap.
Steady State Projects are included in the Base Fees and will not incur additional charges. LS&Co. may, in its discretion, allocate Project Pool Hours for the completion of any Steady State Project in excess of the Steady State Cap. LS&Co. may not split a longer duration Project (i.e., a Project in excess of 40 hours) into multiple smaller Projects in order to use up any unused hours for the month.
The prioritization of Steady State Projects will be handled by the Operating Committee as part of the Services Governance between LS&Co. and Supplier If LS&Co. determines that a Steady State Project will take priority over achievement of a Service Level Agreement for a given month, LS&Co. will issue a written Service Level exception to the Service Provider.
The total projects hours available from the steady state resource pool is 1500 hrs./year spread evenly across each month
| 2. | PROJECT POOL HOURS PROJECTS |
Project Pool Hours Projects are Projects greater than 40 hours in duration that are performed by the Project Pool Staff. Project Pool Hours Projects may also include Projects of equal to or less than 40 hours in duration that exceed the Steady State Cap.
These will be further sub-divided into
| a) | Infrastructure led projects |
Supplier will provide the infrastructure Project Pool hours to LS&Co. each year for a 5 year period, based on the Project forecasts provided by LS&Co. Currently this pool constitutes of 12,000 for server/storage, and 4,000 Hours for database projects i.e., a total of 16000 project hour/year that can be leveraged for infrastructure-led projects This Project Pool will be available based on priorities established by LS&Co. and communicated to Service Provider on a weekly basis. Service Provider will provide an estimate of the Project Pool hours required for each Project Pool
Hours Project by Skillset Category for review and approval by LS&Co. LS&Co. will draw down these hours over time, and such use will be reported by Service Provider on a monthly basis.
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Service Provider will initially allocate resources to the Project Pool Staff in accordance with the hours per Skillset Category as agreed below. Any skillset required outside of the Skillset Categories will be made available to LS&Co. outside of the Project Pool, in accordance with the rate card submitted.
Currently the pool is planned to have following resources
| • | Westlake - Infrastructure Architect – 2 |
| • | 1 FTE – Windows skill set |
| • | 1 FTE – Linux / Unix skill set |
| • | India – Project Resource – 5.5 |
| • | Windows and VM Xxxx – 1.5 |
| • | Linux – 1 |
| • | Storage – 1 |
| • | Oracle and SQL – 2 |
| • | Apart from the above 14,560 hrs. annually. As dedicated for only projects, there is an additional 1,500 hrs. annually for projects under SOC support which can be utilized within the steady state resource pool |
| b) | Business/Application-led projects |
This pool is to meet with customers/application teams to identify requirements, sizing, and costing of new and changes to existing environments. Any application-led projects which can be covered within the 16,000 hours/ year mentioned under infrastructure-led projects will not lead to additional cost. However if the demand from the application-led project exceeds the 16,000/year project hours, the same will be performed as a separate project under time and material using the project rate card
| 3. | MAJOR PROJECTS |
Major Projects are Projects that do not meet the conditions for the Steady State Projects or the Project Pool Hours Projects. Major Projects are not included in the Base Charges. For each Major Project requested by LS&Co, Supplier will prepare a proposal based on the requirements and scope of work defined by LS&Co. and will include an estimate of the charges for such Major Project. The Parties will enter into a separate Work Order with respect to any Major Project approved by LS&Co.
11. CONTINUOUS IMPROVEMENT
| • | Supplier will leverage automation to implement self-healing as part of service delivery improvement and will identify and automate 5 items per year to address incidents. LS&Co. engineering will be expanding environment to increase virtualization ratio by 10% year over year. Supplier will be expected to lead the migrations from physical systems in order to meet this goal. We expect to hit 90% by end of 2015, and 100% by end of 2016. |
| • | Supplier will develop a comprehensive on-boarding process to bring new resources up to speed quickly without disruption to LS&Co.’s operations or internal resources. |
| • | Supplier will provide Supplier training to keep skills current. As new/upgrade technologies are implemented Supplier will ensure staff is trained to support |
| • | Assist in developing and updating the long-range, comprehensive plan for LS&Co. Systems, processes, technical architecture and standards. While LS&Co. will be primarily responsible for this plan, the Supplier will serve as a key collaborator. |
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| • | Assist in projecting future volume, technology, and geographic changes that could impact LS&Co. Systems and technical architecture, including any outputs from the Capacity Management, Availability Management and Demand Management Processes. |
| • | Identify & Implement candidates and requirements for the deployment of new technology or the automation of tasks associated with the Services and/or LS&Co. Business processes and Business Services. |
| • | Proactively submit proposals regarding new technology and automation to LS&Co. for its review and approval. |
| • | Proactively seek to automate manual tasks associated with the Services and advise LS&Co. of such opportunities. |
| • | Support LS&Co. in the discussion and presentation of potential new technology product and service offerings to Authorized Users. |
| • | Facilitate and encourage active cross-functional, cross-group, and cross-location coordination and communication related to new technology and automation. |
| • | Proactively identify strategies and approaches for future IT service delivery that the Supplier believes will provide LS&Co. with competitive advantages and that may result in increased efficiency, effectiveness, performance, or cost savings. |
| • | Help to specify the Equipment and Software architecture and standards, and participate in continuously keeping LS&Co. technical architecture current. |
| • | Identify industry and technological trends that may impact LS&Co. plan. |
| • | Identify and track regulatory issues/changes that may impact LS&Co. plan. |
| • | Gather and incorporate the data and lessons learned from the operating Environment that may impact LS&Co. plan. |
| • | Perform trend analysis from the resource consumption data to project future demand that may impact LS&Co. plan. |
| • | Cooperate with LS&Co. in researching and implementing automated tools to improve Service Levels and/or performance of the distributed computing environment (including end-to-end performance associated with the server, networks, and End-User Computing (EUC) environments). Tool selection will be in accordance with LS&Co. standards and technical architecture. |
| • | Annual incident ticket volume per discipline should incur 5% reduction per calendar year. |
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BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.5
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
SERVICE DESK
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| 1. | Introduction |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.
Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
Without limiting Section 3.1 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labeled Supplier).
| 2. | Service Desk Description |
Supplier as a Service Provider to LS&Co. will provide Global Tier 1 IT Service Desk Services to LS&Co. identified Corporate and Retail IT Users.
The following items outline the primary goals for the Global IT Service desk:
| 1) | Listen to the customer’s incident / request. Communicate with them in a manner that the incident / request are understood and will make an attempt to resolve the reported incident / request. |
| 2) | Document the incident/request in the LS&Co. Service Management system, while collecting/validating their data. |
| 3) | For Incidents, refer to the established knowledge base to review solutions for the problem. Check to determine if there’s a known outage / service impact that the customer may be reporting. Work with the customer on the phone to execute the solution. This may include remotely administering their computer, with the customer’s permission. Check with the customer to validate the solution has taken place and that they are satisfied with the solution. |
| 4) | For requests, refer to the established knowledge base to review solutions to satisfy the request. Check with the customer to validate the solution has taken place and that they are satisfied with the solution. |
| 5) | If the customer incident/ request comes in via other methods (i.e. Instant Message, Email, etc.), use Step 3 and execute the same, calling the customer to complete their request or fix their incident. If there’s enough information via the other communication, the solution may be executed before a call is made. |
| 6) | The expectation is that incidents are resolved on first contact, meaning the customer remains on the phone with the technician while the incident is resolved. Escalations to higher levels must take place within 30 minutes of customer contact. |
| 7) | The expectation is that requests are resolved on first contact, meaning the customer remains on the phone with the technician while the request is fulfilled. Escalations to higher levels must take place within 30 minutes of customer contact. |
| 2.1 | HOURS OF COVERAGE |
Service Desk hours of coverage are 24 x 7, 365 days (English)
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| 3. | Scope of Services |
| 3.1 | General Services |
| Account Management |
Supplier | LS&Co. | ||||
| 1 | Provide single point of contact and coordination for LS&Co. IT Incidents, Inquiries and Requests for Service. | X | ||||
| 2 | Manage the day-to-day performance of the Service Desk team members. | X | ||||
| 3 | Responsible for fulfilling Service Level Agreements and overall Service Desk performance. | X | ||||
| 4 | Establish and execute a clear escalation process. | X | ||||
| 5 | Provide recommendations on process improvements. Part of overall continuous improvement program. | X | ||||
| 6 | Proactively review knowledge to ensure accuracy. Validate knowledge accuracy with Service Owners. | X | ||||
| 7 | Manage end-to-end monitoring to ensure incidents are being handled in a timely manner, and fulfillment of requests are handled in a timely manner. Includes ensuring the same for those incidents or requests assigned outside of Level 1. | X | ||||
| 8 | Provide single point of contact and coordination for LS&Co. IT Incidents, Inquiries and Requests for Service. | X | ||||
| 9 | Manage the day-to-day performance of the Service Desk team members. | X | ||||
| 10 |
Responsible for fulfilling Service Level Agreements and overall performance. |
X | ||||
| Communication |
Supplier | LS&Co. | ||||
| 11 | Single contact point through multiple channels; toll-free number, Web Portal, Chat, Email | X | ||||
| 12 | Provide the infrastructure for the call recording, call monitoring and ACD | X | ||||
| 13 | Design & Manage an IVR/ACD process such that LS&Co. defined touch, or voice prompts are implemented, managed and changed as approved by LS&Co. | X | ||||
| 14 | Approve IVR/ACD call prompts and standard messages | X | ||||
| 15 | Provide telecommunications infrastructure to support voice and data communications between Service Desk and end-users. | X | ||||
| 16 | Provide toll free numbers for all in scope countries/locations (where applicable is mutually agreed on between the parties). | X | ||||
| 17 | Provide toll free numbers for LSA – North America and Canada | X | ||||
| 18 | Ensures communication takes place with all parties where responsibility for resolving an Incident is in dispute, to ensure agreement is reached. | X | ||||
| 19 | Issue broadcasts or other notices to provide status updates as required for planned and unplanned events (end-user impact) | X | ||||
| 20 | Notify affected end-users of the progress on their reported Incident or Request | X | ||||
| 21 | Communicate status to requestors of Incident or Request tickets. Set customer expectation in regards to SLA and communicate if agreement will not be met. | X | ||||
| 22 | As a part of the operations if there is any new addition to the support environment for example a new Application or a device, then the Service Desk will inform the relevant groups | X | ||||
Maintain a continuous improvement program. Tied to specific time-bound objectives and results, includes but not limited to the following:
| Continuous Improvement |
Supplier | LS&Co. | ||||
| 23 | Audit performance results & operations monthly. | X | ||||
| 24 | Identify solutions that minimize the need to contact the Service Desk (e.g. additional End-User training, self-help opportunities, root cause analysis). | X | ||||
| 25 | Work with IT Service Desk operational and technical staff to identify solutions that minimize the need to contact the Service Desk | X | ||||
| 26 | Identify and report on all tickets that were not correctly managed. (i.e. Assignment, Cause, Classification, Documentation, Escalation, Prioritization, Routing, etc.) | X |
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| 27 | Ensure first contact ticket resolution accuracy. Are tickets that are being transferred to Level 2 truly not resolvable by first contact? Sample 2% of tickets monthly. | X | ||||
| 28 | Identify opportunities to support the Shift-Left strategy through automation of current services being performed at L1 or identify services being performed at L2/3 that could and should be moved to L1. | X | ||||
| 29 | Audit performance results & operations monthly. | X | ||||
| Customer Satisfaction |
Supplier | LS&Co. | ||||
| 30 | The service desk is responsible for confirming the client is satisfied | X | ||||
| 31 | Verify acceptance of Services by seeking end-user confirmation results and level of satisfaction using established procedures | X | ||||
| 32 | Implement and manage two types customer satisfaction surveys:
• One for service delivery of day to day incidents and requests
• Another to measure overall quality of service delivery. |
X | ||||
| Exception Procedures |
Supplier | LS&Co. | ||||
| 33 | Develop and document exception procedures. | X | ||||
| 34 | Document exception requests in LS&Co. ticketing system. | X | ||||
| 35 | Review and approve exception procedures. | X | ||||
| Incident Management |
Supplier | LS&Co. | ||||
| 36 | Provide a system to record, manage and track all Service Requests, incidents, inquiries and problems and provide named access to the Supplier Service Desk agents | X | ||||
| 37 | Creates an Incident Management Plan to establish an integrated process for identifying, documenting, monitoring, evaluating and controlling all Incidents through the lifecycle of the service and map where Incidents will be referred. | X | ||||
| 38 | Classifies the Incident to determine status, known error matching, priority (impact vs. urgency) and to provide initial support to resolve the Incident where possible. If resolution is not possible perform routing of the Incident to specialist resolver group(s). | X | ||||
| 39 | Assesses, collect and provides detailed analysis (including known Incident matching and approved workarounds analysis) of Incident in order to resolve the Incident where possible. If resolution is not possible routing of the Incident to specialist resolver group(s) is initiated. | X | ||||
| 40 | Provides coordination, ownership, monitoring, escalation, communication and trend analysis of all Incident activities to agreed parties during the Incident lifecycle as defined in the LS&Co. Incident Management Procedure manual. | X | ||||
| 41 | Identify incident characteristics and find / Coordinate for root cause. | X | ||||
| 42 | Document and monitor the status and progress of all open Incidents. If an Incident is not getting the appropriate attention, initiate defined escalation procedures. | X | ||||
| Knowledge Management |
Supplier | LS&Co. | ||||
| 43 | Maintain and manage process, procedure and work instruction documentation for all Tier 1 Services. Includes the identification of knowledge updates by the Service Owners and where knowledge does not currently exist and is causing customer frustrations. | X | ||||
| 44 | Provide access to existing Knowledge Base, FAQs and self-help portal | X | ||||
| 45 | Updates Knowledge Base, FAQs and self-help portal with new resolutions or information. | X | ||||
| 46 | Maintain Service Desk staff knowledge level through dedicated training and maintaining a dedicated knowledge database, Incident resolution scripts and Request fulfillment scripts. | X | ||||
| 47 | Verify that the knowledge for each incident is either available and accurate, (not present or available and in-accurate) | X | ||||
| 48 | Verify that the knowledge for a request for fulfillment is available and accurate,( not present or available and in-accurate) | X | ||||
| 49 | Identify required knowledge through a proactive continuous improvement process. Detailed data drives the right decision on knowledge requirements. | X | ||||
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| Policies |
Supplier | LS&Co. | ||||
| 50 | Define Service Desk policies. | X | ||||
| 51 | Understand and adhere to LS&Co. policies | X | ||||
| Problem Management |
Supplier | LS&Co. | ||||
| 52 | Responsible for adhering to Problem Management processes including identifying trends and identification of recurring Incidents and single occurrences where problem management is necessary to drive to root cause. | X | ||||
| Procedures |
Supplier | LS&Co. | ||||
| 53 | Execution and maintenance of operational procedures, including Service Desk Procedures, Incident Management Procedures and Request Management Procedures | X | ||||
| Reporting |
Supplier | LS&Co. | ||||
| 54 | Manage and deliver management reporting according to agreed schedule and provide facility for ad hoc analysis. | X | ||||
| 55 | Supplier to provide recommendations of necessary changes in ServiceNow for reporting and effective Service Desk function during the transition | X | ||||
| 56 | Make suggested and any other changes in ServiceNow in order to enable reporting and trending analysis (during transition) | X | X | |||
| 57 | Provide necessary capabilities in the ServiceNow to extract necessary data for reporting purpose (during transition) | X | X | |||
| 58 | Monthly, Quarterly and Annual Operational reporting supporting Incident, Problem and Request Management services performed by the Service Desk. | X | ||||
| Request Management |
Supplier | LS&Co. | ||||
| 59 | Manage and follow the a Request Fulfillment process to ensure an integrated process for identifying, documenting, monitoring, evaluating and controlling all Requests through the lifecycle of the service. | X | ||||
| 60 | Review and approve the Request Fulfillment plan | X | ||||
| 61 | Provides coordination, ownership, monitoring, escalation, communication and trend analysis of all Request activities to agreed parties during the Request lifecycle as defined in the LS&Co. Request Management Procedure manual. | X | ||||
| 62 | Document and monitor the status and progress of all open Requests. If the Request is not getting the appropriate attention, initiate defined escalation procedures. | X | ||||
| Self-Help Support Services |
Supplier | LS&Co. | ||||
| 63 | Define Self-Help Support Services requirements and policies | X | ||||
| 64 | Provide support, advice and recommendations to LS&Co. in connection with the development of Self-Help Support Services requirements and policies | X | ||||
| 65 | Develop, document and maintain the Standards and Procedures Manual Self-Help Support Services processes that meet such requirements and adhere to policies | X | ||||
| 66 | Review and approve such Self-Help Support Services processes | X | ||||
| 67 | Implement, maintain and support Self-Help Support capabilities that enable End-Users to perform self-service administrative functions including password reset, “How To” support through End-User access to knowledge databases and online Incident status checking. | X | ||||
| 68 | Monitor and review the effectiveness of Self-Help Support Services capabilities and usage | X | ||||
| 69 | Develop and provide recommendations for improvements to Self-Help Support Services capabilities | X | ||||
| 70 | Review and approve recommendations for improvements to Self-Help Support Services capabilities | X | ||||
| 71 | Implement approved recommendations for improvements to Self-Help Support Services capabilities | X | ||||
| 72 | Mandate end users to use Self-Help support solutions | X | ||||
| 73 | Inform end users and walk them thru to the Self Service solutions | X | ||||
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| VIP Support Services |
Supplier | LS&Co. | ||||
| 74 | Verify that Incidents or requests (including access request) from VIP End Users are recognized at the Service Desk and responded on priority | X | ||||
| 75 | Ensure that the tickets for assigned VIP’s to be assigned an elevated resolution priority as agreed with Customer | X | ||||
| 76 | Maintain directory of VIP users and their assistants | X | ||||
| 77 | Approve VIP Directory | X | ||||
| 78 | Update ServiceNow with the VIP list | X | ||||
| Service Level Management |
Supplier | LS&Co. | ||||
| 79 | Manage escalation process according to Incident or Request for those tickets that are at risk or did not meet the defined SLA. | X | ||||
| 80 | Manage Service Delivery against an ITIL model, ensure SLA’s are managed appropriately within this model | X | ||||
| 81 | Delivery of SLA reporting monthly, reviewed with LS&CO. | X | ||||
| Surveys |
Supplier | LS&Co. | ||||
| 82 | One of the ways satisfaction is measured is by means of surveys, both a general services survey independent of our incident and request management system and a survey specific to an incident or request. Responsible for sending both types of surveys. | X | ||||
| 83 | Develop and execute procedures for conducting end-user satisfaction surveys. | X | ||||
| 84 | Configure ServiceNow to send Customer Satisfaction Survey for both incidents and service requests | X | ||||
| Telephony |
Supplier | LS&Co. | ||||
| 85 | Set up IT Service Desk telephony and customized greetings with call routing. Need ability to transfer calls both internally and externally. | X | ||||
| 86 | Review and approve the message templates of ACD greetings, e-mails and service interruption notifications | X | ||||
| Ticket Management |
Supplier | LS&Co. | ||||
| 87 | Track Incidents and Requests, keep the End User informed on ticket status and progress | X | ||||
| 88 | Manage the full lifecycle of the Incident or Request tickets. | X | ||||
| 89 | Ensures that all related Incidents are linked and managed to resolution. | X | ||||
| 90 | Provides a single repeatable process for the capture and management of Incidents and Requests. | X | ||||
| 91 | Monitor Incidents and Requests and escalate per policies and procedures until resolution and end-user satisfaction. | X | ||||
| 92 | Escalation and coordination with Tier 2 Support Group & Tier 3 Support Group for internal resolution. | X | ||||
| 93 | Ensure tracking is in place to update and monitor status of Incidents and Requests so they progress towards resolution | X | ||||
| 94 | Ensure features are available in ServiceNow for Service Level notification and reporting | X | ||||
| 3.2 | Standard IT Services |
These are standard IT services towers, the IT department delivers services based on ITIL tiered support model. The Supplier will provide Level 1 support for all towers and will assist LS&CO. with service improvements. This should include, but is not limited to, identifying required knowledge or additional self-service opportunities.
| Ticket Management |
Supplier | LS&Co. | ||||
| 1 | Access & Software - Coordinate employee user account administration (account lifecycle management), activation, changes and terminations, including: Password/account setup and reset, Remote access connectivity, E-mail accounts, User Ids, Password resets, , Voicemail administration, Telephone lines, and according to the current LS&Co. Policies and tools | X | ||||
| 2 | Provide adequate access to AD & password management tool to be able to perform use ID related activities | X |
| LS&Co. – Attachment 2.3.5 – Description of Services – Information Technology Services – Service Desk | Page 5 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 3 | Employee & Contractor Administration - Coordinate On-boarding and off-boarding IT tasks specific , off-boarding | X | ||||
| 4 | Employee & Contractor Administration - Coordinate employee transfers for IT related activities | X | ||||
| 5 | Smartphone first level support to include device activation, synchronization, plan changes, disable/wipe devices, device upgrade, modify ownership, and troubleshooting. | X | ||||
| 6 | Provide access to the smartphone management portal to perform first level support | X | ||||
| 7 | Remotely repair configuration of all client components installed on end user’s PCs. | X | ||||
| 8 | Push of approved packaged software using SCCM 2012 | X | ||||
| 9 | Provide adequate access to SCCM 2012 | X | ||||
| 10 | 1st level Support of all end-user mobility devices approved to run in the LS&CO. environment. | X | ||||
| Ticket Management |
Supplier | LS&Co. | ||||
| 11 | Video Conferencing & Voicemail Services - Conference Room and AT&T service Reservations, voicemail accounts, PBX basic configuration, video conferencing | X | ||||
| 12 | Provide support to Common Off The Shelf Software (COTS), Packaged software ( for example, Exchange - Contacts, distribution lists, mailbox, resource calendars, release quarantined attachments) | X | ||||
| Server |
Supplier | LS&Co. | ||||
| 13 | For first level resolutions based on SOPs e.g. Connections, share access | X | ||||
| Network |
Supplier | LS&Co. | ||||
| 14 | For first level resolutions based on SOPs e.g. Connectivity | X | ||||
| Storage |
Supplier | LS&Co. | ||||
| 15 | For first level resolutions based on SOPs e.g. Restores | X | ||||
| LS&Co. Applications |
Supplier | LS&Co. | ||||
| 16 | Provide Tier 1 Application support services where application teams have provided clear knowledge and training. Work with Application teams to obtain knowledge and training where non-existent. Move away from pass through organization. | X | ||||
| 4. | Governance |
| Weekly Update Meeting |
Supplier | LS&Co. | ||||
| 1. | Facilitate a weekly update meeting to discuss the elements of the weekly report, changes in the LS&CO. environment that may affect the Services, and any open action items. Vendor Team Leaders, Service Delivery Manager, and appropriate LS&CO. management representatives attend this meeting. | X | ||||
| 2. | Ensure that respective LS&Co. authorities attends these meetings | X | ||||
| Monthly Meeting |
Supplier | LS&Co. | ||||
| 3. | Facilitate a monthly quality assurance and metrics review meeting to discuss the elements of the monthly report, including attainment of Service Levels, customer satisfaction, the top Call types, trends in the LS&CO. environment, any changes in the vendors Services as documented in a Change Request, and any changes in the LS&CO. environment that may affect the vendors Service delivery. | X | ||||
| Quarterly Meeting |
Supplier | LS&Co. | ||||
| 4. | Ensure that respective LS&Co. authorities attends these meetings | X | ||||
| Business Unit Leader will facilitate a quarterly meeting to formally present operational metrics, successes, and challenges. The overall goal of these meetings is to improve existing deliverables, | X | |||||
| 5. | define new requirements, strengthen the partnership with our customers, and discuss potential cost reduction strategies |
|||||
| LS&Co. – Attachment 2.3.5 – Description of Services – Information Technology Services – Service Desk | Page 6 |
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| The quarterly meeting will Review the accomplishments and metrics since the previous quarterly meeting. Then, topics selected by the parties will be discussed and reviewed. Each quarterly meeting is closed with a planning session for the next 90-day period. Subsequent monthly status meetings may be scheduled to review the progress of the action items. | ||||||
| 6. | Ensure that respective LS&Co. authorities attends these meetings | X |
| 5. | Quality Assurance |
LS&CO. & the vendor will measure the quality of the vendor’s delivery of Services using a quality assurance scorecard.
| Quality Monitoring Evaluation (QME) |
Supplier | LS&Co. | ||||
| 1. | Monitor Calls to evaluate Service Desk Support Technician performance for the following elements:
• Call processing following the vendors standards
• Troubleshooting and technical accuracy
• Use of resources
• Ownership and follow-up
• Customer service skills |
X | ||||
| 2. | For each monitored call, the person conducting the monitor will complete a Monitoring Feedback Form stored in the Procedures Manual, which will be entered into the performance tracking database for calculation. Results are tracked and communicated on a monthly basis in the quality assurance scorecard. | X | ||||
| Ticket Monitoring |
Supplier | LS&Co. | ||||
| 3. | Monitor Tickets created by the Service Desk Technicians to evaluate their performance for the following elements:
• Ticket documentation
• Troubleshooting and technical accuracy
• Use of resources
• Ownership and follow-up
• Customer service skills
• LS&Co. agrees to calibration sessions to improve general quality provided |
X | ||||
| 4. | For each monitored Ticket, the person conducting the monitor will complete a Monitoring Feedback Form which will be entered into a performance tracking database for calculation. Results are tracked and communicated on a monthly basis. | X | ||||
| Ticket Escalation Accuracy (TEA) |
Supplier | LS&Co. | ||||
| 5. | Record and analyze all Tickets escalated by the Service Desk which were flagged by the Support Groups with a Quality Concern (e.g. Incorrect Routing, Insufficient Information, Should have been resolved by Lev 1 etc).
Depending on the technology chosen, the Support Groups can flag tickets with Quality Concerns either in the ticketing tool within each ticket, or in an external Quality Concern Form that will then be sent to Service Desk Management. |
X | ||||
| LS&Co. – Attachment 2.3.5 – Description of Services – Information Technology Services – Service Desk | Page 7 |
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| 6. | For each monitored Ticket, the person conducting the monitor will complete a Monitoring Feedback Form which will be entered into a performance tracking database for calculation. Results are tracked and communicated on a monthly basis. | X | ||||
| Complaints Process |
Supplier | LS&Co. | ||||
| 7. | Provide the end user with a means of submitting formal Complaints, either by phone, web portal or email | X | X | |||
| 8. | The complaints will be centralized and managed by the vendors Operations Analysts via the Quality Issue Process. | X | ||||
| Quality Issue Process (QIP) |
Supplier | LS&Co. | ||||
| 9. | Use a Quality Issue Tracker to record all quality issues at the Service Desk:
• Quality Concerns reported by Support Groups
• Negative Customer Satisfaction Surveys
• Complaints submitted by the End Users of Client Management |
X | ||||
| In situations where there is an issue with a Ticket that was handled by the vendors staff member. The vendors will follow its Quality Issue process to appropriately manage and resolve these quality issues. | ||||||
| 10. | Quality issue results will be tracked and communicated on a monthly basis; however, individual quality issues will be discussed as necessary to resolve the reported issue. | X | ||||
| 6. | Reporting |
| Reporting and Analytics |
Supplier | LS&Co. | ||||
| 1. |
In addition to those reports already identified, the vendor shall provide LS&CO. with Service Desk Reports, including metrics that identify efficiency, effectiveness and utilization. Report frequency may be weekly, monthly, quarterly or annually. The vendor shall provide report on at least a monthly basis on SLAs, and shall also provide operational and trend reporting. | X | ||||
| LS&Co. – Attachment 2.3.5 – Description of Services – Information Technology Services – Service Desk | Page 8 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.6
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
GLOBAL INFORMATION SECURITY
| * | Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions marked with [****]*. |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.
Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
Supplier will provide the following support for Global Information Security subsystems:
| • | Firewalls |
| • | VPN Remote Access |
| • | Remote Access User Certificates |
| • | ID Management/Single Sign on |
| • | Web content filtering |
| • | Botnet alerting |
| • | Store wireless/LAN alerting |
| • | Intrusion Detection/Prevention |
| • | PC/Mac/Server/POS Antivirus |
| • | Server Security Configuration Monitoring |
| • | Security Incident and Event Management |
| • | Vulnerability Scanning |
| • | Server/Mac/PC/POS vulnerability analysis and Patch status monitoring |
| • | Information Security Awareness |
Without limiting Section 3.1 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labeled Supplier).
This support will include all tasks that would be considered operational, upkeep and periodic changes. This would include the following:
| Service Definition |
Associated Work Tasks | |
| Production Support |
Provide 7x24 monitoring and support for Information Security subsystems. | |
| Interact and escalate with Supplier for any system defect and support tickets | ||
| Operational SLAs will conform to and be measured against the general IT Infrastructure Service Level Agreements | ||
| Quarterly measurement of capacity for all security subsystems | ||
| Provide Root Cause Analysis within expected service levels | ||
| Troubleshoot any issues and document them for reference during steady state operation. | ||
| Troubleshoot end-user issues, performance and availability issues, related to security subsystems | ||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 1 |
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| Service Definition |
Associated Work Tasks | |
| Work closely with other IT stakeholders for solving problems on network and access issues | ||
| Manage security sub-system releases that include upgrade of system images to N or N-1 version | ||
| Proactively plan for refresh as per the refresh cycle and notify LS& Co on EOL (End of Life)/EOS (End of Support) versions | ||
| Security Infrastructure Services |
Performing on-going administration, management, upgrading and monitoring of sub-systems. | |
| Manage, provide testing, change management, and documentation services for changes to security sub-systems | ||
| Monitor, detect, investigate and resolve security incidents related to security subsystems. | ||
| Maintain Security sub-systems, to current release levels. | ||
| Monitor patches deployment status. | ||
| Analyze vulnerability scan results, create and assign problem tickets to appropriate stakeholders for remediation. | ||
| Monitor Vulnerability Alerting ([****] *) and escalate to appropriate stake holders. | ||
| Provide security scans on new servers and network devices prior to them being placed into production. | ||
| Provide periodic review of security subsystem capacity and provide recommendations for upgrades. Monitor and troubleshoot technical, performance and availability issues. | ||
| Manage changes through Change Process for all in scope sub-systems ensuring changes are authorized and auditable. | ||
| Reporting—ensuring reports on availability and effectiveness are made available to LS&Co. at an agreed schedule. | ||
| Security Audit |
Create and assign tickets as needed to remedy compliance issues. | |
| Complete and document quarterly infrastructure role based access/entitlement reviews. | ||
| Complete and document quarterly infrastructure separation of duty reviews. | ||
| Reporting & Awareness |
Security system availability for all information security subsystems | |
| Produce Key Indicator Metrics for all information security subsystems | ||
| Coordinate awareness for PCI and general Security compliance. Validate and report solutions achieving desired results | ||
The enterprise security services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following security domains:
| • | Governance Risk and Compliance Services |
| • | End Point Security |
| • | Perimeter Security |
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 2 |
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| • | Security Incident Management and Monitoring |
| • | Identity Management Security Services |
| • | Data Security Services |
| • | Application Security Services and Software assurance |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Governance, Risk and Compliance |
||||||||||||||||||||||||
| Enforce LS&Co. policies and standards | X | X | X | X | X | X | ||||||||||||||||||
| Report to Information Security any violations of defined information security policies by LS&Co. across Supplier delivery processes, locations, facilities and teams. | X | X | X | |||||||||||||||||||||
| Supplier SOX and PCI lead to report to the LS&Co. Information Security office annually once per quarter review the IT controls for any changes. The lead must ensure the Supplier delivery teams follow the right process, thereby adhering to LS&Co. policies | X | X | X | |||||||||||||||||||||
| Leading audit and compliance functions is out of scope for Supplier | X | X | X | |||||||||||||||||||||
| End Point Protection (PC/Mac/Server/POS Antivirus): | ||||||||||||||||||||||||
| Anti-Virus and Host Intrusion Detection / Prevention Solution Management |
||||||||||||||||||||||||
| Supplier will provide end-to-end management of the currently installed Symantec Anti-Virus and Host Intrusion Prevention Solution. | ||||||||||||||||||||||||
| The below activities will be performed by Supplier’s security team: | ||||||||||||||||||||||||
| Install, update, operate, and maintain Anti-Virus protection Software on the servers by the L2-L3 teams within Supplier and co-ordinate with the desk side teams to ensure all endpoints used to deliver or support the Services are in currency | X | X | X | |||||||||||||||||||||
| Checking that virus definitions and scan engines are at latest levels on all endpoints in-scope | X | X | X | |||||||||||||||||||||
| Monitoring of antivirus subsystem server resources – CPU and Memory | X | X | X | |||||||||||||||||||||
| Raising alerts to Server Teams in case of high resource utilization and following Problem/Incident management path | X | X | X | |||||||||||||||||||||
| Add, modify and remove policies for anti-virus, desktop firewall, HIPS / HIDS, etc. | X | X | X | |||||||||||||||||||||
| Deployment of agents from Endpoint Protection Management console | X | X | X | |||||||||||||||||||||
| Virus outbreak management | X | X | X | |||||||||||||||||||||
| Respond to malware incident | X | X | X | |||||||||||||||||||||
| Notifications to the desk side team for non-updated endpoints for virus definitions | X | X | X | |||||||||||||||||||||
| System changes are documented and validated using standard system change tools procedures. | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of endpoint protection solution licenses. |
X | X | X | |||||||||||||||||||||
| Server/Mac/PC/POS vulnerability analysis and Patch status monitoring: |
||||||||||||||||||||||||
| Supplier will monitor LS&Co. subscribed threat intelligence feed for items that relate to and can impact the LS&Co. operating environment. Supplier will conduct the monthly patch meeting and will conduct “out of band” patch meetings as needed to discuss emerging vulnerabilities and assign risk ratings. Supplier will open and track tickets to various support areas to apply patches and remediate risks. | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 3 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Security team is only responsible to ensure LS&Co. security patches are deployed on time by other Supplier teams and all non-compliance is reported during monthly patch meetings. | X | X | X | |||||||||||||||||||||
| Perimeter Security | ||||||||||||||||||||||||
| Firewall Management | ||||||||||||||||||||||||
| Supplier will do complete administration and management of firewalls. Supplier’s fully managed firewall service includes: | ||||||||||||||||||||||||
| Performing on-going administration, management, upgrading and monitoring of firewall devices. | X | X | X | |||||||||||||||||||||
| Add, remove and modify routing, security policies as per LS&Co.’s business requirement and firewall standard practices. | X | X | X | |||||||||||||||||||||
| Interact and escalate Supplier for any system defect and support tickets for Platinum services | X | X | X | |||||||||||||||||||||
| Monitor, detect, investigate and resolve security incidents related to the firewalls. | X | X | X | |||||||||||||||||||||
| Provide Root Cause Analysis within expected service levels= | X | X | X | |||||||||||||||||||||
| Troubleshoot any issues and document them for reference during steady state operation. | X | X | X | |||||||||||||||||||||
| Troubleshoot end-user issues, performance and availability issues, related to firewalls= | X | X | X | |||||||||||||||||||||
| Work closely with other IT stakeholders for solving problems on network and access issues= | X | X | X | |||||||||||||||||||||
| Manage firewall releases that include upgrade of firewall images to N or N-1 version | X | X | X | |||||||||||||||||||||
| Proactively plan for refresh as per the refresh cycle and notify LS&Co. on EOL (End of Life)/EOS (End of Support) versions | X | X | X | |||||||||||||||||||||
| Implement, monitor and troubleshoot High Availability functionality between pair of firewalls. | X | X | X | |||||||||||||||||||||
| Ensuring high availability is functioning properly to avoid single point of failure and business disruption | X | X | X | |||||||||||||||||||||
| Monitor and troubleshoot technical, performance and availability issues. | X | X | X | |||||||||||||||||||||
| Change management, ensuring changes are authorized and auditable. | X | X | X | |||||||||||||||||||||
| Reporting—ensuring reports on availability and effectiveness are made available to LS&Co. at an agreed schedule. | X | X | X | |||||||||||||||||||||
| Note: [****]* Firewalls which are expected to increase by [****]* each year. [****]* of firewalls will be replaced as end of life each year. Firewall systems, including management systems will be updated to the latest software release each year. There are [****]* firewall incidents and [****]* changes each month. Supplier will also provide coordination and testing for site-to-site VPN changes ([****]* each month). | X | X | X | |||||||||||||||||||||
| Additionally, Supplier will conduct the following activities: | ||||||||||||||||||||||||
| Add, remove and modify routing, security policies as per LS&Co.’s business requirement and firewall standard practices. SLA [****]* business days | X | X | X | |||||||||||||||||||||
| Implement, monitor and troubleshoot High Availability functionality between pair of firewalls. | X | X | X | |||||||||||||||||||||
| Ensuring high availability is functioning properly to avoid single point of failure and business disruption | X | X | X | |||||||||||||||||||||
| Supplier will annually maintain all existing firewalls versions to N, N-1 | X | X | X | |||||||||||||||||||||
| As per the MSA, we can accommodate a [****]* increase year on year on firewalls, anything beyond [****]* will be a project work or a separate discussion on CR (Change Request) | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of firewall hardware / software support and licenses. | X | X | X | |||||||||||||||||||||
| Intrusion Detection Protection/Prevention |
||||||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 4 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| The Supplier’s responsibilities will include: | ||||||||||||||||||||||||
| Install, update and configure Checkpoint Network Intrusion Detection Systems (NIDS) sensors, and Checkpoint Network Intrusion Prevention Systems (NIPS) sensors to inspect all inbound and outbound network activity: | X | X | X | |||||||||||||||||||||
| Identify suspicious patterns that may indicate abnormal activity or intrusion attempts | X | X | X | |||||||||||||||||||||
| Send Alerts to a Supplier central monitoring facility. | X | X | X | |||||||||||||||||||||
| Monitor all Checkpoint NIDS/NIPS devices from the central logging System, and provide appropriate response to Alerts based upon mutually agreed procedures as defined in the Service Management & Governance Manual. | X | X | X | |||||||||||||||||||||
| Review NIPS Systems logs and provide appropriate response to messages including, but not limited to, Alerts and access denial messages based upon mutually agreed procedures as defined in the Service Management & Governance Manual. | X | X | X | |||||||||||||||||||||
| As needed or as directed by LS&CO., install known high-risk updates as defined by Checkpoint NIDS and NIPS to the IDS-protection Software as they are approved. | X | X | X | |||||||||||||||||||||
| Upon detection of an intrusion Alert, take immediate steps to notify the Information Security Services at LS&Co.: | X | X | X | |||||||||||||||||||||
| Assess the scope of damage. | X | X | X | |||||||||||||||||||||
| Arrest the spread and progressive damage from the intrusion. | X | X | X | |||||||||||||||||||||
| Restore the environment to an operational state. | X | X | X | |||||||||||||||||||||
| In the event of corruption or data loss, restore data from the last available backup with prior consultation with and approval from LS&Co. | X | X | X | |||||||||||||||||||||
| Provide Alerts to LS&Co. relative to current intrusion threats either specific to LS&Co.’s Environment, encountered in Supplier’ Environment, or based upon industry information | X | X | X | |||||||||||||||||||||
| Upgrade and change the Intrusion Detection/Prevention Systems as required by Third-Party Suppliers or as agreed in LS&Co. Technical Architecture and Product Standards. | X | X | X | |||||||||||||||||||||
| Evaluate technology improvements for Intrusion Detection Protection/Prevention and bring forth those improvements to LS&Co. for consideration. | X | X | X | |||||||||||||||||||||
| Will ensure IDS/IPS signature updates are being updated [****]*. Supplier will monitor IDS/IPS activity, analyze potential threats and will open incident tickets for corrective measures as needed. | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of NIDS/NIPS Solution licenses. |
X | X | X | |||||||||||||||||||||
| Web Content Filtering Solution Management |
||||||||||||||||||||||||
| Supplier understands that complete administration and management of proxy and web content filtering solution with the current Supplier are in-scope. The following are the activities: | ||||||||||||||||||||||||
| Configure and manage user content policies as per LS&Co.’s security policies |
X | X | X | |||||||||||||||||||||
| Assess & define reporting for utilization |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 5 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Assess, define and report alerting for policy violations and thresholds to LS&Co.’ stakeholders | X | X | X | |||||||||||||||||||||
| Alerting on web, HTTPS Vulnerabilities | X | X | X | |||||||||||||||||||||
| Analyze potential threats for incidents and escalate for detailed investigation | X | X | X | |||||||||||||||||||||
| Supplier will ensure web content filtering updates are being updated on a daily basis. Supplier will receive requests for web content access and/or blocking, will assess the risk and business need and will manage changes to the Web Content filtering system. The SLA for filter changes is <3 business days. Supplier will initiate an annual review of approved and blocked content categories. | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of Web Content Filtering Solution licenses. | X | X | X | |||||||||||||||||||||
| Remote Access Solution Management | ||||||||||||||||||||||||
| Supplier will manage LS& Co’ currently deployed Remote Access Solution (VPN)—for employees and the Site to Site VPN for Suppliers to provide secure access to mobile users as well as third parties, partners and contractors as per your security policy and on a need-to-know basis. Supplier’s managed Remote Access services include: |
||||||||||||||||||||||||
| Performing on-going administration, management and monitoring of VPN devices. | X | X | X | |||||||||||||||||||||
| Creating users, groups, authentication servers and assigning security policies as per need-to-know basis. | X | X | X | |||||||||||||||||||||
| Resolution and or guidance for remote user access related issues. | X | X | X | |||||||||||||||||||||
| Monitor, troubleshoot and resolve any technical, performance and availability issues. | X | X | X | |||||||||||||||||||||
| Change management, ensuring changes are authorized and auditable. | X | X | X | |||||||||||||||||||||
| Reporting—ensuring reports on availability and effectiveness are made available to LS&Co. at an agreed schedule. | X | X | X | |||||||||||||||||||||
| [****]* VPN concentrators providing Remote Access capability for employees and suppliers. There are [****]* incidents each month and [****]* changes. The VPN systems also have a management console that must be maintained. VPN Systems will be brought up to current release level each year. Supplier will create and deploy and modify VPN profiles based on user requirements ([****] * business days). Supplier will monitor for compliance issues and will manage remediation of compliance issues. | X | X | X | |||||||||||||||||||||
| Supplier will manage the process to assign, install and revoke certificates for Remote Access users. New certificates will be created and delivered within [****]* business days. Supplier will monitor for upcoming revocation of certificates and will make necessary communications and changes to avoid disruption of service. Supplier will ensure certificates are revoked as they are no longer needed. | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of VPN hardware / software support and user licenses, including renewal of remote user certificates is out of scope, except renewal of certificate lease | X | X | X | |||||||||||||||||||||
| Store Wireless Alerts | ||||||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 6 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Supplier will ensure store wireless alert signature updates are being updated on a daily basis. Supplier will monitor alert activity for store LAN and wireless events and will open incident tickets for corrective measures as needed. | X | X | X | |||||||||||||||||||||
| Intrusion Alerts from [****]* at the stores will be monitored and reviewed by the supplier | X | X | X | |||||||||||||||||||||
| Procurement of WAP devices including troubleshooting Wireless LAN issues at the stores is out of scope for the security team | X | X | X | |||||||||||||||||||||
| Security Incident Event Management and Reporting | ||||||||||||||||||||||||
| Supplier will manage LS&Co.’s currently deployed [****]* Solution. The supplier responsibilities will include: | ||||||||||||||||||||||||
| [****] * Correlation policy Configuration (including rule-base addition / modification / deletion) | X | X | X | |||||||||||||||||||||
| Defining custom Correlation rules Integration or Deletion of new or existing log sources. |
X | X | X | |||||||||||||||||||||
| Integration or Deletion of new or existing log sources. | X | X | X | |||||||||||||||||||||
| Escalate incidents to CSIRT teams and support the investigations | X | X | X | |||||||||||||||||||||
| Analyze false positive and provide suggestions to modify/delete the correlation rules. | X | X | X | |||||||||||||||||||||
| Incident Management and Closure | X | X | X | |||||||||||||||||||||
| Supplier coordination for latest patch release, bug fix and hardware fix | X | X | X | |||||||||||||||||||||
| Botnet Alerting | ||||||||||||||||||||||||
| Supplier will ensure botnet signature updates are being updated [****]* basis. Supplier will monitor botnet activity and will open incident tickets for corrective measures as needed | X | X | X | |||||||||||||||||||||
| Procurement of SIEM software and its Supplier services is out of scope for Supplier | X | X | X | |||||||||||||||||||||
| Identity and Access Management | ||||||||||||||||||||||||
| [****]* Identity Management Administration Supplier’s services for Identity Management Steady State support will include: |
||||||||||||||||||||||||
| ITIM Operations Support Activities | ||||||||||||||||||||||||
| To provide L1 & L2 support for in-scope ITIM components & work with end users as necessary to resolve problems | X | X | X | |||||||||||||||||||||
| Support for [****]* Single Sign On product | X | X | X | |||||||||||||||||||||
| Quarterly role reviews, entitlement reviews and SOD reviews | X | X | X | |||||||||||||||||||||
| Supplier will provide L1, L2 support for identity management and SSO (Single Sign-On) and will work with end users as necessary to resolve problems. | X | X | X | |||||||||||||||||||||
| Supplier will monitor for process and transaction failures and take necessary corrective action(s). |
X | X | X | |||||||||||||||||||||
| Supplier will monitor and manage compliance issues and alerts and escalate any unresolved compliance issues. | X | X | X | |||||||||||||||||||||
| Supplier will conduct testing, change management and documentation services for ID management and SSO (single Sign-On) system changes and maintenance activities | X | X | X | |||||||||||||||||||||
| Supplier will provide control evidence for audit purposes include creation and distribution of reports concerning ID compliance (orphan reports, inactivity reports, compliance reports, etc.). Generate and publish scheduled reports and be the primary contact for downstream consumers of identity related information (e.g. Net ID, EMP ID, Email etc.) | X | X | X | |||||||||||||||||||||
| Supplier will manage changes through Change Process. | X | X | X | |||||||||||||||||||||
| Supplier will conduct annual SOD reviews. | X | X | X | |||||||||||||||||||||
| Supplier will manage on-going KPI (Key Performance Indicators) in the areas of system availability, compliance and operational effectiveness. | X | X | X | |||||||||||||||||||||
| Supplier will provide role, policy, services (e.g. Unix, SQL AD, workflow and activity management administrative and problem resolution services for identity management platforms. | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 7 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| Supplier will be primary contact for all L2 activities for the SSO federation partners and work directly with customers and SSO federation partners in troubleshooting federation and SSO related issues. | X | X | X | |||||||||||||||||||||
| Supplier will be the primary IT security contact for helping to resolve L2 SSO related issues not related to the core SSO infrastructure (e.g. browser, desktop and network issues). | X | X | X | |||||||||||||||||||||
| Resolution of incidents related to in-scope ITIM components | X | X | X | |||||||||||||||||||||
| Problem management for critical and frequently repeated incidents | X | X | X | |||||||||||||||||||||
| Patch Management | X | X | X | |||||||||||||||||||||
| Administrative configuration changes (existing | X | X | X | |||||||||||||||||||||
| Workflows, user defined fields, Group & Group Administration, ITIM Rules, ITIM Policies, Process Definitions, Adaptors) | ||||||||||||||||||||||||
| Log monitoring & Proactive monitoring/support for ITIM components | X | X | X | |||||||||||||||||||||
| Monitor & resolve process and transaction failures | X | X | X | |||||||||||||||||||||
| Monitor and manage compliance issues and alerts and escalate any unresolved compliance issues | X | X | X | |||||||||||||||||||||
| Trouble shooting & escalation | X | X | X | |||||||||||||||||||||
| Accommodate minor workflow, scripting and cosmetic changes in the existing code base, | X | X | X | |||||||||||||||||||||
| Review of console logs (i.e. provisioning failures) | X | X | X | |||||||||||||||||||||
| Configuration and release management | X | X | X | |||||||||||||||||||||
| Rebuild / Recovery support | X | X | X | |||||||||||||||||||||
| Troubleshooting of any incident tickets escalated from L2 Support team | X | X | X | |||||||||||||||||||||
| Manage on-going KPI (Key Performance Indicators) in the areas of system availability, compliance and operational effectiveness | X | X | X | |||||||||||||||||||||
| Provide role, policy, services, workflow and activity management administrative and problem resolution services for in scope identity management platform (ITIM components) | X | X | X | |||||||||||||||||||||
| Installation of patches and hot-fixes received from IBM and performing PIV | X | X | X | |||||||||||||||||||||
| Incident handling and liaison with product Supplier; escalation to product Supplier (IBM Support) and coordination as needed | X | X | X | |||||||||||||||||||||
| Performing PIV tests of IDM components for supporting the third party re-installation/ re-build activities | X | X | X | |||||||||||||||||||||
| In case of any change in the product space, the same needs to be carried out thru a Change-Request process. | X | X | X | |||||||||||||||||||||
| Application support not related to Identity Management | X | X | X | |||||||||||||||||||||
| New application integration to the ITIM infrastructure | X | X | X | |||||||||||||||||||||
| L3 activities fall under the development realm and is not considered L1 and L2 activities as per Supplier | X | X | X | |||||||||||||||||||||
| Application Security and Software Assurance | ||||||||||||||||||||||||
| Infrastructure Vulnerability Scans: | X | X | X | |||||||||||||||||||||
| The Supplier will manage the process to conduct [****]* vulnerability scans on the inside and outside of the network. All Internet touch points will be scanned. All devices on the internal network will be scanned. Supplier will open and track tickets for high and medium risk vulnerabilities. Supplier will ensure the PCI report is filed [****]*. Supplier will ensure all portions of the network are scanned. Supplier should plan on [****]* vulnerability tickets each month Supplier will conduct ad-hoc scans as required and create ad-hoc scan reports as required, estimated to be no more than [****]* each month. | ||||||||||||||||||||||||
| Web Application Scans: |
||||||||||||||||||||||||
| The Supplier’s responsibilities to provide Application Security Services will include: |
||||||||||||||||||||||||
| The Ecommerce team at LS&Co. produces [****]* major releases [****]* minor releases every [****]* and these are production code changes. Supplier LLC Application Security will perform Application Security Vulnerability scans by leveraging the [****]* tool at LS&Co. | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 8 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| The [****]* will be used as a standard template for all scanning and reporting requirements by default. The Supplier Application Security team will work with the Ecommerce team to develop specific scan templates within the [****]* tool as recommended by LS&Co. as needed. | X | X | X | |||||||||||||||||||||
| Supplier Enterprise Security team will co-ordinate mitigation of any gaps identified within the scan reports. Supplier to follow the SLA defined and agreed for Web application scan reports | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of [****]* or any VA/Application Scanning tool | X | X | X | |||||||||||||||||||||
| Data Security Services | ||||||||||||||||||||||||
| Certificate Management: | ||||||||||||||||||||||||
| The Supplier’s responsibilities to provide Data Security Services will include: | ||||||||||||||||||||||||
| Maintenance of the complete Certificate Management Service infrastructure (including Certificate Management applications, databases, policies, configuration, software updates and any other technical component) as defined in the Operations Manual. | X | X | X | |||||||||||||||||||||
| Procurement and or Renewal of PKI certificates and its Licenses. | X | X | X | |||||||||||||||||||||
| Symantec Server Security Configuration Monitoring | ||||||||||||||||||||||||
| Install, update, operate, and maintain server security configuration monitoring system and co-ordinate with appropriate teams to ensure all endpoints used to deliver or support the services are in currency | X | X | X | |||||||||||||||||||||
| Checking that policy definitions and scan engines are at latest levels on all endpoints in-scope | X | X | X | |||||||||||||||||||||
| Monitoring server security configuration monitoring system subsystem server resources – CPU and Memory | X | X | X | |||||||||||||||||||||
| Raising alerts to Server Teams in case of high resource utilization and following Problem/Incident management path | X | X | X | |||||||||||||||||||||
| Add, modify and remove policies for server security configuration monitoring system. | X | X | X | |||||||||||||||||||||
| Deployment of agents for security configuration monitoring system | X | X | X | |||||||||||||||||||||
| Open and manage incidents as needed to eliminate security configuration monitoring system compliance issues | X | X | X | |||||||||||||||||||||
| Notifications to desk side Team for non-updated endpoint clients | X | X | X | |||||||||||||||||||||
| System changes are documented and validated using standard system change tools procedures. Create monthly reports | X | X | X | |||||||||||||||||||||
| Procurement of [****]* Licenses | X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 9 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
Volumetric:
| Element |
Due Diligence Metrics | |
| SIEM | [****]* Tickets/Month | |
| Certificates | [****]* Certificates | |
| Access Points | [****]* | |
| Anti-Virus | [****]* Tickets/Month | |
| IDAM (ITIM) | [****]* users & [****]* Tickets/Month (Post DD Volumetric) | |
| Web Filtering | [****]* Tickets Annually | |
| Two Factor Authentication | [****]* Tickets Annually | |
| Wireless Controllers | [****]* | |
| F5 Load Balancers | [****]* Devices | |
| Websense | [****]* Proxy’s | |
| VPN | [****]* Tickets/Month | |
| Firewalls | [****]* Checkpoint Firewalls [****]* being replaced, [****]* being replaced. End of [****]*, all firewalls upgraded to [****]*. | |
| [****]* | [****]* is used for scanning both inside and outside traffic. It is also used by Ecommerce team for scanning its monthly releases |
| 1. | PROJECT POOL HOURS PROJECTS |
Project Pool Hours Projects are Projects greater than 40 hours in duration that are performed by the Project Pool Staff. Project Pool Hours Projects may also include Projects of equal to or less than 40 hours in duration that exceed the Steady State Cap.
These will be further sub-divided into
| a) | Security related infrastructure led projects |
Supplier will provide the infrastructure Project Pool hours to LS&Co. each year for a 5 year period, based on the Project forecasts provided by LS&Co. Currently this pool constitutes of 1,000 hours per year for Security Services,
Service Provider will initially allocate resources to the Project Pool Staff in accordance with the hours per Skillset Category as agreed below. Any skillset required outside of the Skillset Categories will be made available to LS&Co. outside of the Project Pool, in accordance with the rate card submitted.
Currently the pool is planned to have following resources
[****]* – Infrastructure Security Services – India
[****]* – Infrastructure Security Services – Brussels
[****]* – Infrastructure Security Services – Singapore
| b) | Application -led projects |
This pool is to meet with customers/application teams to identify requirements, sizing, and costing of new and changes to existing environments.
| 2. | MAJOR PROJECTS |
Major Projects are Projects that do not meet the conditions for the Steady State Projects or the Project Pool Hours Projects. Major Projects are not included in the Base Charges. For each Major Project requested by LS&Co., Supplier will prepare a proposal based on the requirements and scope of work defined by LS&Co. and will include an estimate of the charges for such Major Project. The Parties will enter into a separate Work Order with respect to any Major Project approved by LS&Co.
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 10 |
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Reporting:
Meetings Among other meetings, Supplier will have an Information Security representative at:
| • | The daily Operations Meeting to represent Information Security issues. |
| • | Change Control |
| • | The Weekly Information Security Team meeting. |
Among other meetings, Supplier will conduct the following meetings
| • | Monthly patch review meeting |
| • | Monthly Supplier Service Review Meeting (showing SLA adherence |
| • | Weekly Information Security/Issues meeting |
Administrative:
Supplier will conduct the following activities:
| • | Ensure all Information Security devices will be maintained within the asset management database |
| • | Conduct a monthly service review for GIS presenting, among other things, SLA adherence, and hours expended by function, tickets by function |
| • | Maintain an SLA which will enumerate the work that was completed “out of process”. There will be an upper limit placed on this (3%) and it will be presented along with other SLAs |
| • | Produce a daily report of open Information Security Issues |
| • | Produce a monthly report with key metrics specified by GIS |
| • | Produce a weekly report indicating patch gap status for Servers, PCs and POS by region and risk level |
| • | Represent GIS in operational escalation calls |
Transition:
The following activities will be performed during this phase of Transition Services:
| • | Supplier will develop the Knowledge Transfer Process Document |
| • | Supplier will create a Risk Mitigation Plan and present to Client for review and approval |
| • | Supplier will collect measurements for defined SLAs for Services performed by Client staff |
| • | Supplier will prepare checklists for tasks and procedures as part of Run Book documentation |
| • | Supplier will develop and conduct training of Contractor staff of Client technologies for in-scope Services and related support tools and processes |
| • | Supplier will submit Run Book and SLA for review and acceptance by Client. Run Book contains Services Operating Procedures, Hours of Service Operation, Maintenance Windows and Planned Downtimes, Environment Overview, and Day-to-Day Processes |
| • | Client will send notification to Contractor for acceptance of completing transition and agreement to begin Steady State operations |
| LS&Co. – Attachment 2.3.6 – Description of Services – Information Technology Services – Global Information Security | Page 11 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.7
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
IT APPLICATIONS
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto. Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following Processes:
| • | Application Support and Maintenance |
Without limiting Section 3 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “Ö” in the column labeled Supplier).
| 2. | SERVICE DESCRIPTION |
The following sections in this Exhibit describe the Services that Supplier will carry out that relate to the Applications.
2.1 INCIDENT AND SERVICE REQUEST MANAGEMENT
Supplier will, in accordance with LS&Co.’s Incident management process, perform the following activities for managing incidents and service requests:
| 2.1.1 | Log, by opening a Ticket for Incidents and Service Requests identified by Supplier, track and report all Incidents and all Service Requests including Tickets opened by Users. |
| 2.1.2 | Respond to LS&Co. (including responding directly to an applicable LS&Co. group and Users) to all reported Incidents and Service Requests in accordance with the Incident Management Process. |
| 2.1.3 | Resolve all Tickets using LS&Co.’s designated Service Desk toolset (or a LS&Co-approved interface to that toolset), taking into account knowledge of technologies and LS&Co.’s business processes, including global and regional business process models. |
| 2.1.4 | Manage and resolve all Application related defects, failures and User-reported problems logged via a Ticket. |
| 2.1.5 | Communicate resolution to applicable Users based LS&Co.’s incident management policies. |
| 2.1.6 | For Tickets that require an elective enhancement, direct the User to the appropriate elective enhancement intake process and close the Ticket (noting redirection to the intake process). |
| 2.1.7 | Complete security configuration requests logged via a Ticket in accordance with LS&Co.’s security control model and security control process. |
| 2.1.8 | For each Ticket, Supplier will be responsible for resolving the Ticket, escalating issues that require action or approval by LS&Co. in accordance with LS&Co.’s policies. Supplier will follow resolution of escalated issues to closure. |
| 2.1.9 | For Priority Level 1 (i.e., “critical Tickets”) and Priority Level 2 (i.e., “high priority Tickets”), Supplier will: |
| (1) | Respond to paging from Service Desk. |
| (2) | Communicate ongoing issues and updates to the User community. |
| LS&Co. – Attachment 2.3.7 – Description of Services – Information Technology Services – IT Applications | Page 1 |
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| (3) | When an issue is classified as a “Major Incident”, follow LS&Co.’s designated major incident process. |
2.2 PROBLEM MANAGEMENT
Supplier will, in accordance with LS&Co.’s Problem management process, perform the following activities for managing problems:
| 2.2.1 | Identify and log Known Errors and Problems. |
| 2.2.2 | Maintain a Known Error Database and problem log. |
| 2.2.3 | Perform Problem identification and resolution, including: |
| (i) | Analyze all Incident-related Tickets for major Incidents or repeat Incidents to identify Problems and Known Errors. |
| (ii) | Investigate and communicate root cause, work-around or process improvement plans to business owners, internal customers Users. |
| (iii) | Document Problems and lessons learned for future improvement, recommend process improvements (update Known Error Database, frequently asked questions and standard operating procedures accessible to Service Desk and Users as a quick reference) and implement agreed improvements. |
| (iv) | Develop and apply database, Application code, configuration or operational modifications to correct Problems with short term and permanent fixes, and, as applicable, work with LS&Co. Third Party Contractors. |
| (v) | Coordinate corrections with other production and Application development activities through LS&Co.’s change management and release management processes, including impact analysis. |
| (vi) | Work closely with appropriate LS&Co. personnel to ensure appropriate progress reporting and effective production problem resolution. |
| 2.2.4 | Identify opportunities for Incidents to be resolved at first level Incident management, and recommend changes for Service Desk. After approval by LS&Co, train Service Desk on recommended changes. |
2.3 MONITORING
| 2.3.1 | Ensure that Applications are available for use by LS&Co. |
| 2.3.2 | Monitoring Applications |
Supplier shall perform the following activities as part of Application Monitoring:
| (i) | Ensure that the existing solution for monitoring of applications via LS&Co.’s monitoring tool are working as expected along with automated alert mechanism. |
| For | the applications where automated alerts are not available, Supplier will plan and prioritize the implementation of a monitoring system based on the necessity of the implementation and criticality of application to LS&Co. |
| (ii) | Respond to automated paging from system support tools. |
| (iii) | Daily exception reports and queues required for maintaining the technical integrity of the system. |
| (iv) | Alerts and pages from LS&Co. Systems to identify Incidents. |
| (v) | Monitor interactive and LS&Co.’s batch performance related to the Applications to identify Incidents (e.g., schedule job balancing, production output, freeze periods, scheduling, as-of-build programs, inter-company sweeps) for completion and correctness, and monitor exception logs. |
| LS&Co. – Attachment 2.3.7 – Description of Services – Information Technology Services – IT Applications | Page 2 |
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| (vi) | Monitor reports, distribution of reports, reporting tools related to the Applications to identify Incidents. |
| (vii) | Monitor and resolve all issues with data synchronization services (i.e., monitor the replication of data between production servers and reporting servers), including working with third parties. |
| 2.3.3 | Provide monthly analysis of LS&Co. batch schedule to ensure effective LS&Co. batch processing and make recommendations for changes to meet performance requirements |
| 2.3.4 | Schedule jobs in accordance with LS&Co.’s business and technical requirements |
| 2.3.5 | Monitor LS&Co.’s alert systems (e.g., LS&Co. batch and control-message brokers) and provide recommendations to LS&Co. to support the Application Maintenance Services. |
| 2.3.6 | Maintain documentation related to operations and production support. |
| 2.3.7 | Support LS&Co. to adapt operational processes and procedures for regions designated by LS&Co. |
2.4 PATCH MANAGEMENT
Supplier shall:
| 2.4.1 | Assist LS&Co. to design a Patch strategy, including defining Patch templates for the process (e.g., name of Patch, business process impact, files and streams impacted). |
| 2.4.2 | Identify and report to LS&Co. all applicable Patches in accordance with LS&Co.’s Patch and upgrade strategy. |
| 2.4.3 | Using LS&Co.’s designated Patch strategy and templates, recommend to LS&Co. which Patches should be applied. |
| 2.4.4 | Provide LS&Co. with an impact analysis on LS&Co. systems and resources (including scoping, estimation and requirements definition) for each recommended Patch and any additional Patches designated by LS&Co. to be implemented. |
| 2.4.5 | Implement each Patch approved by LS&Co. after LS&Co.’s review of the impact analysis within timeframes designated by LS&Co. |
| 2.4.6 | Implement roll-back procedure if the implementation of the Patch was not successful. |
| 2.4.7 | Correct Application errors and invalid data caused by Patch implementation. |
| 2.4.8 | Update user, system, operations and Service Desk documentation to reflect changes caused by implementation of the Patch. |
| 2.4.9 | Create and provide a summary of business-related changes caused by implementation of Patches to LS&Co. |
| 2.4.10 | Assist LS&Co.’s user acceptance testing process from start to finish for each implemented Patch. |
| 2.4.11 | Rectify any other problems that may occur associated with the implementation of the Patch (i.e., “fix when broken”), including taking appropriate action necessary to restore Applications and coordinating with LS&Co. to restart or amend production schedules. |
2.5 CHANGES / ENHANCEMENTS
| 2.5.1 | The capacity for Changes / Enhancement work included in the Services are set forth against each application group in Section 5 – In scope applications and Interfaces |
| 2.5.2 | The enhancements will cover the following types of work— |
| LS&Co. – Attachment 2.3.7 – Description of Services – Information Technology Services – IT Applications | Page 3 |
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| i. | Configuration, system, data or code changes required to satisfy new business or technical requirements; extensions of existing functionality and standard COTS functionality to new or existing entities, including cross-functional and multi-Application impacted changes |
| 2.5.3 | Supplier will perform the below activities in accordance with LS&Co.’s processes on Changes/Enhancements: |
| (i) | Process Change Requests that are initiated by Authorized Users for Enhancements in accordance with the change request management process. |
| (ii) | Understand requirements, gather documents and conduct application analysis and technical design |
| (iii) | Develop and test the enhancements |
| (iv) | Submit the test results for approval prior to submitting the enhancement to the change management procedures |
| (v) | Develop a schedule and test plan for LS&Co. approval |
| (vi) | Migrate enhancements to production using the normal release management and change management procedures |
| (vii) | Update all documentation on the applications for changes made with any enhancement |
2.6 CONTINUOUS SERVICE IMPROVEMENT
| 2.6.1 | Supplier shall deliver Continual Service Improvement in the standard of performance of the Services. All Continual Service Improvement Program related activities or projects shall be fully documented in a register maintained by Supplier of all Continuous Service Improvement Program initiatives identified during the Term of this Agreement. |
| 2.6.2 | The governance of Continual Service Improvement Program shall be in compliance with Governance. |
| (1) | Quality Reviews: The scope of the Quality Reviews would include review of the Continual Service Improvement Program. These reviews are to be conducted along with the Quarterly Business Review Board’s meeting every quarter. The metrics to measure the continuous improvements will be agreed upon by both parties at the end of stabilization phase. |
| 2.6.3 | Supplier shall ensure that quality tools shall be used for all analysis undertaken for driving improvements and measuring results, including Fishbone Diagram, C&E Matrix, PDCA, FMEA, Normality Test, CRT Tree, 1 Sample T, Correlation, Simple Linear Regression. |
| 2.6.4 | In addition to the detailed documentation of the analysis, Supplier shall further represent the outcome in the form of tables or graphs with clear trends, targets and thresholds. |
2.7 RELEASE AND DEPLOYMENT MANAGEMENT
| 2.7.1 | Release and Deployment Management includes the planning, scheduling and controlling of the movement of Releases to test and live environments. Changes are bundled, tested and signed off prior to deployment. Changes are tracked through the Configuration Management Database with pre- and post-audit of the relevant Release. All processes are to conform to ITIL definitions. |
| 2.7.2 | Supplier is required to contribute to the Release and deployment by ensuring it is able to support the released Supported Applications and Releases once they enter the production environment. For Releases developed by Supplier as part of Application Support and Maintenance, Supplier will be required to actively release and test these. |
| 2.7.3 | The goal of Release and Deployment Management is to ensure that all technical and non-technical aspects of a Release are dealt with in a coordinated approach. |
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2.8 PROCESS MANAGEMENT, STANDARDIZATION AND POLICIES AND PROCEDURES MANUAL
| 2.8.1 | Supplier will develop and follow specific procedures during the Term, which are to be set out in the Operations Manual. This Section sets out the requirements for the Operations Manual and the process by which the Operations Manual will be finalized. |
| 2.8.2 | The Operations Manual will describe: |
| 1) | How Supplier will perform and deliver the Services under this Agreement; |
| 2) | The equipment and software being used, details of the manner of record-keeping proposed to be implemented, and the documentation, (for example, operations manuals, user guides, specifications) which provide further details of such activities; |
| 3) | The activities Supplier proposes to undertake in order to provide the Services, including those directions, supervision, monitoring, staffing, reporting, planning and oversight activities normally undertaken at facilities that provide services of the type Supplier will provide under this Agreement; |
| 4) | To the extent not covered in this Agreement, procedures for interaction and communications between Supplier and LS&Co., covering topics such as call lists, software distribution, implementation change, problem management and escalation procedures, project priority and approval procedures, acceptance testing, quality assurance procedures and user surveys; |
| 5) | The time periods that applies for the purposes of the above; and |
| 6) | The procedures for interaction, communication and control of third parties in order to deliver the service management function (for example Incident Management, Problem Management). |
| 2.8.3 | The Operations Manual will include checkpoint reviews, testing, acceptance, and other procedures for LS&Co. to be assured of the quality of Supplier’s performance. |
| 2.8.4 | The creation, review and finalization of the Program Procedure Manual will be completed within 3 months of steady state support. |
| 2.8.5 | Until such time as the Operations Manual is approved by LS&Co., Supplier will perform the Services in accordance with the policies and procedures as established and existing between the Parties at the Effective Date. |
| 2.8.6 | Supplier will continually and at a minimum once each calendar Quarter, review and update the Operations Manual to reflect changes in the operations or procedures described in that manual. Updates of the Operations Manual will be provided to LS&Co. for review, comment and approval. |
2.9 SYSTEM PERFORMANCE – AVAILABILITY AND CAPACITY MANAGEMENT
| 2.9.1 | Supplier shall leverage LS&Co.’s existing tool set for application monitoring and bring in their tools and best practices based upon the feasibility and compatibility |
| 2.9.2 | Supplier shall monitor the Services and report on all key elements of Availability that are obtainable from the Availability Management systems. |
| 2.9.3 | Supplier shall analyze and maintain Availability metrics (as part of monthly reporting) to proactively predict expected levels of Availability and report anticipated breaches of defined LS&Co. targets using the current tools and the process at LS&Co. |
| 2.9.4 | Supplier shall understand the business requirements (the required Service Delivery), the organization’s operation (the current Service Delivery) and the IT Infrastructure (the means of Service Delivery) and ensure that all the current and future Capacity and performance aspects of the business requirements are provided cost-effectively. |
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2.10 DEMAND MANAGEMENT – APPLICATION ENHANCEMENTS
| 2.10.1 | Supplier shall perform enhancements in accordance with the enhancement threshold effort designated for each application group as listed in Section 5—In Scope Applications and Interfaces. |
| 2.10.2 | The threshold defined for an application group needs to be consumed in a month and cannot be carried forward. |
| 2.10.3 | On a quarterly basis, the threshold enhancement effort for each application group will be discussed, finalized, and flexed as feasible between the application groups per agreement between both parties based upon business requirements. On a monthly basis, Supplier will make every attempt on a best effort basis by tapping into resources based on availability to flex between application groups to accommodate enhancement needs. |
| 2.10.4 | Any effort exceeding the overall threshold that could not be flexed between application groups needs to be budgeted separately under Application Project scope. |
| 2.11 | DOCUMENTATION – KNOWLEDGE MANAGEMENT |
| 2.11.1 | All functional and technical knowledge captured during transition shall be documented in System Maintenance Technical Document (SMTD) and all processes will be documented in Execution Process Document (EPD). |
| 2.11.2 | All new and existing documents will be stored in a centralized Repository. |
| 2.11.3 | Supplier shall populate the Service Desk’s KEDB tool to improve the First Contact Resolution Rate of the Service Desk. |
2.12 SECURITY AND ACCOUNT MANAGEMENT
| 2.12.1 | Supplier will perform all activities associated with the set-up and support of Users and User administration in accordance with LS&Co.’s security model for each applicable LS&Co. region. Requests for User access shall not be processed until LS&Co. has approved such access (e.g., in accordance with LS&Co.’s designated security models). |
| 2.12.2 | Upon receipt of an approved request from LS&Co. to add an User to access an Application, or to delete or change the security access profile of an existing user for an Application, Supplier will: |
| (1) | Run such request through LS&Co.’s user access tool |
| (2) | If permitted by LS&Co.’s user access tool, implement such request. |
| (3) | If not permitted by LS&Co.’s User access tool, escalate such request to LS&Co. and work with LS&Co. to resolve a variance. |
| (4) | If the variance is granted by LS&Co, implement such request in accordance with such variance. |
| 2.12.3 | Supplier will configure and administer User access groups (as defined in LS&Co.’s designated security models) and other foundation data setup required to grant access. Supplier will escalate any access groups outside LS&Co.’s security model for review and approval by LS&Co. |
| 2.12.4 | Supplier will perform routine User maintenance as designated by LS&Co. and in accordance with LS&Co.’s information protection policies, which includes evaluating inactive Users, terminating User accounts, and providing User count by LS&Co. business unit. |
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2.13 TESTING AND QUALITY ASSURANCE
| 2.13.1 | Supplier will recommend the type of testing required for each enhancement during the requirement gathering phase of any enhancements and seek approval on testing requirement for each enhancement. |
| 2.13.2 | Based upon the type of testing required, Supplier will create test plan and test cases and assets |
| 2.13.3 | Provide quality products and services that meet Supplier’s obligations |
2.14 SERVICE COVERAGE
| 2.14.1 | 24X7 service coverage will be provided to all in-scope applications and interfaces. |
| 2.14.2 | Supplier will provide 8X7 manned support for Workday interfaces with flexibility in shifts to enable adequate manned coverage in LS&Co. business hours, along with on-call support for P1 and P2 incidents outside the coverage of manned support |
| 2.14.3 |
3. APPLICATION SUPPORT AND MAINTENANCE
Supplier will be responsible for performing activities related to Application Support and Maintenance of all In-scope Applications and Interfaces as set forth in the Section 5 to Exhibit 2.3A.
| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.1 | APPLICATION SUPPORT & MAINTENANCE | |||||
| AMS.1.1 | Application Support (Sub Function) | |||||
| AMS.1.1.1 | LS&Co. End-user request tickets to be created via Service Desk | Ö | ||||
| AMS.1.1.2 | Maintain Ticket status for in-scope Applications and Services | Ö | ||||
| AMS.1.1.3 | Validate all Ticket information and correct such information with end user/ Services Desk | Ö | ||||
| AMS.1.1.4 | Reassigning tickets in accordance with LS&Co. policies and procedures in the event the ticket is not related to an application / Interface in scope of Supplier | Ö | ||||
| AMS.1.1.5 | Provide analysis on customer assistance and break-fix tickets to recommend improvements | Ö | ||||
| AMS.1.1.6 | Develop work effort planning estimate for resolution/completion of Tickets and communicate such estimate to LS&Co. via e-mail or other electronic means | Ö | ||||
| AMS.1.1.7 | Acknowledge and Resolve all in-scope Tickets | Ö | ||||
| AMS.1.1.8 | Coordinate, facilitate, own and drive the resolution of Tickets associated with the maintenance of in-scope Applications Services and Interfaces | Ö | ||||
| AMS.1.1.9 | Act as a single point of contact for the maintenance of in-scope Applications, Services and Interfaces | Ö | ||||
| AMS.1.1.10 | Release manage Tickets and communicate to LS&Co. for review and approval | Ö | ||||
| AMS.1.1.11 | Provide end users with proper training on application functionality, application usage expected job functions for in-scope Applications | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.1.1.12 | Provide previously trained end users with support and guidance, regarding the proper use and functionality of in-scope Applications | Ö | ||||
| AMS.1.1.13 | Revise the required process and technical documents related to any change done by Supplier in the in-scope Applications and Interfaces including but not limited to the following—Functional/Technical specs, Configuration Document, End User Process Manual, User Work Guides and End user training documents. In case there is no existing documentation, creation of the document will be limited to the change implemented by Supplier |
Ö | ||||
| AMS.1.1.14 | Manage Supplier Staff providing in-scope Application maintenance so holidays, vacation or sick time do not degrade Supplier’s ability to meet applicable Service Levels | Ö | ||||
| AMS.1.1.15 | Prepare the reports listed in Exhibit 6—reports and otherwise provided for in the Agreement | Ö | ||||
| AMS.1.1.16 | Complete training/certification for Supplier Staff as needed in compliance with the requirements of the Master Services Agreement | Ö | ||||
| AMS.1.1.17 | The below is applicable only when an LS&Co. Third Party Contractor needs to be engaged: For all in scope applications and interfaces, Supplier will take ownership of tickets and coordinate with LS&Co. Third Party Contractors to resolve tickets and identify and document the root cause analysis. Supplier will act as a single point of contact on the ticket during the resolution process to any external stakeholder in LS&Co. (Ex: Business) and drive any communication on the ticket status/progress/Root cause within LS&Co. for the in scope applications and interfaces. Any escalation to LS&Co. in case of non-co-operation from LS&Co. Third Party Contractors will follow the escalation process laid out in the Process Manual as identified during transition period. |
Ö | ||||
| AMS.1.1.18 | Supplier will provide assistance to the LS&Co. Third Party Contractor for any interface incidents having dependency on the applications in scope of Supplier | Ö | ||||
| AMS.1.1.19 | Management of escalation raised by Supplier on LS&Co. Third Party Contractor | Ö | ||||
| AMS.1.1.20 | Maintain the list of applications and interfaces in scope of Supplier in the CMDB in ServiceNow tool. | Ö | ||||
| AMS.1.1.21 | Maintain in-scope Applications and administration roles and responsibilities in accordance with the Governance Procedures | Ö | ||||
| AMS.1.1.22 | Attend regular status meetings as set forth in Exhibit 5 (Governance) and as otherwise required by LS&Co | Ö | ||||
| AMS.1.1.23 | Provide assistance, cooperation and documentation to LS&Co. Third Party Contractors if requested by LS&Co, for the work related to in-scope Applications. | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.1.1.24 | Notify LS&Co. Third Party Contractors of potential maintenance/support/enhancement projects if requested by LS&Co. | Ö | ||||
| AMS.1.1.25 | Maintain log of requested changes for future maintenance release for in-scope Applications | Ö | ||||
| AMS.1.1.26 | Trouble shoot and resolve tickets related to in-scope interfaces in Section 4 | Ö | ||||
| AMS.1.2 | Application Maintenance (Sub Function) | |||||
| AMS.1.2.1 | Develop / resolve in-scope Application code or operational modifications as it relates to identified errors to correct problems where required | Ö | ||||
| AMS.1.2.2 | Report Problems by opening a Ticket in accordance with LS&Co.’ Problem management process | Ö | ||||
| AMS.1.2.3 | Manage, resolve and escalate reported Problems for the in-scope Applications and databases | Ö | ||||
| AMS.1.2.4 | Perform Root Cause Analysis for Business Outage Tickets in Priority 1 and Priority 2 in form of problem management. Root cause analysis will be done for other tickets including Priority 3 on a need basis as part of continuous improvement process | Ö | ||||
| AMS.1.2.5 | Analyze, design, build, test and deploy planned releases to in-scope Applications and/or system enhancements in a defined process | Ö | ||||
| AMS.1.2.6 | Update user, system, and operations documentation as necessary | Ö | ||||
| AMS.1.2.7 | Providing workarounds as a short-term, quick fix where possible to avoid work stoppage and continue normal business operations | Ö | ||||
| AMS.1.2.8 | Prevent production abnormal terminations for in-scope Application | Ö | ||||
| AMS.1.2.9 | For any Data reconciliation / integrity issues, Supplier will own identification and resolution of the issue. Supplier will provide technical support to trouble shoot issues. Supplier will support LS&Co. business by providing data and reports needed for isolation of the issue. | Ö | ||||
| LS&Co. Business will analyze the data and reports to isolate the transaction / master data that caused the issue. If during this analysis, it is apparent that issue is a technical issue, Supplier will own identification of the root cause and fix the issue. | ||||||
| Once the root cause of the issue is identified, Supplier will analyze if data discrepancy / reconciliation issue can be fixed using an existing business application. | ||||||
| If issue can be fixed via business application, Supplier will jointly work with the Business users and will make the recommendation to LS&Co. LS&Co. will review the practical feasibility of the recommendation and will approve such recommendation. LS&Co. business users will fix the data in this case on approval. If issue cannot be fixed using a business application or if LS&Co. does not approve the recommendation of Supplier as stated above due to feasibility considerations, then Supplier will fix the data programmatically using the Change Management process with guidance from LS&Co. business users. | ||||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.1.2.10 | Review the recommended solution proposed by Supplier and provide the approval for implementation of data discrepancy/reconciliation issues. | Ö | ||||
| AMS.1.2.11 | Implement any break-fix identified for in-scope Applications/Interfaces through incident management and proactive monitoring. This includes taking appropriate action necessary to restore immediate service for in-scope applications to LS&Co., including coordination with LS&Co. Third Party Contractors as required. Identification of any long term fix needed to prevent the reoccurrence of the problem/incident will be taken up as part of Problem Management. Implementation of long term fix will be prioritized by Supplier and the same will not be part of the enhancement hours. | Ö | ||||
| AMS.1.2.12 | Analyze Incident-related Tickets for major Incidents or repeat Incidents to identify Problems and Known Errors | Ö | ||||
| AMS.1.2.13 | Coordinate corrections through LS&Co.’s change management and release management processes | Ö | ||||
| AMS.1.2.14 | Identify opportunities for incidents to be resolved at first level (Service Desk) and collaborate to with Service Desk | Ö | ||||
| AMS.1.2.15 | Provide access to Supplier’s personnel to tools, workstations, software & environments owned by LS&Co. and needed by Supplier for execution of services described in this agreement | Ö | ||||
| AMS.1.3 | Application Maintenance – Preventive | |||||
| AMS.1.3.1 | Identify in-scope Application performance tuning, code restructuring, and other efforts to improve the efficiency and reliability of programs and to minimize ongoing maintenance requirements where effort estimates fit the threshold of non-business enhancement effort | Ö | ||||
| AMS.1.3.2 | Propose enhancements to improve existing performance and take them through LS&Co.’s change management process. Implement enhancements once approved by LS&Co. Effort for implementing such enhancements will be considered within the enhancement hours bucket only if the enhancement proposed is due to a change or a new business requirement, process flow or expected outcome. | Ö | ||||
| AMS.1.3.3 | Assess opportunities to reduce (or avoid) costs associated with in-scope Application Maintenance Services | Ö | ||||
| AMS.1.3.4 | Provide estimates of the effort for preventive maintenance | Ö | ||||
| AMS.1.3.5 | Monitor and analyze Tickets to identify potential trends and Problems | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.1.3.6 | Review and analyze system logs and other commonly available alert and take corrective action | Ö | ||||
| AMS.1.3.7 | Identify and assess software patches for in-scope Applications and notify LS&Co. as appropriate | Ö | ||||
| AMS.1.3.8 | Any identified and approved patches will be implemented by Supplier as part of regular Service Request within the monthly threshold volume and the hours will not be consumed against any bucket of enhancement hours irrespective of level of effort. | Ö | ||||
| AMS.1.3.9 | Review and approve preventative and patch Maintenance | Ö | ||||
| AMS.1.3.10 | Identify areas where preventive maintenance might be performed to improve in-scope Application efficiency, in terms of both the performance of the in-scope Application and any related maintenance effort | Ö | ||||
| AMS.1.3.11 | Supplier will be responsible for application monitoring and alerting either by leveraging tools that LS&Co. currently owns Or bring in their tools and best practices based upon the feasibility and compatibility | Ö | ||||
| AMS.1.3.12 | LS&Co. to assist Supplier in implementation of the Application Monitoring tools and alerts wherever necessary. Effort needed to implement any tool from Supplier will not be consumed against any enhancement bucket. | Ö | ||||
| AMS.1.4 | Maintenance—Production Control and Scheduling | |||||
| AMS.1.4.1 | Provide in-scope Application maintenance in support of the 24x7 (except during scheduled maintenance hours) production-processing schedule | Ö | ||||
| AMS.1.4.2 | Monitor and work with the LS&Co. to update production schedules for in-scope Applications | Ö | ||||
| AMS.1.4.3 | Update access and parameter tables contained within in-scope Applications where applicable | Ö | ||||
| AMS.1.4.4 | Coordinate with LS&Co. for scheduling jobs | Ö | ||||
| AMS.1.4.5 | Supplier will own the issues with respect to batch scheduling and monitoring for in scope applications. After restoring service from an unplanned outage, Supplier will insure that: • all batch jobs are processed/cancelled per application needs • Interface files are process per application needs • Data is restored per application needs. |
Ö | ||||
| AMS.1.4.6 | Assist LS&Co. with scheduling, black-out recovery, job balancing, and production output monitoring for completion and correctness, and monitoring exception logs | Ö | ||||
| AMS.1.4.7 | Review production output for correctness for in-scope Applications | Ö | ||||
| AMS.1.4.8 | Support production staffs to adapt operational processes and procedures | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.1.4.9 | Inform Supplier of planned changes to LS&Co. Equipment, LS&Co. Software and LS&Co.’s network that could impact the in-scope Applications | Ö | ||||
| AMS.1.4.10 | Assist in forecasting network requirements and bandwidth / capacity for in-scope Applications | Ö | ||||
| AMS.2 | Application Enhancements | |||||
| AMS.2.0 | Unless otherwise instructed by LS&Co., Supplier shall perform the following for in scope applications and within the cumulative effort of enhancement threshold as present in Section 5 of this proposed description of Services. • If Cumulative effort of Enhancement threshold agreed upon monthly budgeted effort exceeds the documented in Section 5, then it should be taken thru LS&Co. Application Project Work |
Ö | ||||
| AMS.2.1 | Planning | |||||
| AMS.2.1.1 | Provide business requirements | Ö | ||||
| AMS.2.1.2 | Develop the functional and technical specifications | Ö | ||||
| AMS. 2.1.3 | Estimate effort required by Supplier to complete the enhancement. For any third party involvement, requirements/dependencies and due date would be passed on to them. | Ö | ||||
| AMS.2.1.4 | Develop high level design, functional and technical design as appropriate | Ö | ||||
| AMS. 2.1.5 | Prepare schedule for development, testing and release to production | Ö | ||||
| AMS. 2.1.6 | Review and approve key enhancement deliverables including but not limited the estimates proposed by Supplier for that enhancement | Ö | ||||
| AMS.2.2 | Build | |||||
| AMS.2.2.1 | Review & approve functional specifications and high level data specifications | Ö | ||||
| AMS.2.2.2 | Develop software using LS&Co. approved tools | Ö | ||||
| AMS.2.2.3 | Configure in-scope Applications | Ö | ||||
| AMS.2.2.4 | Construct software for in-scope Applications | Ö | ||||
| AMS.2.2.5 | Draft cut over plan, as necessary | Ö | ||||
| AMS.2.2.6 | Prepare back out / rollback plan | Ö | ||||
| AMS.2.2.7 | Develop data conversion plan, as required | Ö | ||||
| AMS.2.2.8 | Adhere to the information security requirements per LS&Co. Global Information Security Policy | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.2.2.9 | Conform to LS&Co.’s Standards, including user interface, machine interface, and programming standards (for example, GUI, EDI and IP) for Application Maintenance | Ö | ||||
| AMS.2.2.10 | Provide necessary access and permission to Supplier for using the existing LS&Co. infrastructure for enhancements. | Ö | ||||
| AMS.2.2.11 | Provide software development licenses for enhancements | Ö | ||||
| AMS.2.2.12 | Provide access and continue using the existing source control tools at LS&Co | Ö | ||||
| AMS.2.3 | Testing | |||||
| AMS.2.3.1 | Develop Test Plans | Ö | ||||
| AMS.2.3.2 | Develop Unit Test cases | Ö | ||||
| AMS.2.3.3 | Develop Integration and System Testing Test cases whenever applicable | Ö | ||||
| AMS.2.3.4 | Review and approval of test plans and test cases | Ö | ||||
| AMS.2.3.5 | Execute test cases/scripts, with documented evidence (screen prints and/or reports) | Ö | ||||
| AMS.2.3.6 | Execute integration and system test cases when applicable (determined at the sole discretion of LS&Co.). | Ö | ||||
| AMS.2.3.7 | Execute Regression and Performance test cases when applicable (determined at the sole discretion of LS&Co.). | Ö | ||||
| AMS.2.4 | User Acceptance Testing | |||||
| AMS.2.4.1 | Provide test plans, test cases, and test scripts (created as part of Integration Testing) for user acceptance testing | Ö | ||||
| AMS.2.4.2 | Supplier will develop and document UAT test cases based on the Integration and System Testing test cases Any new test cases as required by Business and not covered as part of Integration and System test cases need to be identified by Business Users The primary ownership of UAT execution will lie with business All UAT test cases will be reviewed and approved by LS&Co. |
Ö | ||||
| AMS.2.4.3 | Create test data required by LS&Co. to perform UAT | Ö | ||||
| AMS.2.4.4 | Assist the business of LS&Co. in execution of UAT test cases, as required | Ö | ||||
| AMS.2.4.5 | Execute UAT scripts | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.2.5 | Training applicability based on mutual agreement between Supplier and LS&Co. | |||||
| AMS.2.5.1 | Update existing training material, which includes training materials covering Applications in scope | Ö | ||||
| AMS.2.5.2 | Perform training of Key / Super users where necessitated by the change | Ö | ||||
| AMS.2.5.3 | Perform end user training where Key / Super users have been trained | Ö | ||||
| AMS.2.6 | Deployment and Implementation | |||||
| AMS.2.6.1 | Coordinate release activity, sequence of events with LS&Co.’s quality assurance group and LS&Co.’s application services group | Ö | ||||
| AMS.2.6.2 | Develop and communicate release deployment plan and roll back plan for any changes and bug fixes for in-scope Applications and Interfaces | Ö | ||||
| AMS.2.6.3 | Migrate data load scripts, reports and stored procedures; request scheduling of batch jobs, confirm completion of batch jobs, and take appropriate corrective action, if needed | Ö | ||||
| AMS.2.6.4 | Review and approve implementation plans | Ö | ||||
| AMS.2.6.5 | Communicate the implementation plan to all parties participating in the implementation | Ö | ||||
| AMS.2.6.6 | Communicate implementation timing and other relevant information to business and end users. | Ö | ||||
| AMS.2.6.7 | Confirm successful execution of implementation; including all data migration and initial batch job execution. | Ö | ||||
| AMS.2.6.8 | Promote to Production | Ö | ||||
| AMS.2.6.9 | Provide go-live support | Ö | ||||
| AMS.2.6.10 | Manage and maintain Applications during Stabilization Period | Ö | ||||
| AMS.2.7 | Support for Project Work | |||||
| AMS.2.7.1 | Request assistance from Supplier in Projects. | Ö | ||||
| AMS.2.7.2 | Render support to Application Projects team for any Projects as agreed upon during the Project Initiation phase. Any such assistance provided by Supplier should be identified during the Project initiation phase and budgeted separately against Production Support bucket. |
Ö | ||||
| AMS.2.7.3 | Supplier will start supporting the projects post Go Live after the post Go Live support period of the Project team is complete and defined exit criteria for a Project to Support cutover is met. | Ö | ||||
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| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.3 | CROSS FUNCTIONAL | |||||
| AMS.3.1 | Service Reporting | |||||
| AMS.3.1.1 | Capture data required to support Service Levels and operational metrics | Ö | ||||
| AMS.3.1.2 | Submit agreed upon performance reports as defined in Exhibit 6 – Reports | Ö | ||||
| AMS.3.1.3 | Report on identified performance improvements | Ö | ||||
| AMS.3.1.4 | Produce monthly scorecard | Ö | ||||
| AMS.3.1.5 | Facilitate publication meeting to review performance in accordance with Exhibit 6 – Governance | Ö | ||||
| AMS.3.1.7 | Review scorecard – LS&Co. supplier management reviews data and provides feedback on any issues | Ö | ||||
| AMS.3.1.8 | Enablement of fields to measure the agreed service levels | Ö | ||||
| AMS.3.2 | Compliance / Quality | |||||
| AMS.3.2.1 | Maintain and enhance the quality assurance documents to ensure that Application Maintenance & Support services are performed in an accurate and timely manner and in compliance with LS&Co.’s required audits within permissible limits (once a year). | Ö | ||||
| AMS.3.2.2 | Ensure that consistent processes for delivery of services and documentation are followed across all teams | Ö | ||||
| AMS.3.2.3 | Establish and follow rules and guidelines for creation and maintenance of technical documentation | Ö | ||||
| AMS.3.3 | Security | |||||
| AMS.3.3.1 | Supplier will follow the security policies of LS&Co. and act on any reported violations. | Ö | ||||
| AMS.3.3.2 | All Security Policies and procedures to be shared with Supplier during transition. | Ö | ||||
| AMS.4. | Leadership and General Management | |||||
| AMS.4.1 | Work with LS&Co. to establish medium to long term strategy for service evolution | Ö | ||||
| AMS.4.2 | Establish policies and procedures for the service provided by Supplier | Ö | ||||
| AMS.4.3 | Comply with established policies and procedures | Ö | ||||
| AMS.4.4 | Ensure only approved work is executed by vendor | Ö | ||||
| AMS.4.5 | Provide technical leadership and direction | Ö | ||||
| LS&Co. – Attachment 2.3.7 – Description of Services – Information Technology Services – IT Applications | Page 15 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.4.6 | Provide leading practices where applicable | Ö | ||||
| AMS.4.7 | Build medium to long term skill level demand forecasts for operational as well as project/ enhancement work | Ö | ||||
| AMS.4.8 | Maintain end user satisfaction with IT services | Ö | ||||
| AMS.4.9 | Assure compliance with all Agreement terms and conditions | Ö | ||||
| AMS.4.10 | Support / implement continuous improvement opportunities | Ö | ||||
| AMS.4.11 | Administer issue, risk and governance processes in control of Supplier | Ö | ||||
| AMS.4.12 | Work closely with Supplier to mitigate risks / issues pertaining to LS&Co. Third Party Contractors | Ö | ||||
| AMS.4.13 | Provide timely reporting in the delivery of services | Ö | ||||
| AMS.4.14 | Generate monthly invoice for Supplier Services | Ö | ||||
| AMS.5 | DEMAND MANAGEMENT AND CAPACITY PLANNING for Application Enhancements | |||||
| AMS.5.1 | Demand Planning | |||||
| AMS.5.1.1 | Develop Annual Plan/Budget for year | Ö | ||||
| AMS.5.1.2 | Supplier to define a process for demand Forecast Planning on a defined periodic basis for enhancements to be performed in each application group. LS&Co. will provide the inputs required to Supplier on the future enhancements as per the defined process. | Ö | ||||
| AMS.5.1.3 | The list of enhancements and the priority will be determined by LS&Co. and shared to Supplier | Ö | ||||
| AMS.5.1.4 | Participate in Annual Plan / Budget for year and quarterly forecast plan | Ö | ||||
| AMS.5.1.5 | Participate in the documentation and communication of annual plan/Budget | Ö | ||||
| AMS.5.1.6 | Review plan prepared by Supplier monthly and quarterly and communicate changes | Ö | ||||
| AMS.5.1.7 | Project Teams will prioritize and approve enhancements and required modifications | Ö | ||||
| AMS.5.1.8 | Notify requester and Supplier of approval or rejection | Ö | ||||
| AMS.5.1.9 | Supplier will assist LS&Co. with estimation for any business events planned in the quarter | Ö | ||||
| LS&Co. – Attachment 2.3.7 – Description of Services – Information Technology Services – IT Applications | Page 16 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Ref. ID | Principal Activities |
Responsibility | ||||
| Supplier | LS&Co. | |||||
| AMS.5.2 | Capacity Planning | |||||
| AMS.5.2.1 | Align Supplier’s resource capacity with forecasted demand and any adjustments communicated by LS&Co. for unplanned enhancements. Any unplanned enhancement will be catered to by Supplier on a best effort basis. If the enhancement requires additional resources for implementation, a lead of time 1 month is required by Supplier to onboard the resource. |
Ö | ||||
| AMS.5.2.2 | Develop capacity plan and staffing plan to support forecasted demand plan in resources and skills | Ö | ||||
| AMS.5.2.3 | Maintain appropriate skills at all times as per plan agreed between LS&Co. and Supplier based on monthly/quarterly forecasts and for any unplanned enhancements that is communicated by LS&Co. to Supplier which was not available during the forecast timeline. Any unplanned enhancement will be catered to by Supplier on a best effort basis. If the enhancement requires additional resources for implementation, a lead of time 1 month is required by Supplier to onboard the resource. |
Ö | ||||
| AMS.5.2.4 | Provide estimates for capacity consumption and out-of-scope projects | Ö | ||||
| AMS.5.2.5 | Review and approve the capacity plan and staffing plan | Ö | ||||
| AMS.5.2.6 | Review capacity plan and staffing plan periodically and communicate changes | Ö | ||||
| LS&Co. – Attachment 2.3.7 – Description of Services – Information Technology Services – IT Applications | Page 17 |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
MASTER SERVICES AGREEMENT*
By and Between
Levi Xxxxxxx & Co.,
And
Wipro Limited
November 7, 2014
Exhibit 2
Description of Services
Attachment 2.3.7-A
Description of Services – Information Technology Services
IT Applications—Applications in Scope
| * | Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions marked with [****]*. |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Confidential |
|
|||
| Execution Version | Appendix A | |||
| Appendix A |
||||
| Application Portfolio—Application Support | ||||
| MASTER SERVICES AGREEMENT* | ||||
| LSA | Levi Xxxxxxx Americas | |
| LSE | Levi Xxxxxxx Europe | |
| AMA | Levi Xxxxxxx Asia, Middle East, Africa |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Corp |
LSA |
AMA |
LSE |
|||||||||||||||||||||||||||||||
| ALL | Interfaces | Interfaces | Interface Controls | L | M | X | Application Support |
Web app used in command center to track interface status for major interfaces | MS/SQL Server | [****]* | 10 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | AR Portal | M | M | X | Application Support |
Internally hosted web based portal to transmit, view and manage the different AR Documents with Customers in APD | WIN 2008 SP2 IIS 7.0 SQL Server 2008 64 bit (SP2) | [****]* | 150-200 | Level 2 Support |
|||||||||||||||||||||||
| Corp & BI | Content Management | [****]* | [****]* | M | M | X | Application Support |
File Management Application which stores content/data to support different processes (logistics, payroll, SSC) | Level 2 Support |
|||||||||||||||||||||||||
| Corp & BI | Finance | [****]* | M | M | X | Application Support |
System where Royalty payments are processed | 10 | Level 2 Support |
|||||||||||||||||||||||||
| Corp & BI | Finance | [****]* | CAPA (Cost Accounting & Profitability Analysis) | M | M | X | Application Support |
Product (Std) Costing | HP3000 | [****]* | 5 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Finance | [****]* | [****]* | H | M | X | Application Support |
LSC Financial System—Accts Payable / General Ledger (APGL) | Wintel | [****]* | 20 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | [****]* | [****]* | H | H | X | Application Support |
Master data management tool which can be used for both [****]* and non-[****]* applications. | Windows Server 2008 64 bit | [****]*(category to which [****]* suite of products belongs) spans multiple services, including [****]* and developer tools, integration services, business intelligence, collaboration, and content management. [****]* depends on open standards such as [****]* | ~10 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | [****]* | [****]* | X | Application Support |
|||||||||||||||||||||||||||||
| Corp & BI | Corp & BI | [****]* | H | M | X | Application Support |
Datawarehouse for [****]* | Windows | [****]* | 200 | Level 2 Support |
|||||||||||||||||||||||
| Corp & BI | Corp & BI | [****]* | FDM - Financial Data Management | H | H | X | Application Support |
Purpose-built ETL (extract, transform, load) tool for [****]* products. At LSCO, this is specifically used for loading data to [****]*. Until the deployment of the HOP1 project in FY14, it also loaded data to Hyperion Essbase. | Windows Server 2008 64 bit | [****]*(category to which [****]* suite of products belongs) spans multiple services, including [****]* and developer tools, integration services, business intelligence, collaboration, and content management. [****]* depends on open standards such as [****]* | ~118 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | Content Management | [****]*: | M | M | X | Application Support |
File Management Application which stores content/data to support different processes (logistics, payroll, SSC) | Windows Server 2008 6.1 build 7601 Service Pack 1 Windows Server 2008 R2 6.1 build 7601 Service Pack 1 x86 | Unknown (since it’s a vendor code) | 75-150 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | [****]* | HFM - Hyperion Financial Management | H | H | X | Application Support |
Global financial translation and consolidation application for LSCO statutory reporting. | Windows Server 2008 64 bit | [****]* (category to which [****]* suite of products belongs) spans multiple services, including [****]* and developer tools, integration services, business intelligence, collaboration, and content management. [****]* depends on open standards such as [****]* | ~ 235 | Level 2 Support |
||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Corp & BI | Corp & BI | Hyperion | HFR - Hyperion Financial Reporting | H | M | X | Application Support |
Reporting tool for Hyperion suite of products, including HFM and Essbase. | Windows Server 2008 64 bit | [****]* (category to which [****]* suite of products belongs) spans multiple services, including [****]* and developer tools, integration services, business intelligence, collaboration, and content management. [****]* depends on open standards such as [****]* | ~486 | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | Hyperion | Hyperion (Essbase) | H | H | X | Application Support |
Multidimensional database management system (MDBMS) that provides a multidimensional database platform upon which to build analytic applications | Windows Server 2008 64 bit | ~250 | Lexxx 0 Xupport |
|||||||||||||||||||||||
| Corp & BI | Corp & BI | DWH | NXPDC | M | L | X | Application Support |
This is actually Non Xpert Point of Sale Data Conversion tool (NXPDC) to capture non Raymark store data feeds/transactions | Win2003 ( By July it will be upgraded to Win2008) | Langauges Supported = English DB = SQL Server 2005 (Will be upgraded to 2008R2 by Jun’14) | No direct users for this application. It is a middleware. The output of the application is consumed by DWH and SAP |
Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | Winshuttle | M | M | X | Application Support |
Automation Application to upload/download data into SAP | Windows 2008 | ABAP + WS Vendor Code | 100-150 | Level 2 Support |
|||||||||||||||||||||||
| eCommerce | eCommerce | Endeca | H | M | X | Application Support |
Search engine w/ filtering | Linux | Java | LSE Consumers |
Level 2 Support |
|||||||||||||||||||||||
| eCommerce | eCommerce | Interfaces between eCommerce and SAP | H | M | X | Application Support |
Interfaces support for AMA. Sales and Stock movement at end of day for stores from eCommerce to SAP (Not on Sterling Commerce) | |||||||||||||||||||||||||||
| eCommerce | eCommerce | Hybris - SAP | H | M | X | Application Support |
DevOps, perform releases in non-prod environment such as Dev to QA to Pre-prod environments | |||||||||||||||||||||||||||
| eCommerce | eCommerce | SAP | Hybris - SAP | H | M | X | Application Support |
eCommerce Platform (additional information provided on the eCommerce Information tab) | Linux | Java | LSE Consumers |
Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Manufacturing | Andromeda | H | H | X | Application Support |
Shop Floor System for O&O Manufacturing an Finishing centers | Windows Server/Windows Client | C#, Sql Server | 400+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | ANZ VCE | H | M | X | Application Support |
Warehouse management | Win 7 | VB/ SQL | Level 2 Support |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | LSC Bespoke | AS400—WMS | H | M | X | Application Support |
[LSC]* Warehouse Mgt System (WMS) | OS 400 | RPG 400 / DB 400 | 30 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | VAS | Australia StarTrack | H | M | X | Application Support |
value added service | Win 7 | VB/ SQL | Level 2 Support |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Inbound Logistics | CARTS | H | H | X | Application Support |
Inbound Packing, Shipping | Windows Server/Windows Client | C#, Sql Server | 800+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Inbound Logistics | CARTSWeb | H | H | X | Application Support |
Shipment Tracking, Shipment Creation | Windows Server | Javascript/Sql Server | 100+ | Level 2 Support |
||||||||||||||||||||||
| Corp & BI | Corp & BI | [****]* | [****]* | M | M | X | Application Support |
LSC Data Warehouse | Wintel | Crystal reports for Canada | 75 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | X | Application Support |
Unit sorter for order fulfillment at [****]* and [****]* based distribution facilities | Sun OS | [****]* | 300+ | Level 1 support (onsite) Level 2 & 3 are vendor supported |
|||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Wave Planning and Replenishment tool for warhouse operations. | Windows Server | [****]* | 50 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Reporting tool for warehouse operations. 3 implementations, [****]* | Windows Server | [****]* | 100+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Commercial sample development process and order management | Windows | [****]* | 50 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Vendor access to Tech Pack, components, specifications, reference documents, and Licensee upload | Windows | [****]* | 250 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Raw material and product costing | Windows | [****]* | 191 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Concept Development, Line Planning, Material Development, Color Development, Lab dip Management, Specifications Development, Costing, Reporting for all Brands | Windows | [****]* | 1050 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Customer [****]* Transactions | HP3000 | [****]* | 20 Accts | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Maintains size distribution profiles to support calculation of Size level Forecast from Product Level Forecast, Tightly Integrated to [****]*, shares [****]* database | Front End = Windows 7 Backend HPUX/Oracle | [****]* | ~30 | Lexxx 0 Xupport |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Tool used by LSE distribution centers to produce and print Customs declaration forms, invoices etc | Windows Server | [****]* | 20 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Tool used by LSE distribution centers to process return murchandise | Windows Server | [****]* | 20 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | M | X | Application Support |
Tool used by LSE distribution centers to process “Value Added Services” i.e.Labels, Price tickets, Special Instructions etc | Windows Server | [****]* | 200+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | Application Support |
Concept Development, Line Planning, Material Development, Color Development, Lab dip Management, Specifications Development, Vendor Portal, Costing, Reporting | Windows | [****]* | 1200 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | L | X | Application Support |
Account Planning / Corporate Forecasting tool. | Wintel | [****]* | 20 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | M | X | Application Support |
Product Integrity/Quality reporting and tracking | Windows Server | [****]* | 600+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | M | X | Application Support |
Source of Record for Product Attributes, Attribute Values, and Master Product Hierarchies. | Windows Server | [****]* | 5 | Level 2 Support |
||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Demand Planning | [****]* | M | M | X | Application Support |
Assortment, replenishment, allocation demand planning | win7 | [****]* | ~70 | Lexxx 0 Xupport |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | Korea DAS | H | M | X | Application Support |
Warehouse management | win 7 | [****]* | Lexxx 0 Xupport |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | LDS—Canada | H | H | X | Application Support |
Order to Cash / Master Files /Acct Receivables/ Inventory | HP3000 | [****]* | 75 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | LSAMA—WMS | X | Application Support |
Warehouse management system used in Northhampton, System of record for inventory. Controls all receiving and order fulfillment activities within the warehouse, including putaway, picking, packing, carton labeling and trailer loading. | QNX | [****]* | 200 | Level 2 Support |
|||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | M | X | Application Support |
Maintains production routing and leadtimes, Tightly Integrated to Manugistics, shares [****]* database | Front End = Windows 7 Backend HPUX/Oracle | [****]* | ~50 | Lexxx 0 Xupport |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | H | X | Application Support |
Maintains size distribution profiles to support calculation of Size level Forecast from Product Level Forecast, | Front End = Windows 7 Backend HPUX/Oracle | [****]* | ~50 | Lexxx 0 Xupport |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | H | X | X | Application Support |
Warehouse management system used in Hebron and Canton facilities, System of record for inventory. Controls all receiving and order fulfillment activities within the warehouse, including putaway, picking, packing, carton labeling and trailer loading. | QNX | [****]* This is a version of MANDATE taylored to UK operation | 400 | Level 2 Support |
|||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Forecast Calculations Product to Size, Fininished Goods inventory planning, Safety Stock Calulations, Forecast consumption, Production planning, Production Issuance | HP/UX / Oracle | [****]* | Lexxx 0 Xupport |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Fininished Goods inventory planning, Safety Stock Calulations, Forecast consumption including prepack and Breakpack consumption, Inventory Deployment and cross docking Calulations, Size level productions plans to SAP ATP processing, | HP/UX / Oracle | [****]* | Limited direct users, mostly batch processing and data generation—Information in DB and results of various calulations are used many business processes - |
Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Calculates Constrained Size level Production orders for ATP | HP/UX / Oracle | [****]* | Lexxx 0 Xupport |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Forecast Calculations Product to Size, Account Level Forecast Management,. Forecast Accurracy capture prouct/size/account, | HP/UX / Oracle | [****]* | Level 2 Support |
|||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Supply planning on [****]* | win7/Unix/Citrix | [****]* | ~ 300 (SP, logistics, CP, SSM) |
Lexxx 0 Xupport |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Forecast Calculations Product to Size, Forecast Accuracy capture product/size/account, Finished Goods inventory planning, Safety Stock Calculations, Production planning, Production Issuance | HP/UX / Oracle | [****]* | Lexxx 0 Xupport |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | M | L | X | Application Support |
Maintains size distribution profiles to support calculation of Size level Forecast from Product Level Forecast, Maintains production routing and leadtimes, Tightly Integrated to Manugistics, shares LS Canada manu database | Front End = Windows 7 Backend HPUX/Oracle | [****]* | ~10 | Lexxx 0 Xupport |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | LSC Bespoke | Order issuance System | M | L | X | Application Support |
Contract Sizing / Order Issuance | Wintel | [****]* | 10 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | ORION | H | M | X | Application Support |
Manage interfaces between components of WMS and external systems. Handles file traffic to/from WMS and CARTS/SAP. Provides integration between the apps within the WMS for Prepack manufacturing and for Consolidation orders. Creating and managing internal work orders that are not SAP provided. | Windows Server | C# | 400 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | PI | PIWeb (Backend Support only — Oracle, SQL Server, SAS) | M | M | X | Application Support |
Product Integrity/Quality reporting and tracking | Windows Server | Javascript/HTML/SAS | 600+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Red Prairie | Red Prairie (Henderson, NV) | H | H | X | Application Support |
Warehouse management system used in Henderson NV System of record for inventory. Controls all receiving and order fulfillment activities within the warehouse, including putaway, picking, packing, carton labeling and trailer loading. | Windows Server | Mixed (Java, C#, Mocha, SQL) | 250 | Level 1 and Level 2 support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Red Prairie | Red Prairie (San Martine, MX) | H | H | X | Application Support |
Warehouse management system used in San Martine, MX System of record for inventory. Controls all receiving and order fulfillment activities within the warehouse, including putaway, picking, packing, carton labeling and trailer loading. | Windows Server | Mixed (Java, C#, Mocha, SQL) | 100 | Level 2 Support |
||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | SageX | H | H | X | Application Support |
Manage automated material handling equipment in CASI Warehouse. Component of CASI WMS. Working in close integration with MANDATE, controls conveyors, storage units and other MHE within the warehouse. PC-based control system used in lieu of the more conventional PLC systems | QNX | ANSI C | 400 | Level 2 Support Level 1 onsite |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Manugistics | SMART—Shipments Modify Analysis Review Tool | M | M | X | Application Support |
Modification of deployment orders to Carts. Tightly Integratd to Manugistics, shares manu database | Front End = Windows 7 Backend HPUX/Oracle | Excel VP for Applications | 8 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | PI | Source Audit Report (SAR) >> (Backend Support only — SQL Server, SAS) | M | L | X | Application Support |
Product Integrity/Quality reporting and tracking Module | Windows Server | Javascript/HTML/SAS | 600+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | STARTRACK | X | Application Support |
Order Management and high level inventory management for CASI CSC. Component of CASI WMS. Receives customer orders from SAP, matches to inventory, cartonizes and prepares work for the warehouse. Reports inventory and order fulfillment activity to upstream systems. | Unix (Currently HP UX) migrating to Linux SUSE | C++ | 100 | Level 2 Support |
|||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | LSC Bespoke | Styleman | H | M | X | Application Support |
Direct Procurement / Contract Tracking | Unix | Progress / Oracle | 10 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Tekconsole | Tekconsole | H | H | X | Application Support |
Used to operate handheld scanners in our distribution centers | Windows | 50 | Level 2 Support |
|||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | TranMan | H | H | X | Application Support |
Outbound Transportation management for CASI CSC. Component of CASI WMS. Plans and manages outbound transportation activities including carrier management and routing, load planning and capacity, load completion and reconciliation. Generates all required documentation | Unix (Currently HP UX) migrating to Linux SUSE | C++ | 100 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | USAC | H | M | X | Application Support |
1. Printing of customer specific form ( Price tag, Delivery Summary , Carrier Data form , ASN, Customer Invoice ) and 2. send customer specific EDI (Invoice , Confirmation ) 3. Finance reconciliation ( A/R Reconciliation ) 4. Data interface to Sigma SAP | win7 | [****]* | ~10 | Level 2 Support |
||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | PI | [****]* | M | L | X | Application Support |
Product Integrity/Quality reporting and tracking Module | Windows Server | [****]* | 600+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | LSC Bespoke | [****]* | H | L | X | Application Support |
UVM / UPC printing | Wintel | [****]* | 5 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Manufacturing | [****]* | L | L | X | Application Support |
Material Utilization and Optimization reporting and data entry | Front End = Windows 7 Backend HPUX/Oracle | [****]* | 50+ | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | [****]* | [****]* | H | M | X | Application Support |
Specifications Development, TechPack Generation for product manufacturing sourcing | Windows | [****]* | 40 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | [****]* | H | M | X | Application Support |
Picking function for [****]* DC. | WinXP/Win7 | [****]* | ~15 | Xxxxx 0 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | [****]* | H | M | X | Application Support |
This is a front-end application to the UK Mandate warehouse control system. It processes the interface data, prepares for upload to Mandate, and creates the picking waves. (LSE WLM) | Windows Server | [****]* | 75 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | MHE | [****]* | H | M | X | Application Support |
Warehouse Control System Interfacing to [****]* | WinXP | [****]* | 100 | Level 1 and Level 2 for infrastructure components. Vendor support for L2 Apps. |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | MHE | [****]* | H | M | X | Application Support |
Warehouse Control System Interfacing to [****]* | WinXP | [****]* | 100 | Level 1 and Level 2 for infrastructure components. Vendor support for L2 Apps. |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | MHE | [****]* | H | M | X | Application Support |
Warehouse Control System Interface to [****]*, Shipping Controls | WinXP | [****]* | 100 | Level 1 and Level 2 for infrastructure components. Vendor support for L2 Apps. |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS | Workload Management | H | H | X | Application Support |
Order Management and high level inventory management for [****]* CSC. Component of [****]* WMS. Receives customer orders from SAP, matches to inventory, cartonizes and prepares work for the warehouse. Reports inventory and order fulfillment activity to upstream systems. | Unix (Currently HP UX) migrating to Linux SUSE | [****]* | 100 | Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | POS | [****]* | M | M | X | Application Support |
Collect other brand sales data in dept store | Window Server | [****]* | Xxxxx 0 Support |
Local Language support required | ||||||||||||||||||||||
| Retail | Retail | CRM | CRM Campaign Module | M | M | X | Application Support |
Tool to support marketing campaign targetting VIP members. The application allows creating and maintaining mass communication to VIP members | Win2008 | [****]* | Internal users: 26 |
Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | CRM for Korea | X | Application Support |
Korea | Local Language support required | ||||||||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Retail | Retail | CRM | CRM Loop Websites | M | L | X | Application Support |
Websites to support CRM or VIP membership program in APD. The application allows members to check their purchase history or points accumulated or update their personal profile and in some markets do online redemption for gifts using points accumulated. | Win2008 | Languages Supported = English/Simplifiled Chinese/Trad.Chinese Programming [****]* | VIP members: 3036886 Internal users: 81 |
Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | CRM | CRM Reports | M | L | X | Application Support |
CRM or VIP Member analysis reports. | Win2003 | Languages Supported =English [****]* | Users: 20 | Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | Division Booking System | M | L | X | Application Support |
Seasonal booking, web replenishment ordering | Win2003 | [****]* | Users: 229 | Level 2 Support |
|||||||||||||||||||||||
| Retail | Retail | SharePoint | Retail Bulletin Board (APD) | M | M | X | Application Support |
A share point tool extended to stores that is used for communication or sharing contents ( like promotion initiation or training guide) | Win2008 | Langauges Supported = English/Simplifiled Chinese/Trad.Chinese/Japanese Microsoft SharePoint | 1,500+ | Xxxxx 0 Xxxxxxx |
||||||||||||||||||||||
| Xxxxxx | Xxxxxx | Xxxxxx | XXXX—Retail Store Database (LSEMA) | L | L | X | Application Support |
Retail store management system | Terminal Server: Win 2008 DB Server: Linux | [****]* | 350+ | Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | SMS | L | L | X | Application Support |
Retail store footfall counter | Terminal Server: Win 2008 DB Server: Sql 2008 | 500+ | Level 2 Support |
||||||||||||||||||||||||
| Retail | Retail | POS | WebPOS >> [****]*—Backoffice included) | H | M | X | Application Support |
Web based point of sale system used in [****]* | Window 7 | [****]* | ~150 | Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | POS | [****]* | M | M | X | Application Support |
Local POS | Level 2 Support |
|||||||||||||||||||||||||
| Retail | Retail | POS | [****]* | M | M | X | Application Support |
Local POS | Level 2 Support |
|||||||||||||||||||||||||
| Retail | Retail | POS | [****]* | M | M | X | Application Support |
Local POS | Level 2 Support |
|||||||||||||||||||||||||
| Retail | Retail | POS | [****]* | M | M | X | Application Support |
Local POS | Level 2 Support |
|||||||||||||||||||||||||
| Corp & BI | Corp & BI | VMI SAS technical support (administration) | Application Support |
VMI SAS technical support (administration) and support required for SQL server boxes which are feeding data to Hyperion | ||||||||||||||||||||||||||||||
| Corp & BI | Corp & BI | Hyperion Tax Provision | Application Support |
Hyperion Tax Provision support | ||||||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Manufacturing | GEMS | M | L | X | Application Support |
Packaginf tracking app for compliance | Level 2 Support |
|||||||||||||||||||||||||
| Wholesale | Wholesale | Aworkbook | Digital Linebook (Aworkbook) | M | L | X | Application Support |
Digital Linebook | Level 2 Support |
|||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Manugistics | IPS (Inventory, Production, Sales) | M | M | X | Application Support |
Pulls together sales, inventory and production actuals and forecasts. Used to determine production adjustments to better align supply and demand | Windows Server | SQL Server, SAS, Xxxxx/XX | 00-00 | Xxxxx 0 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Manugistics | PAR (Product Availability Reporting) | M | M | X | Application Support |
This provides different views of a time-phased replenishment plan at the product and / or size levels. Used for product availability reporting and production decisions | Windows Server | Oracle, Stored Procedures, XX.Xxx | 30 | Level 2 Support |
||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Kronos | M | M | X | Application Support |
time Management | ` | Level 2 Support |
Expecting 100 tickets/month from these applications | ||||||||||||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite |
Application / Module |
Criticality |
Complexity |
Global App |
Regional App (If applicable) |
Scope of Support |
Brief Description of Application Functionality |
O/S |
Languages |
Number of Users |
Support Level |
Language Support | ||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Maui | X | Application Support |
` | Xxxxx 0 Support |
||||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | WMS Lite | X | Application Support |
` | Xxxxx 0 Support |
||||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | PI | Garments Seconds Analysis (GSA)—Backend Support | M | M | X | Application Support |
Level 2 Support |
||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Excel PO Upload Tool | M | L | X | Application Support |
Level 2 Support |
|||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | POP Effective date upload Tool | M | L | X | Application Support |
Level 2 Support |
|||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Gerber Accumark – Deskside support installation only | L | L | X | Application Support |
Level 2 Support |
|||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Cygnus | X | Description = This is an interface for Crisplant supported by vendor | Level 2 Support |
|||||||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Boardwalk | H | M | X | Level 2 Support |
||||||||||||||||||||||||||||
| Wholesale | Wholesale | Hyp’Archiv | Hyp’Archiv | L | M | X | Application Support |
Active archive of invoices and delivery notes from pre-Pangaea era. Documents need to be retained for 10 years and are consulted by OTC, Central Inventory Ownership and Financial Controller. | Wintel | Unknown (packaged solution) | 50 | Level 2 Support |
||||||||||||||||||||||
| Retail | Retail | Application for Distributors Stores Support | X | Sales information upload process. Involves collection of data from Distributors in form of FTP, email, text file and excel files. Checking the content before uploading in DWH | Level 2 Support |
|||||||||||||||||||||||||||||
| Retail | Retail | Traffic Counter | VTA CM Traffic Counter (APD) interfaces | M | L | X | Traffic counter application to manage or configure the traffic count device in the stores | WinXP/Win7 | Level 2 Support |
|||||||||||||||||||||||||
| Global Supply Chain | Global Supply Chain | Casio Order Issuance System | L | L | X | home grown – written in Access/VB | Access/VB | Level 2 Support |
||||||||||||||||||||||||||
| * | Confidential treatment is requested for the language which has been marked. Such language has been deleted from the copy filed with the Securities and Exchange Commission. |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
Appendix B
Application Portfolio - External SaaS Interface Support
| LSA | Levi Xxxxxxx Americas | |
| LSE | Levi Xxxxxxx Europe | |
| AMA | Levi Xxxxxxx Asia, Middle East, Africa |
| Application Group |
Function |
App Suite | Application / Module |
Global App | Regional App (If applicable) | Scope of Support |
Support Level | |||||||||||||
| Corp | LSA | AMA | LSE | |||||||||||||||||
| Corp & BI |
Corp & BI |
ADP (LSUS / Canada) | X | Interface Support Only | Xxxxx 0 Xxxxxxx | |||||||||||||||
| Xxxx & XX |
Xxxx & XX |
XXX | X | Interface Support Only | Level 2 Support | |||||||||||||||
| Corp & BI |
Corp & BI |
Cybergrants | X | Interface Support Only | Level 2 Support | |||||||||||||||
| Global Supply Chain |
Global Supply Chain |
Direct Procurement |
TradeCard | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT001 Workday To E-Verify Employment Verification | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT002 Workday To Aetna Medical Insurance Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT003 Workday To EyeMed Vision Insurance Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT004/INT005 Workday To Fidelity 401K Eligibility And Demographics, Fidelity Pensioner Benefit Deductions | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT006 Workday To Fidelity Pensioner Benefit Deductions | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT007 Workday To Medgate Demographics | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT008 Workday To Kaiser Medical Insurance Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT009 Workday To Liberty Mutual Disability Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT010 Workday To Optum UBH EAP Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT011 Workday To VSP Vision Insurance Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT013 Workday To ADP PayForce USA Payroll Data | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT014 Workday To ADP PayAtWork CAN Payroll Data | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT028 Workday To Business Objects Data | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT029 Workday To ADP FSA Enrollments | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT030 Workday To CyberGrants Grants | X | Interface Support Only | Level 2 Support | ||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
| Application Group |
Function |
App Suite | Application / Module |
Global App | Regional App (If applicable) | Scope of Support |
Support Level | |||||||||||||
| Corp | LSA | AMA | LSE | |||||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT032 Workday To Inner Workings Demographics | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT035 Workday To LSCO Employee Leave Data | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT036 Workday To Levi Portal Demographics | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT037 Workday To State of California New Hire Reporting | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT038 Workday To HireRight Demographics | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT039 Workday to Health Advocate Demographics And Benefits Plans | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT040 Workday To Bright Horizons Backup Care Eligibility | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT041 Workday To Xxxxxx Retiree Census Data | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT042 Workday To ITIM Demographics | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT043 Workday To Kronos & SalesForce Demographics | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT048 Workday To IQNavigator User Setup Data | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT061 Workday To YourCause | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT062 Workday To Online Store | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT071 Workday To CICPlus | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | INT076 Workday To Medicare VDSA Voluntary Data Sharing Agreement | X | Interface Support Only | Level 2 Support | ||||||||||||||
| Corp & BI |
HR |
WORKDAY | Teleo -Interface | X | Interface Support Only | Level 2 Support | ||||||||||||||
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
|
||||
| Note: The following ticket volumes reflect approximately 80% of the total ticket volumes for service requests and incidents. | ||||
| Ticket Volume - Service Requests | ||||
| Area | Service Requests / Month | |||
| Application Support | eCommerce preliminary estimate | [****]* | ||
| Application Support | Retail Application Support | [****]* | ||
| Application Support | Wholesale Application Support | [****]* | ||
| Application Support | Supply Chain Application Support | [****]* | ||
| Application Support | Corp & BI Application Support | [****]* | ||
| Ticket Volume - Incidents |
||||
| Area | Incidents / Month | |||
| Application Support | eCommerce preliminary estimate |
[****]* | ||
| Application Support | Retail Application Support |
[****]* | ||
| Application Support | Wholesale Application Support |
[****]* | ||
| Application Support | Supply Chain Application Support |
[****]* | ||
| Application Support | Corp & BI Application Support |
[****]* | ||
| * | Confidential treatment is requested for the language which has been marked. Such language has been deleted from the copy filed with the Securities and Exchange Commission. |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
|
|
||||||||||||||||||||||||||
| Appendix D |
| |||||||||||||||||||||||||
| Reported Incidents by Priority | ||||||||||||||||||||||||||
| Priority | Xxxxx | |||||||||||||||||||||||||
| Xxxx |
X0 | X0 | X0 | X0 | X0 | |||||||||||||||||||||
| Xxxxxxxxxxx Support |
Retail Application Support | [****]* | [****]* | [****]* | [****]* | [****]* | [****]* | |||||||||||||||||||
| Application Support |
Wholesale Application Support | [****]* | [****]* | [****]* | [****]* | [****]* | [****]* | |||||||||||||||||||
| Application Support |
Supply Chain Application Support | [****]* | [****]* | [****]* | [****]* | [****]* | [****]* | |||||||||||||||||||
| Application Support |
Corp & BI Application Support | [****]* | [****]* | [****]* | [****]* | [****]* | [****]* | |||||||||||||||||||
| * | Confidential treatment is requested for the language which has been marked. Such language has been deleted from the copy filed with the Securities and Exchange Commission. |
| CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY | CONFIDENTIAL EXECUTION VERSION |
|
|
||||
| Appendix E | ||||
| Hours Required for Change Requests / Enhancements | ||||
| Area |
Application Group |
Enhancement Hours / Month | ||
| Application Support |
eCommerce | 500 | ||
| Application Support |
Retail | 35 | ||
| Application Support |
Wholesale | 10 | ||
| Application Support |
Global Supply Chain | |||
| Flex PLM/Da-Vinci/Web PDM |
200 | |||
| CARTS/Andromeda/Boardwalk |
100 | |||
| Distribution center Applications (Red prairie, Workload mgmt, Euro VAS etc) |
200 | |||
| Enhancement to applications used by Canada/Mexico/Brazil |
||||
| Application Support |
Corp & BI | 325 | ||
| Application Support |
Workday Interfaces enhancements | 160 | ||
| Application Support |
Non Business Project Hours (Apps KTLO Project Effort) | 170 | ||
|
| ||||
| Total | 1,700 | |||
| Others |
||||
| Application Support |
eCommerce Security Scans | 2 scans / month (1 for Major + 1 for Minor Release) | ||
Local Language Requirements
| Country |
Application Group |
Application Names |
Local Language | |||
| Taiwan | Retail | • Competitive Connect System |
Taiwan | |||
| Korea |
Retail | • CRM |
Korean | |||
| • WebPOS >> (KOREA—Backoffice included) | ||||||
| China |
Corp & BI |
• DWH (APD) |
Simplified Chinese Traditional Chinese Mandarin Japanese | |||
| • NXPDC
| ||||||
| Retail |
• CRM Loop Websites | |||||
| • CRM Reports | ||||||
| • Division Booking System | ||||||
| • Retail Bulletin Board (APD) |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.3.8
DESCRIPTION OF SERVICES – INFORMATION TECHNOLOGY SERVICES
TEST CENTER OF EXCELLENCE (TCOE)
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.
Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following:
| • | Test Center of Excellence (TCoE) |
Without limiting Section 3 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “Ö” in the column labeled Supplier).
| 2. | TEST CENTER OF EXCELLENCE(TCOE) |
| Ref. ID |
Principal Activities |
Responsibility | ||||||||
| Supplier | LS&Co. | |||||||||
| TCOE.2 |
TEST CENTER OF EXCELLENCE |
|||||||||
| TCOE.2.1 |
Core Services |
|||||||||
| TCOE.2.1.1 |
Define TCOE Operation Model |
X | ||||||||
| TCOE.2.1.2 |
Define TCOE Governance Model |
X | ||||||||
| TCOE.2.1.3 |
Define Demand Management Framework |
X | ||||||||
| TCOE.2.1.4 |
Continuously Define Test Plan for Project releases |
X | ||||||||
| TCOE.2.1.5 |
Define Test Process Framework(Process, Methodology, Tools) |
X | ||||||||
| TCOE.2.1.6 |
Provide roadmap for Test Process Implementation |
X | ||||||||
| TCOE.2.1.7 |
Perform Audits and produce findings for review on Quality Gates for identified projects |
X | ||||||||
| TCOE.2.1.8 |
Define, Refine & Set Up Test Automation Framework and creation of Automation Assets |
X | ||||||||
| TCOE.2.1.9 |
Continuously Perform Test Automation Assessment |
X | ||||||||
| TCOE.2.1.10 |
Define, Refine & Set Up Performance Test Framework and creation of Performance Assets |
X | ||||||||
| TCOE.2.1.11 |
Continuously Perform Performance Test Assessment |
X | ||||||||
| TCOE.2.1.12 |
Test Environment Management(Planning & Co-ordination) |
X | ||||||||
| TCOE.2.1.13 |
Test Data Planning & Co-ordination of Project needs (not Data Creation)) |
X | ||||||||
| TCOE.2.1.14 |
Test Tool Administration and test bed set up for Project & User Maintenance Activities HP QC, HP QTP, HP LoadRunner, Borland SilkTest Any Additional tools we add as part of TCOE tool assessment |
X | ||||||||
| LS&Co. – Attachment 2.3.8 – Description of Services – Information Technology Services – Test Center of Excellence (TCOE) | Page 1 |
CONFIDENTIAL TREATMENT REQUESTED – REDACTED COPY
CONFIDENTIAL
EXECUTION VERSION
| Ref. ID |
Principal Activities |
Responsibility | ||||||||
| Supplier | LS&Co. | |||||||||
| Additional items |
|
|||||||||
| TCOE.2.2 |
Flex Team |
|||||||||
| TCOE.2.2.1 |
Create Regression, QA, Performance, and Automation Test Bed’s. Serve as a Test Leads, Coordinators, Testers etc... all defined on a project need basis under TCOE working framework to extend the CORE team on an as need basis |
X | ||||||||
| TCOE.2.3 |
Production Support Testing |
|||||||||
| TCOE.2.3.1 |
Maintain Regression Test Bed’s (all the above types) to keep Assets up to date |
X | ||||||||
| TCOE.2.3.2 |
Test Governance of SAP & RAYMARK releases |
X | ||||||||
| TCOE.2.3.3 |
Facilitate Functional/Business-Process Knowledge of the Applications for in-scope projects |
X | ||||||||
| TCOE.2.3.4 |
Testing for CRs and Maintenance Releases leveraging production support team (Excluding SAP & RAYMARK) |
X | ||||||||
Note: Any activities which are not listed in the above table shall be considered as out of scope.
| 3. | RACI (RESPONSIBLE-ACCOUNTABLE-CONSULTED-INFORMED): |
Supplier has defined the RACI (Responsible – Accountable – Consulted –Informed) Matrix for the Services provided in scope. Supplier will further detail the RACI during the initial phase of the engagement and will validate and mutually agree on the RACI matrix with LS&Co.:
| Ref. # |
Task |
Supplier | LS&Co. | |||
| 1 |
TCOE Core Services |
|||||
| 1.1 |
Create Operation Model |
RA | C | |||
| 1.2 |
Sign-off Operation Model |
A | R | |||
| 1.3 |
Create Governance Model |
RA | C | |||
| 1.4 |
Sign-off Governance Model |
A | R | |||
| 1.5 |
Create Demand Management Framework |
RA | C | |||
| 1.6 |
Sign-off Demand Management Framework |
A | R | |||
| 1.7 |
Manage & Publish Demand |
RA | C | |||
| 1.8 |
Plan for Release tests |
RA | C | |||
| 1.9 |
Sign-off Release tests plan |
A | R | |||
| 1.10 |
Understand Current Process and test landscape |
RA | I | |||
| 1.11 |
Define Test Process Framework (Methodology, Tools) |
RA | C | |||
| 1.12 |
Sign-off Test Process Framework |
A | R | |||
| 1.13 |
Provide roadmap and Implement Test Processes |
RA | C | |||
| 1.14 |
Sign-off Roadmap for test process implementation |
A | R | |||
| 1.15 |
Audit Quality Gates for Project Releases & Publish Findings |
RA | C | |||
| 1.16 |
Sign-off Audit Findings |
A | R | |||
| 1.17 |
Create Test Automation Framework |
RA | I | |||
| 1.18 |
Sign-off Test Automation Framework |
A | R | |||
| 1.19 |
Assess Test cases for Automation & Publish Assessment Report |
RA | C | |||
| 1.20 |
Sign-off Automation Assessment Report |
A | R | |||
| 1.21 |
Create Performance Test Framework |
RA | I | |||
| 1.22 |
Sign-off Performance Test Framework |
A | R | |||
| 1.23 |
Assess Test Scenarios for Performance Test & Publish Assessment Report |
RA | C | |||
| 1.24 |
Sign-off Performance Test Assessment Report |
A | R | |||
| 1.25 |
* Test Environment Management (Planning & Co-Ordination for projects) |
RA | C | |||
| 1.26 |
Test Data Management (Requirements, Planning & Co-Ordination) |
RA | C |
| LS&Co. – Attachment 2.3.8 – Description of Services – Information Technology Services – Test Center of Excellence (TCOE) | Page 2 |
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| Ref. # |
Task |
Supplier | LS&Co. | |||
| 1.27 |
Test Tools Administration (User Maintenance) for HP QC, HP QTP, HP LoadRunner, Borland SilkTest Any Additional tools we add as part of TCOE tool assessment |
RA | I | |||
| 2 |
Flex Team |
|||||
| 2.1 |
Create Regression Test Bed |
RA | C | |||
| 2.2 |
Sign-off Regression Test Bed |
A | R | |||
| 3 |
Production Support Testing |
|||||
| 3.1 |
Test Governance of SAP & RAYMARK releases |
RA | C | |||
| 3.2 |
Maintain Regression Test Bed to keep it up to date |
RA | I | |||
| 3.3 |
Knowledge Acquisition of In-Scope projects. Activities defined on a project need basis under TCOE working framework to extend the CORE team on an as need basis |
A | R | |||
| 3.4 |
Testing of CRs & Maintenance Releases (Excluding SAP & RAYMRARK) leveraging production support team Activities defined on a project need basis under TCOE working framework to extend the CORE team on an as need basis |
RA | I |
| * | TCoE will be responsible for coordinating with the development and infrastructure teams to define the number of instances and the environment needs for each project and for getting to a workable solution for each project that may or may not include all test environments for all applications. |
| 4. | DELIVERABLES |
TCoE Core Services:
| • | Understanding Document of Current Test Processes |
| • | TcoE Operation Model |
| • | TcoE Governance Model/Framework |
| • | Demand Management Framework |
| • | Test Environment Management Framework |
| • | Test Data Management Framework |
| • | Test Process Handbook/Framework |
| • | Test Process Implementation Roadmap |
| • | Plan for Test Releases |
| • | Quality Gate Audit Assessment Report |
| • | Test Automation Framework |
| • | Test Automation Assessment Report |
| • | Performance Test Framework |
| • | Performance Test Assessment Report |
| • | Test Tool Administration Activities Report |
TCoE Flex Team:
| • | Regression, QA, Performance, and Automation Test Bed’s. Status Report for Test Bed Creation |
| LS&Co. – Attachment 2.3.8 – Description of Services – Information Technology Services – Test Center of Excellence (TCOE) | Page 3 |
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Production Support Testing:
| • | Process Compliance Report for testing projects |
| • | Test Plan (as applicable/needed), Test Cases, Test Results for CRs/Maintenance Releases |
| 5. | OPERATING MODEL: |
Below figure depicts the operating model for TCoE & Production Support testing:
| 6. | ASSUMPTIONS & DEPENDENCIES: |
| • | LS&Co. shall assign a Single Point of Contact (SPoC) for the Supplier Testing Team who would have the necessary authority to mobilize relevant resources in LS&Co. and approve Deliverables from the Supplier Team |
| • | LS&Co. shall facilitate collaboration with other Partners to ensure seamless testing operations. |
| • | The Supplier team should have access to all existing documentation that will have a bearing on the testing activities, including: |
| • | Business requirement documents |
| • | High level architecture documents |
| • | System design documents |
| • | Application specific documentation |
| • | Necessary access to the Testing Environment & Test Data will be provided by LS&Co. |
| • | During the test execution phase, the required software builds will be available in the test environment as per the agreed upon schedule. |
| • | Testing environments will be available through the test execution phase. Test environment downtime, if any, should be communicated to the Supplier testing team ahead of the plan |
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| • | Fixes to defects raised by testing team will be provided by the application & development, team/s as per the agreed plan and timeline with LS&Co. |
| • | Compliance to the TCoE process is the responsibility of LS&Co. as outlined in the RACI above. |
| • | LS&Co. shall provide Testing Tool Licenses (HP Quality Centre, HP Quick Test Professional, HP LoadRunner, Borland SilkTest, etc.) to the Supplier Team. Based on the future demands, if any additional testing tools or licenses are required for carrying out the testing activities, the same shall be decided and procured by LS&Co. |
| • | LS&Co. shall provide remote access (Onsite as well as Offshore) to the Testing Tools for the Supplier Team & provide Administrator privileges to the Testing Tools for the Supplier Test Tool Administrator |
| 7. | STAFFING |
The following testing roles are identified for this Description of Services. The location from which each role will operate is listed in the table below. These are indicative roles and Supplier may add / remove roles as may be necessary from time to time in consultation with LS&Co.
| SERVICE |
ROLE |
LOCATION | ||
| TCoE | TCoE lead | LS&Co. in San Francisco California USA | ||
| Demand Manager | LS&Co. in San Francisco, California, USA | |||
| Test Environment Lead | Supplier Offices in Pune, India | |||
| Test Data Management Lead + Test Tool Administrator | Supplier Offices in Pune, India | |||
| Automation Architect | Supplier Offices in Pune, India | |||
| SERVICE |
ROLE |
LOCATION | ||
| Production Support Testing | Performance Test Architect Test lead Test Engineer |
Supplier Offices in Pune, India LS&Co. in San Francisco, California USA Supplier Offices in Xxxx, Xxxxx | ||
| 0. | ACCEPTANCE OF DELIVERABLES |
The Acceptance Criteria for the Deliverables identified in Section 5 are as follows.
| • | It satisfies the scope of the work described in the SOW, and it contains the content described in the Deliverables section; or |
| • | Achievement of the specified test result for each test specified in the Test Plan |
Acceptance Period: The Acceptance Period is 7 calendar days from the date of submission of the Deliverables beyond which it is deemed accepted.
| 9. | REPORTS |
Following reports will be made available to LS&Co. during the course of this SOW. Supplier TCOE Lead would be accountable for the below mentioned reports.
| • | Daily / Weekly / Executive Summary Reports / Test Execution Reports during the Projects Test execution phase. This will consist of, but not be limited to, Planned vs. Actual number of test cases executed, Number of test cases passed, Number of test cases failed, List of defects logged and their status, Number of test cases blocked, Number of test cases pending execution, High severity defects (blockers) that require a fix to continue with testing and any downtimes encountered during testing with reasons. |
| • | Weekly TCOE Status summary will consist of the tasks accomplished in the entire week, a tracker for milestones, planned tasks for the week ahead, risks, issues and dependencies. This will be delivered to the LS&Co. Manager in a mutually agreed upon format. |
| LS&Co. – Attachment 2.3.8 – Description of Services – Information Technology Services – Test Center of Excellence (TCOE) | Page 5 |
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| • | Monthly Reports will describe Supplier’s performance and compliance to each of the Service Levels agreed. This report shall be published in the first week of every month. |
SERVICE LEVELS
The following Service Levels have been agreed upon between the Parties as of the Effective Date.
| Service Level 01:– Quality | ||
| Objective |
To measure effectiveness of Supplier’s testing of Releases | |
| Definition |
Defect leakage to Production with Severity 1 for testing done by Supplier. | |
| Service Level 01:– Quality | ||
| Method | ||
| Data Capture |
Severity 1(Critical) defect leakage into Production which are fixed shall be measured till 3 months from the date of Go-live date for every Release by gathering the data from Incident/Ticket Management System in Production | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Only Fixed (Resolved with Code Change) defects from Incident/Ticket Management System in Production would be gathered on weekly basis Approved outstanding defects for Go-live or Defects relating to aspects that could not be tested in the Test Environment or was not part of the approved test set or not attributed to performance issues would not be covered under this Service Level | |
| Expected Performance |
Expected and minimum level of defects slippage shall be 0 (ZERO) | |
| Service Level 02:– Schedule | ||
| Objective |
To measure Schedule adherence of Supplier testing team | |
| Definition |
Schedule Slippage is calculated using the formulae => {(Actual Duration—Estimated Duration)/Estimated Duration} *100 | |
| Method | ||
| Data Capture |
Slippage of schedule for each test release conducted by Supplier shall be measured by gathering data from Project Plan/Test Plan/HP Quality Center. Final milestone (test execution completion) shall be considered for measuring schedule slippage. Intermediate milestones/dates of testing will not be considered for measuring schedule slippage. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Schedule Slippage is calculated using the formulae => {(Actual Duration—Estimated Duration)/Estimated Duration} *100. Approved revised schedule or schedule slippage reasons not attributable to Supplier testing team would not be covered under this Service Level. | |
| Expected Performance |
Expected and the minimum level of schedule slippage for each release shall be 0 (ZERO) | |
| Service Level 03: Test Planning Accuracy | ||
| Objective |
To ensure that Supplier delivers test cases as planned. | |
| Definition |
Test Cases planned to create versus test cases actually created. | |
| Method | ||
| Data Capture |
During the regression test case development planning:
• Supplier will determine the number of test cases needed by start of test phase based on requirements;
• Supplier will document all test cases in Quality Center and report test case creation progress against plan. | |
| Measurement Interval |
Weekly or at LS&Co.’s REQUEST | |
| Method of Calculation |
Test cases created/test cases planned to be created | |
| Expected Performance |
95% of planned test cases are created as scheduled | |
| LS&Co. – Attachment 2.3.8 – Description of Services – Information Technology Services – Test Center of Excellence (TCOE) | Page 6 |
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| Service Level 04: Test Execution Accuracy | ||
| Objective |
To ensure that Supplier executes test cases as planned. | |
| Definition |
Test Cases planned to execute versus test cases actually executed. | |
| Method | ||
| Service Level 01:– Quality | ||
| Data Capture |
During the test case execution planning:
• Supplier will determine the number of regression test cases needed to execute by start of test phase based on requirements;
• Supplier will track all test case execution in Quality Center and report test case execution progress against plan | |
| Measurement Interval |
Daily or at LS&Co.’s REQUEST | |
| Method of Calculation |
Test cases executed/test cases planned to be executed | |
| Expected Performance |
95% of planned test cases are executed as scheduled | |
| LS&Co. – Attachment 2.3.8 – Description of Services – Information Technology Services – Test Center of Excellence (TCOE) | Page 7 |
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EXECUTION VERSION
MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.4
DESCRIPTION OF SERVICES – CUSTOMER SERVICE SERVICES
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| 1. | INTRODUCTION |
Purpose: This Exhibit describes the Services to be performed for LS&Co. by Supplier pursuant to the Agreement.
References: References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto.
Definitions: As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated.
The Services to be provided by Supplier to LSA, LSE, & AMA under this Agreement are categorized into the following Processes:
| • | Order Management |
| • | Dispute Management |
| • | Other Customer Services Activities |
| • | Preliminary Order Processing (POP) |
| • | Reporting |
| • | Returns |
Without limiting Section 3.1 of the Agreement, the Services include (a) the services, functions and responsibilities described in this Attachment; and (b) the services, functions and responsibilities identified in the roles and responsibilities matrices contained within this Attachment for which Supplier is responsible (i.e., those Services which have an “X” in the column labeled Supplier).
| 2. | CUSTOMER SERVICE—ORDER MANAGEMENT |
Supplier will be responsible for performing the Customer Service, order management. The “Customer Service” Process consists of a comprehensive set of integrated functions and responsibilities that constitute, support or relate to the processing of orders, disputes and returns in connection with LS&Co.’s business.
| Principal Activity |
Supplier | LS&Co. | ||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||
| 1. Order Management |
||||||||||||
| 1.1 Order Capture & Process |
||||||||||||
| 1.1.1 Enter Orders for all order types including POSM and brand apparel products |
X | X | X | |||||||||
| Capture these orders manually, excel upload (or other upload tools), EDI |
X | X | X | |||||||||
| 1.1.2 and other local country systems 1.1.3 Raise exceptions that are system driven that would prevent an order from being processed or shipped (e.g.: blocks, incompletes, VAS, pricing discrepancies etc.) |
X | X | X | |||||||||
| 1.1.4 To handle exceptions, Supplier will attain approvals from LS&Co. team. Exceptions could surface from blocks pertaining to Pricing errors, price change requests, etc. |
X | X | X | |||||||||
| 1.1.5 Resolve raised exceptions and provide approval for Supplier to execute |
X | X | X | |||||||||
| 1.1.6 Execute per resolution provided by LS&Co |
X | X | X | |||||||||
| 1.1.7 Analyze incoming orders and remove duplicate orders |
X | X | X | |||||||||
| 1.1.8 Conduct the analysis, identify and raise missing/inaccurate EDI order transmissions |
X | X | X | |||||||||
| 1.1.9 Resolve raised problematic EDI order transmissions |
X | X | X | |||||||||
| LS&Co. – Attachment 2.4 – Description of Services – Customer Service Services | Page 1 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| 1.2 Pro-Active Order Management |
||||||||||||||||||||||||
| 1.2.1 Validate Material master data, upload dummy orders to verify material master is set-up correctly for POP, pre-booking order on seasonal SKU’s listing |
X | X | X | |||||||||||||||||||||
| 1.2.2 Maintain customer compliance document |
X | X | X | |||||||||||||||||||||
| 1.2.3 Inform team on the changes in customer compliance documentation |
X | X | X | |||||||||||||||||||||
| 1.2.4 Produce and provide all relevant shipping / order management status reports to LS&Co. team 1. All Monitoring / Tracking reports 2. Monthly fiscal order completion reports 3. Order status reports (Open order & Open order by RDD) 4. Order ageing reports 5. Delivery block reports |
X | X | X | |||||||||||||||||||||
| [List of reports to be finalized in TA / KA] |
||||||||||||||||||||||||
| 1.2.5 Manually enter and update product data translation on customer systems. |
X | X | X | |||||||||||||||||||||
| 1.2.6 Manage Pricat seasonal outputs |
X | |||||||||||||||||||||||
| 1.2.7 Maintain contract / bulk management |
X | X | X | |||||||||||||||||||||
| 1.2.8 Monthly and weekly contract / bulk cleansing (including moves and cancels) per contract policy |
X | X | X | |||||||||||||||||||||
| 1.2.9 Retained organization to coordinate with sales to obtain approval for contract movement on a weekly/monthly basis and inform Supplier to execute movement |
X | X | X | |||||||||||||||||||||
| 1.2.10 Retained organization to review canceled residual contracts on a weekly and monthly basis |
X | X | X | |||||||||||||||||||||
| 1.2.11 Ensure call-off orders decrement from contract / bulk and not pull from open availability |
X | X | X | |||||||||||||||||||||
| 1.2.12 If call-off orders are pulled from open availability, inform the retained team |
X | X | X | |||||||||||||||||||||
| 1.2.13 Retained team resolves call-off orders that are pulled from open availability instead of from contracts and informs Supplier |
X | X | X | |||||||||||||||||||||
| 1.2.13 Supplier executes changes |
X | X | X | |||||||||||||||||||||
| 1.2.14 Confirm that changes raised by the retained team have been made |
X | X | X | |||||||||||||||||||||
| 1.2.15 Maintain and update PDU on MarketMax as per changes raised by the retained team |
X | |||||||||||||||||||||||
| 1.2.16 Provide update or changes on PDU via email |
X | X | ||||||||||||||||||||||
| 1.2.17 Make changes to an order as per allocation requests from the retained team |
X | X | X | |||||||||||||||||||||
| 1.2.18 Provide changes in allocation |
X | X | X | |||||||||||||||||||||
| 1.2.19 Manage the Force Allocation process/decisions |
X | X | X | |||||||||||||||||||||
| 1.2.20 Process Force Allocation requests subject to retained organization direction |
X | X | X | |||||||||||||||||||||
| 1.2.21 Generate and analyze pending order cancellation report |
X | X | X | |||||||||||||||||||||
| 1.2.22 Proactive communication to retained team in case of pending order cancellation |
X | X | X | |||||||||||||||||||||
| 1.2.23 Manage Pre-ship approval process |
X | X | X | |||||||||||||||||||||
| 1.2.24 Execute re-dating of orders based on pre-shipment approvals |
X | X | X | |||||||||||||||||||||
| 1.2.25 Raise issues impacting ability to ship by cancel date and work with retained team for resolution which could include extending cancellation dates |
X | X | X | |||||||||||||||||||||
| 1.2.26 Manual delivery creation as needed |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.4 – Description of Services – Customer Service Services | Page 2 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| 1.2.27 Obtain approval documentation from Sales and Customers for orders requiring cancel date extensions, price changes, product quantity adjustments, and product substitutions |
X | X | X | |||||||||||||||||||||
| 1.2.28 Communicate and provide approval to the course of action to the Supplier team |
X | X | X | |||||||||||||||||||||
| 1.2.29 Execute the course of action and confirm that it has been executed |
X | X | X | |||||||||||||||||||||
| 1.2.30 Ensure orders are error free and ready for Allocation |
X | X | X | |||||||||||||||||||||
| 1.2.31 Provide 2nd line of support for SAP issues |
X | X | X | |||||||||||||||||||||
| 1.2.32 Ensure order files are cleansed in accordance with LS&Co. policy |
X | X | X | |||||||||||||||||||||
| 1.2.33 Provide LS&Co. policies and inform changes to the policies |
X | X | X | |||||||||||||||||||||
| 1.2.34 Manage customer procurement and validation of VAS data for upload |
X | X | ||||||||||||||||||||||
| 1.2.35 Manage VAS data upload into related systems |
X | X | ||||||||||||||||||||||
| 1.2.26 Support LS&Co. with re-determination of the order files once the VAS data is uploaded to include account and product level VAS |
X | X | ||||||||||||||||||||||
| 1.3 Order Management Analyst (Work) |
||||||||||||||||||||||||
| 1.3.1 Analyze inventory position in a constrained inventory environment |
X | X | X | |||||||||||||||||||||
| 1.3.2 Determine when inventory is due-in to support the order. In LSA, this includes reporting out due-in dates from SAP |
X | X | X | |||||||||||||||||||||
| 1.3.3 Communicate to the retained organization for resolution |
X | X | X | |||||||||||||||||||||
| 1.3.4 Partner with Demand Planning (DP) to analyze and maximize inventory as the issue is raised from the Supplier team. Communicate the resolution to Supplier |
X | X | X | |||||||||||||||||||||
| 1.3.5 Execute order changes as per resolution provided |
X | X | X | |||||||||||||||||||||
| 1.3.6 Communicate price changes based on price order attribute |
X | X | X | |||||||||||||||||||||
| 1.3.7 Manage all price changes at order level (including in-season price changes/ late adoptions approval process |
X | X | X | |||||||||||||||||||||
| 1.3.9 Identify and communicate product issues such as fallout, DNA, etc. to Supplier that impact the order file |
X | X | X | |||||||||||||||||||||
| 1.3.10 Execute order changes as per communication from the retained team |
X | X | X | |||||||||||||||||||||
| 1.3.11 Develop, maintain and conduct OM process and systems training to Supplier agents |
X | X | X | |||||||||||||||||||||
| 1.3.12 Identify and raise trends that results in recurring issues that negatively impacts orders |
X | X | X | |||||||||||||||||||||
| 1.3.13 Initiate the root-cause analysis that drives the issues and provide a proposed solution of the issues to the retained organization |
X | X | X | |||||||||||||||||||||
| 1.3.14 Identify any potential issues with SAP and escalate directly with IT as required for resolution. Keep LS&Co. informed on status. |
X | X | X | |||||||||||||||||||||
| 1.3.15 Retained organization determines impact to orders based on redeployment strategies from distribution |
X | X | X | |||||||||||||||||||||
| 1.3.16 Realign orders based on the input from retained organization |
X | X | X | |||||||||||||||||||||
| 1.3.17 “Inventory redeployment from one DC to another: > Work with internal stakeholders to identify redeployed inventory > Communicate changes of plant on orders to Supplier |
X | X | X | |||||||||||||||||||||
| 1.3.18 Provide direction (approval / disapproval) on order changes based on plant redetermination |
X | X | X | |||||||||||||||||||||
| 1.3.19 Execute order changes based on the approval and plant re-determination provided by LS&Co |
X | X | X | |||||||||||||||||||||
| 1.3.20 Recommend opportunities for business process improvement |
X | X | X | |||||||||||||||||||||
| 1.3.21 Develop and Maintain business process documentation |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.4 – Description of Services – Customer Service Services | Page 3 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| 1.3.22 “SAP system (where relevant to OM): |
X | X | X | |||||||||||||||||||||
| >Develop SAP test strategy, plans, scripts and execute the test for system enhancements |
||||||||||||||||||||||||
| >Develop Business Requirements Documents for process changes affecting systems changes |
||||||||||||||||||||||||
| > Resident expert on OM SAP process and technology” |
||||||||||||||||||||||||
| 1.3.23 Ensure all business processes are SOX compliant |
||||||||||||||||||||||||
| 1.3.24 Support store to store stock transfer orders by managing to completion the virtual return process in SAP |
X | X | ||||||||||||||||||||||
| 1.3.25 Support special OTC process for e-Commerce |
X | X | X | |||||||||||||||||||||
| 1.4 Excess and Obsolete Inventory |
||||||||||||||||||||||||
| 1.4.1 Tracks and identify obsolete inventory for export orders |
X | |||||||||||||||||||||||
| 1.4.3 Enter and manage orders through completion |
X | X | X | |||||||||||||||||||||
| 1.4.4 Report status of orders and flag any issues with orders |
X | X | X | |||||||||||||||||||||
| 1.5 Free-Of-Charge Goods (i.e.: Samples, Uniforms, Product Placements, Giveaways, Promotions, etc.) |
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| 1.5.1 Develop and maintain policies for all FOC goods |
X | X | X | |||||||||||||||||||||
| 1.5.2 Validation of FOC orders according to LS&Co. policy |
X | X | X | |||||||||||||||||||||
| 1.5.4 Attain special approvals (Sales / Finance) |
X | X | X | |||||||||||||||||||||
| 1.5.5 Receive and process FOC orders through shipping |
X | X | X | |||||||||||||||||||||
| 2. Preliminary Order Processing (POP) / Pre-Season Booking |
||||||||||||||||||||||||
| 2.1 POP Preparation |
||||||||||||||||||||||||
| 2.1.1 Manage compliance to seasonal sell in windows (GTM) |
X | X | ||||||||||||||||||||||
| 2.1.2 Capture pre-booking orders for agreed upon accounts |
X | X | X | |||||||||||||||||||||
| 2.1.3 Process pre-booking orders for agreed upon accounts |
X | X | X | |||||||||||||||||||||
| 2.1.4 Coordinate with internal stakeholders for POP reconciliation |
X | X | X | |||||||||||||||||||||
| 2.1.5 Communicate POP amendments to Sales / Customers |
X | X | X | |||||||||||||||||||||
| 2.1.6 Amend pre-booking orders relative to POP results |
X | X | X | |||||||||||||||||||||
| 2.1.6 For selected accounts, communicate POP contract data to be entered into sales forecasting tool |
X | |||||||||||||||||||||||
| 2.1.7 Enter / Upload POP PDU Data into forecasting tool—MARKETmax |
X | |||||||||||||||||||||||
| 2.3 POP Contracts |
||||||||||||||||||||||||
| 2.3.1 Submits pre-pack template |
X | X | ||||||||||||||||||||||
| 2.3.2 Enter / upload POP Contracts into SAP |
X | X | ||||||||||||||||||||||
| 2.3.3 Communicate POP adjustments direction |
X | |||||||||||||||||||||||
| 2.3.4 Reject or adjust contracts based on direction from LS&Co. |
X | |||||||||||||||||||||||
| 2.3.5 Manage through Contract lifecycle according to policy |
X | X | ||||||||||||||||||||||
| 2.3.6 Provide POP reporting to retained organization |
X | X | ||||||||||||||||||||||
| 2.3.7 Retained organization to communicate to key stakeholders (internal / external) |
X | X | X | |||||||||||||||||||||
| 2.3.8 Release POP/Bulk entered |
X | X | ||||||||||||||||||||||
| 2.3.9 Validates unit quantities |
X | X | ||||||||||||||||||||||
| 3. Dispute & Returns Management |
||||||||||||||||||||||||
| 3.1 Dispute Management |
||||||||||||||||||||||||
| 3.1.1 Coordinate with retained org if sales interjection is required |
X | X | X | |||||||||||||||||||||
| 3.1.2 Log into SAP to review any raised disputes on a daily basis |
X | X | X | |||||||||||||||||||||
| 3.1.3 Conduct research to determine the validity of the dispute |
X | X | X | |||||||||||||||||||||
| 3.1.4 Coordinate with supplier F&A team for approval / rejection |
X | X | X | |||||||||||||||||||||
| 3.1.5 Justify dispute acceptance or rejection with supporting documentation |
X | X | X | |||||||||||||||||||||
| 3.1.6 If the dispute is accepted, update UDM in SAP with results of dispute research with attached supporting documents |
X | X | X | |||||||||||||||||||||
| 3.1.7 If a dispute is rejected, raise it to the retained organization |
X | X | X | |||||||||||||||||||||
| 3.1.8 Retained organization will approve / disapprove dispute rejection |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.4 – Description of Services – Customer Service Services | Page 4 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| 3.1.9 Close the dispute in UDM as per communication from the retained organization |
X | X | X | |||||||||||||||||||||
| 3.2 Returns Management |
||||||||||||||||||||||||
| 3.2.1 Receive returns requests via MBX or phone |
X | X | X | |||||||||||||||||||||
| 3.2.2 Obtain approval from retained organization for returns that exceed defined threshold defined in policy |
X | X | X | |||||||||||||||||||||
| 3.2.3 Approve / Reject requests provided by the retained team |
X | X | X | |||||||||||||||||||||
| 3.2.4 Process approved returns and manage return until it closes |
X | X | X | |||||||||||||||||||||
| 3.2.5 Enter pick up onto carrier sites |
X | X | ||||||||||||||||||||||
| 3.2.6 Validation of Return when there is a return variance with DC/RDC (DC) and resolves the variance internally |
X | X | X | |||||||||||||||||||||
| 3.2.7 Coordination with freight carriers |
X | X | ||||||||||||||||||||||
| 3.2.8 Issue Credit Notes (MEX only for LSA) |
X | X | X | |||||||||||||||||||||
| 4. Reporting |
||||||||||||||||||||||||
| 4.1 Internal Reporting |
||||||||||||||||||||||||
| 4.1.1 Set Global/ Regional reporting requirements |
X | X | X | |||||||||||||||||||||
| 4.1.2 Partner with internal key stakeholders to understand local/exceptional reporting requirements |
X | X | X | |||||||||||||||||||||
| 4.1.3 Execute data pulls and reporting needs (global and regional) |
X | X | X | |||||||||||||||||||||
| 4.1.4 Provide routine business reporting |
X | X | X | |||||||||||||||||||||
| 4.1.5 Provide bi-weekly sales-shipping status report |
X | X | X | |||||||||||||||||||||
| 4.1.6 Provide report to sales on outstanding POs |
X | X | X | |||||||||||||||||||||
| 4.1.7 Provide update on product discontinuation |
X | X | X | |||||||||||||||||||||
| 4.1.8 Provide metrics / KPIs reporting |
X | X | X | |||||||||||||||||||||
| 4.1.9 Generate Account specific reports |
X | X | X | |||||||||||||||||||||
| 4.1.10 Generate Product Cancelled reports |
X | X | X | |||||||||||||||||||||
| 4.1.11 Generate Product adjustment reports [List of reports to be finalized during TA] |
X | X | X | |||||||||||||||||||||
| 5. Other Customer Service Activities |
||||||||||||||||||||||||
| 5.1 Support & Research |
||||||||||||||||||||||||
| 5.1.1 Provide ad hoc support and analysis to internal cross functional stakeholders and customers |
X | X | X | |||||||||||||||||||||
| 5.1.2 Respond to research requests |
X | X | X | |||||||||||||||||||||
| 5.1.3 Review and present reports to stakeholders and customers. If the report does not meet the requirements (incomplete / incorrect / requires edits), reach out to Supplier team |
X | X | X | |||||||||||||||||||||
| 5.1.4 Receive feedback on report that needs to be edited in any way and revert with the corresponding changes |
X | X | X | |||||||||||||||||||||
| 5.2 Sales Assistance |
||||||||||||||||||||||||
| 5.2.1 Coordinate picking tickets |
X | |||||||||||||||||||||||
| 5.2.2 Order picking tickets |
X | |||||||||||||||||||||||
| 5.2.3 Upload invoices in customer systems |
X | |||||||||||||||||||||||
| 5.2.4 Issue Latin America Licensee PO requisition |
X | |||||||||||||||||||||||
| 5.2.5 Provide the following as requested: product EAN list, Available to sell (A2S) report, distressed inventory list.” |
X | X | X | |||||||||||||||||||||
| 5.2.6 Update list of SOs with office POs from customers |
X | |||||||||||||||||||||||
| 5.3 Demand Tracking |
||||||||||||||||||||||||
| 5.3.1 Tracks demand changes and cancellations |
X | X | X | |||||||||||||||||||||
| 5.3.2 Initiate communications on deviations from actual demand against POP bookings |
X | X | X | |||||||||||||||||||||
| 5.3.3 Consignment Order |
X | X | X | |||||||||||||||||||||
| LS&Co. – Attachment 2.4 – Description of Services – Customer Service Services | Page 5 |
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| Principal Activity |
Supplier | LS&Co. | ||||||||||||||||||||||
| LSA | LSE | AMA | LSA | LSE | AMA | |||||||||||||||||||
| 6. Export Customers Coordination LSE |
||||||||||||||||||||||||
| 6.1 Daily manual request to CC to release orders manually for allocation only daily (based on AIP, shipment plans for next weeks) |
X | |||||||||||||||||||||||
| 6.2 Confirmation of final shipment with customer and preparing pro forma document |
X | |||||||||||||||||||||||
| 6.3 Management of manual delivery creation with OFG and CC |
X | |||||||||||||||||||||||
| 6.4 Pick-up coordination with DC and customer including transport organization and customs documents preparation for goods, POSMs, samples and furniture |
X | |||||||||||||||||||||||
| 6.5 Post shipment service to customer - sending all documents customs and shipment |
X | |||||||||||||||||||||||
| 3. | LANGUAGES |
Supplier resources servicing the following regions will be fluent in the following languages:
| Languages Supported | ||||
| LSE |
LSE |
AMA | ||
| English | Arabic | Bahasa Indonesia | ||
| Portuguese | Czech | Bahasa Malaysia | ||
| Spanish | Danish | English | ||
| Dutch | Korean | |||
| English | Vietnamese | |||
| Finnish | Japanese | |||
| French | Simplified Chinese | |||
| German | Traditional Chinese | |||
| Greek | Mandarin | |||
| Hungarian | Cantonese | |||
| Italian | ||||
| Nordics | ||||
| Norwegian | ||||
| Polish | ||||
| Portuguese | ||||
| Spanish | ||||
| Swedish | ||||
| Additional languages for all countries in the Emerging Country Group will be confirmed during the KA sessions | ||||
| LS&Co. – Attachment 2.4 – Description of Services – Customer Service Services | Page 6 |
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EXECUTION VERSION
MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 2
DESCRIPTION OF SERVICES
ATTACHMENT 2.5
DESCRIPTION OF SERVICES – CONSUMER RELATIONS SERVICES
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TABLE OF CONTENTS
| 1. |
Introduction. |
1 | ||||||
| 1.1 | Purpose |
1 | ||||||
| 1.2 | References |
1 | ||||||
| 1.3 | Definitions |
1 | ||||||
| 2. |
Finalization of Service Description. |
1 | ||||||
| LS&Co. – Attachment 2.5 – Description of Services – Consumer Relations Services | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | Purpose. This Exhibit describes the Consumer Relations Services to be performed for LS&Co. by Supplier pursuant to the Agreement. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
2. FINALIZATION OF SERVICE DESCRIPTION.
The Parties acknowledge and agree that this Attachment 2.5 has not been completed as of the Effective Date. Accordingly, the Parties agree that they shall continue to negotiate and finalize this Attachment 2.5 in good faith, with the goal of promptly completing this Attachment 2.5 (but in no event later than the end of Knowledge Acquisition) and incorporating the completed Attachment 2.5 into the Agreement. The completed Attachment 2.5 shall be incorporated into the Agreement by means of an addenda executed by both Parties, with such completed Attachment 2.5 being effective as of the Effective Date (and without the requirement for additional consideration with respect to the finalization of Attachment 2.5 and execution of the addenda).
| LS&Co. – Attachment 2.5 – Description of Services – Consumer Relations Services | Page 1 |
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EXECUTION VERSION
MASTER SERVICES AGREEMENT*
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
| * | Certain information in this exhibit has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions marked with [****]*. |
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TABLE OF CONTENTS
| 1. | Introduction. | 2 | ||||||
| 1.1 | General | 2 | ||||||
| 1.2 | References | 2 | ||||||
| 1.3 | Definitions | 2 | ||||||
| 2. | Service Levels. | 3 | ||||||
| 2.1 | Performance of Services | 3 | ||||||
| 2.2 | Critical Service Levels | 3 | ||||||
| 2.3 | Other Service Levels | 3 | ||||||
| 2.4 | Additional Service Levels | 3 | ||||||
| 3. | Measurement of Service Level Compliance. | 3 | ||||||
| 3.1 | Commencement of Measurement; Measurement Interval | 3 | ||||||
| 3.2 | Measuring Tools | 3 | ||||||
| 3.3 | Failure to Complete Measurement | 4 | ||||||
| 3.4 | Review of Measuring Tools | 4 | ||||||
| 3.5 | Regional Measurement | 4 | ||||||
| 4. | Reporting. | 4 | ||||||
| 4.1 | Service Level Reports | 4 | ||||||
| 5. | Service Level Validation. | 4 | ||||||
| 5.1 | Service Level Baselining Process | 4 | ||||||
| 5.2 | Target Adjustments | 5 | ||||||
| 6. | Failure to Perform; Service Level Credits. | 5 | ||||||
| 6.1 | Weighting Factors | 5 | ||||||
| 6.2 | Service Level Credits | 5 | ||||||
| 6.3 | Service Level Credit Calculation | 5 | ||||||
| 6.4 | Multiple Service Level Failures; At Risk Amount | 6 | ||||||
| 6.5 | Application of Credits | 6 | ||||||
| 6.6 | Service Level Improvement Plan | 6 | ||||||
| 7. | Changes to Service Levels. | 6 | ||||||
| 7.1 | Addition or Deletion | 6 | ||||||
| 7.2 | Continuous Improvement | 6 | ||||||
| 8. | Service Level Exceptions. | 6 | ||||||
| LS&Co. – Exhibit 3 – Service Level Management | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. The Service Levels applicable to the performance of the Services are set forth in this Exhibit. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. The terms set forth below have the meanings set forth below: |
| (a) | “Additional Criteria” has the meaning given in Section 2.4. |
| (b) | “Critical Service Level” means a Service Level identified in the applicable Service Level Definitions Document as such (either explicitly or because there is a Service Level Credit or Weighting Factor set forth in the applicable Service Level Definitions Document which is associated with a Service Level Failure). |
| (c) | “Critical Service Level Failure” has the meaning given in Section 2.2. |
| (d) | “Existing Performance” has the meaning given in Section 5.1. |
| (e) | “Initial Review Period” has the meaning given in Section 5.1. |
| (f) | “Measuring Tools” means the tools, processes, procedures, and methodologies as well as any associated documentation provided and used by Supplier to measure, validate and report Supplier’s performance of the Services against the Service Levels. The Measuring Tools shall provide a level of detail sufficient to verify Supplier’s compliance with the Service Level. |
| (g) | “Measurement Interval” means the time during, or the frequency within, which a Service Level shall be measured as set forth in the applicable Service Level Definitions Document. Where no Measurement Interval is set forth in Service Level Definitions Document, the Measurement Interval shall be a calendar month. |
| (h) | “Objection Notice” has the meaning given in Section 2.4. |
| (i) | “Performance Target” means with respect to a Service Level, the target for the Service Level set forth in the applicable Service Level Definitions Document. |
| (j) | “Region” has the meaning given in Section 3.5. |
| (k) | “Relief Event” has the meaning given in Section 8. |
| (l) | “Service Level Definitions Document” means for a Service Category the portion of this Exhibit 3 that defines the Service Levels for the applicable Service Category. For each Service Category, the Service Levels are set forth in separate attachments to this Exhibit 3. |
| (m) | “Service Level Failure” means, with respect to a Service Level, the failure to meet the Performance Target for that Service Level (calculated using the formula for the applicable Service Level set forth in the applicable Service Level Definitions Document) during the applicable Measurement Interval. |
| (n) | “Service Level Improvement Plan” has the meaning given in Section 6.6. |
| (o) | “Service Level Report” has the meaning given in Section 4.1. |
| (p) | “Validated Average” has the meaning given in Section 5.1. |
| (q) | “Validation Period” has the meaning given in Section 5.1. |
| (r) | “Validation Service Level” has the meaning given in Section 5.1. |
| (s) | “Weighting Factor” has the meaning given in Section 6.1. |
| LS&Co. – Exhibit 3 – Service Level Management | Page 2 |
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| 2. | SERVICE LEVELS. |
| 2.1 | Performance of Services. As of the applicable Commencement Date (or as otherwise specified in this Exhibit), Supplier shall be responsible for and shall perform the Services in accordance with the Service Levels. Supplier shall perform all Services that do not have defined Service Levels in a manner and at levels that equal or exceed the level of service being provided internally by LS&Co. or through a third party prior to the Effective Date, including with respect to accuracy, quality, completeness, timeliness, and responsiveness. |
| 2.2 | Critical Service Levels. Critical Service Levels are of particular importance to LS&Co.’s business. A Service Level Failure with respect to a Critical Service Level (each a “Critical Service Level Failure”) shall entitle LS&Co. to receive a Service Level Credit. |
| 2.3 | Other Service Levels. Service Levels that are not Critical Service Levels are nevertheless viewed as important to measuring the efficiency and effectiveness of Supplier’s relationship and evaluating Supplier’s performance relative to LS&Co.’s expectations and historical accomplishments. Supplier’s performance of the other Service Levels will be taken into account by LS&Co. in the evaluation of LS&Co.’s other rights under the Agreement. For clarity, such Service Levels shall not result in a Service Level Credit. |
| 2.4 | Additional Service Levels. With respect to each Service Category and Region, and during the 12-month period following the applicable Commencement Date, LS&Co. may, upon 30 days’ prior notice to Supplier, add additional Service Levels that will be applicable to Supplier’s performance of the applicable Services in order to achieve a fair, accurate, and consistent measurement of Supplier’s performance of those Services; provided, that any such additional Service Levels shall be measurable (using the existing Measuring Tools), objective and include a specified and reasonable Performance Target (the “Additional Criteria”); and provided further, however, that where there is no historical or other data to support the Performance Target specified for such a Service Level that Performance Target shall be subject to validation pursuant to Section 5. Unless Supplier objects to such Service Level (on the basis that it does not meet the Additional Criteria or is otherwise commercially unreasonable) within the 30-day notice period (“Objection Notice”), the Service Levels shall be deemed incorporated in the Agreement after the expiration of the 30-day notice period and the applicable Service Level Definitions Document shall be amended accordingly. Promptly after the receipt by LS&Co. of a valid Objection Notice, the LS&Co. Global Lead for the applicable Service Category and the Supplier Global Lead for the applicable Service Category shall meet (in person or by telephone) to discuss revisions to the proposed Service Level to ensure that it meets the Additional Criteria. To the extent that the LS&Co. Global Lead for the applicable Service Category and the Supplier Global Lead for the applicable Service Category are able to agree on acceptable changes to the Service Level these changes shall be documented in writing signed by both of them and such revised Service Level shall become effective 30 days after both Global Leads have executed the document reflecting that agreement. To the extent that the applicable Global Leads are unable to agree on revisions to the Service Level, the outstanding issues shall be escalated to the appropriate governance committee set forth in Exhibit 5 for resolution. |
| 3. | MEASUREMENT OF SERVICE LEVEL COMPLIANCE. |
| 3.1 | Commencement of Measurement; Measurement Interval. Supplier shall: (a) begin measuring its performance of the Services against the Service Levels on the applicable Commencement Date; and (b) measure its performance of the Services against the Service Levels during each Measurement Interval. |
| 3.2 | Measuring Tools. Prior to the applicable Commencement Date, Supplier shall implement the Measuring Tools detailed in the applicable Service Level Definitions Document and such other Measuring Tools that are required for Supplier to measure and report on Supplier’s performance of the Services against the Service Levels, which Measuring Tools may include LS&Co.’s Systems. Supplier shall provide LS&Co. and its designees with the information and access to the Measuring Tools upon request for inspection and verification purposes. Supplier shall ensure that the systems used by Supplier to measure its performance of the Services against the Service Levels shall be compatible with the software and equipment used by LS&Co. which may deliver records to, receive records from, or otherwise interact with such systems. Any addition to the Measuring Tools, and any change to the Measuring Tools, shall be subject to LS&Co.’s prior approval and no change shall be permitted to the Services, Service Levels or the Charges as a result of any such addition of, or change to, the Measuring Tools. |
| LS&Co. – Exhibit 3 – Service Level Management | Page 3 |
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| 3.3 | Failure to Complete Measurement. If Supplier fails to measure its performance of the Services against a particular Service Level so that it is not possible to confirm whether the Service Level has been achieved for the Measurement Interval, and Supplier cannot otherwise demonstrate its compliance with that Service Level, then such failure shall be deemed to be a Service Level Failure. |
| 3.4 | Review of Measuring Tools. On an annual basis, Supplier shall review the Measuring Tools and assess whether any changes in such Measuring Tools are required to collect and accurately reflect Supplier performance and related data prospectively. Supplier shall promptly notify LS&Co. of any recommended changes in the Measuring Tools as a result of this assessment. |
| 3.5 | Regional Measurement. The methodology described in this Exhibit 3 applies uniformly to all LS&Co. Service Locations receiving Services. However, except to the extent otherwise specified in the applicable Service Level Definitions Document, the measurement of Service Level performance, the determination of Supplier’s performance against and compliance with each Service Level during the applicable Measurement Interval; and the determination of Supplier’s achievement or failure to achieve such Service Level shall be made separately as to the Services provided to, or on behalf of, Service Recipients located within each of the regions specified below (each, a “Region”): |
| (a) | LSA (The Americas, North and South); |
| (b) | LSE (All of Europe); and |
| (c) | AMA (Asia, the Middle East and Africa). |
With respect to the foregoing, (i) if a Service Level measures the percent of all invoices processed in accordance with requirements in a given month, then the number of invoices and the percentage compliance, will be measured separately for each Region; (ii) since the total monthly Charges for Services within each Region may vary, the At Risk Amount, while uniform as a percentage([****]*), may vary as a dollar amount; and (iii) the initial allocations of weighting percentages, and the rules under this Exhibit 3 regarding their reallocation, will apply separately to each Region. With respect to the information technology Service Category, the Parties shall, during the Knowledge Acquisition phase and working in good faith, review the application of the above Regions to the information technology Service Category. To the extent that LS&Co., acting reasonably, determines after the completion of Knowledge Acquisition that refinements or modifications to the Region definitions for the information technology Services are required to better align the reporting of the Service Levels for the information technology Services, the Parties shall align the Region definitions for the information technology Services and the reporting of the information technology Services to reflect those requirements.
| 4. | REPORTING. |
| 4.1 | Service Level Reports. Supplier shall provide to LS&Co., as part of Supplier’s monthly performance reports, a set of reports to verify Supplier’s performance and compliance with the Service Levels (each, a “Service Level Report”). Each Service Level Report shall: (a) be provided to LS&Co. within 10 business days after the end of each calendar month; (b) specify Supplier’s performance against and compliance with each Service Level during the applicable Measurement Interval; (c) specify those Service Levels that Supplier failed to achieve; and (d) contain the details of Supplier’s historical performance for each Service Level (e.g., performance average in each of the prior Contract Years as well as the prior 12 months). Supplier shall provide access to such information online and in real-time, where technically feasible, at any time during the Term and Termination Assistance Period. |
| 5. | SERVICE LEVEL VALIDATION. |
| 5.1 | Service Level Baselining Process. For each Critical Service Level identified in the Service Level Definitions Documents as being “subject to baseline,” Supplier shall review the metrics achieved for those Service Levels (“Existing Performance”) during the knowledge acquisition phase of Transition (“Initial Review Period”). If prior to the expiration of the Initial Review Period Supplier provides LS&Co. with notice that Supplier wants to measure the actual performance of a Critical Service Levels identified in the Service Level Definitions Documents as being “subject to baseline” (each such Critical Service Level a “Validation Service Level”) |
| LS&Co. – Exhibit 3 – Service Level Management | Page 4 |
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| Supplier shall measure and report the performance of that Validation Service Level for a period of 3 months after the applicable Commencement Date (unless the Parties otherwise agree to a longer period) (“Validation Period”). After the expiration of the Validation Period for a Validation Service Level, Supplier shall promptly provide to LS&Co.: (a) the Service Level performance for that Validation Service Level during each month of the Validation Period; and (b) the average performance with respect to that Validation Service Level during the Validation Period (excluding any such measurement that arises as a result of Supplier’s failure to perform the Services) (“Validated Average”). If any measurement during the Validation Period is missing, then the missing measurement shall be constructed using the average of the actual remaining measurements during the Validation Period. |
| 5.2 | Target Adjustments. If the Validated Average for a Validation Service Level is: (a) no more than 10% lower than the Performance Target for the Validation Service Level, then the Validated Average shall be deemed to be the Performance Target, and the Parties shall amend the applicable Service Level Definitions Document accordingly; and (b) more than 10% lower than the Performance Target for the Validation Service Level, then the LS&Co. Global Lead for the applicable Service Category and the Supplier Global Lead for the applicable Service Category shall meet, and negotiate in good faith, either Changes to the Services or method of delivery of the Services so that Supplier can perform the Services in accordance with such Validation Service Level or an adjustment to the applicable Performance Target for such Validation Service Level, and, upon the agreement of the LS&Co. Global Lead for the applicable Service Category and the Supplier Global Lead for the applicable Service Category the Parties shall amend the applicable Service Level Definitions Document to reflect such agreement; except that: (i) the Performance Target shall not be lower than the Validated Average; and (ii) in no event shall the Performance Target be adjusted by more than 20% from the applicable Performance Target agreed to at the Effective Date. Any adjustment pursuant to this Section 5.2 shall apply on and from the end of the Validation Period. |
| 6. | FAILURE TO PERFORM; SERVICE LEVEL CREDITS. |
| 6.1 | Weighting Factors. LS&Co. shall assign a number of percentage points to each Critical Service Level (“Weighting Factor”), except that the maximum Weighting Factor allocated among all the Critical Service Levels shall not exceed, in the aggregate, [****]* percentage points. The Weighting Factors in effect as of the Effective Date are identified in the applicable Service Level Definitions Document, and LS&Co. may reallocate such Weighting Factors by providing Supplier with 60 days’ prior notice. |
| 6.2 | Service Level Credits. Each Critical Service Level Failure shall result in Supplier owing a Service Level Credit to LS&Co.; provided, however, that LS&Co. shall not be entitled to a Service Level Credit for a Service Level Failure that occurs during the [****]* period after the applicable Commencement Date. Service Level Credits shall not limit LS&Co.’s right to recover other damages in excess of the Service Level Credits incurred by LS&Co. as a result of such failure or limit LS&Co.’s remedies for Supplier’s failure to achieve a Service Level; provided, that the amount of any Losses payable to LS&Co. in connection with the applicable Service Level Failure will be reduced by the amount of any Service Level Credit paid by Supplier that relates to the Service Level Failure giving rise to such Losses. |
| 6.3 | Service Level Credit Calculation. Each Service Level Credit shall be calculated as follows: |
Service Level Credit = A X (B / 100)
Where:
| (a) | A is the At Risk Amount for the month in which the Service Level Failure occurred; and |
| (b) | B is the Weighting Factor for the Critical Service Level for which the Service Level Failure occurred. |
For example, assume that Supplier fails to meet the Service Level Target for a Critical Service Level and (i) the Monthly Charges for the month in which the Service Level Failure occurred was $100,000, (ii) the Weighting Factor for such Critical Service Level is 60 percent, and (iii) the At Risk Amount is [****]* percent. The Service Level Credit due to LS&Co. for such Service Level Failure would be computed as follows:
| LS&Co. – Exhibit 3 – Service Level Management | Page 5 |
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A = [****]* [the monthly Charges multiplied by the At Risk Amount];
Multiplied by:
B = 0.6 (60/100) [the Weighting Factor divided by 100];
Equals
= $9,000 [the Service Level Credit.]
| 6.4 | Multiple Service Level Failures; At Risk Amount. If more than one Service Level Failure has occurred in a single month, the sum of the corresponding Service Level Credits shall be credited to LS&Co.; provided that in no event shall the Service Level Credits credited to LS&Co. with respect to all Service Level Failures incurred in a single month exceed the At Risk Amount. |
| 6.5 | Application of Credits. The total amount of Service Level Credits which Supplier shall be obligated to pay to LS&Co. with respect to Service Level Failures shall be included on the invoice in the month following the month in which the Service Level Failure giving rise to such Service Level Credit occurred. If no amounts are due and payable to Supplier under such invoice, then Supplier shall pay the amount of the Service Level Credit to LS&Co. within 45 days of that Service Level Credit becoming due. |
| 6.6 | Service Level Improvement Plan. Upon the occurrence of a Service Level Failure, Supplier shall identify the cause of such Service Level Failure, and Supplier shall develop and submit to LS&Co. a plan to cure and remediate the cause of such Service Level Failure (“Service Level Improvement Plan”) within 10 days after such Service Level Failure (or such other time period agreed to by the Parties). Upon LS&Co.’s approval of the remediation procedures set forth in the Service Level Improvement Plan, Supplier shall promptly implement such procedures. |
| 7. | CHANGES TO SERVICE LEVELS. |
| 7.1 | Addition or Deletion. LS&Co. expects the Service Levels to develop and evolve to reflect LS&Co.’s business and LS&Co.’s changing needs (including the completion of Projects). Accordingly, upon 60 days’ prior notice, LS&Co. may adjust the Weighting Factor assigned to each Service Level and those Service Levels that are subject to a Service Level Credit; provided, that LS&Co. may not adjust each Weighting Factor more than once in each calendar quarter; and provided further, that the parameters in Section 6.1 shall apply to any such adjustments. At any time throughout the Term, either LS&Co. or Supplier may propose to add or remove a Service Level, or change the Performance Target for a Service Level and how the Service Level is calculated; provided that no such change shall be effective until agreed upon by the Parties. |
| 7.2 | Continuous Improvement. The Parties agree that the Service Levels shall be subject to continuous improvement, and the Parties expect and intend that certain Service Levels shall be improved over time. Accordingly, Supplier shall research and propose reasonable improvements to the Services (with appropriate modifications to the applicable Service Levels) at least once each year during the Term. At a minimum, such improvements (and modifications to the applicable Service Levels) shall be consistent with industry best practices for comparable services. Such improvement shall not be implemented or become effective until agreed upon by the Parties. |
| 8. | SERVICE LEVEL EXCEPTIONS. |
Supplier shall be excused from a failure to achieve a Service Level solely to the extent, and during the time, that Supplier is directly precluded from performing that obligation or achieving that Service Level as a result of:
| (a) | LS&Co.’s (or a LS&Co. Agents’, excluding Supplier and Supplier Agents) failure to perform or delay in performing, its specified and written obligations (for example, obligations that refer directly to LS&Co. in the form of “LS&Co. shall” or directly to a LS&Co. Agent in the form of “LS&Co. Agent shall”) under the Agreement; |
| (b) | Service or Supplier Staff reductions requested by LS&Co. and agreed to by the Parties in accordance with the Contract Change Process; provided, that Supplier has previously notified LS&Co. in writing as part of such Contract Change Process that the implementation of such Service or Supplier Staff reductions would result in such failure to meet the Service Level; |
| LS&Co. – Exhibit 3 – Service Level Management | Page 6 |
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| (c) | LS&Co.’s failure to repair Equipment used to provide the Services where: (i) LS&Co. is responsible for such repair; (ii) Supplier has notified LS&Co. of the need to repair the Equipment prior to any Service Level Failure attributable to that Equipment; (iii) Supplier’s ability to maintain the Service Level is directly dependent upon such Equipment; and (iv) LS&Co. has, prior to any Service Level Failure attributable to that Equipment, agreed in writing that the Equipment does not meet the required technical performance requirements; |
| (d) | Services performed during the execution of the Disaster Recovery Plan, the execution of which is in support of a LS&Co.-declared disaster, to the extent that the implementation of the Disaster Recovery Plan prevents Supplier from accessing Systems or Supplier Staff necessary to provide the Services in accordance with the Service Levels; provided that Supplier shall not obtain such relief if the Disaster Recovery Plan is designed to ensure the provision of the Services in accordance with the Service Levels or the implementation of the Disaster Recovery Plan was as a result of an act or omission of Supplier. Supplier shall use all reasonable efforts to continue to perform the affected Services in accordance with the applicable Service Levels in the event of the implementation of the Disaster Recovery Plan; |
| (e) | an LS&Co. Third Party Contractor’s failure to perform, or delay in performing, its specified and written obligations in accordance with the terms of that LS&Co. Third Party Contractor’s agreement with LS&Co., where Supplier’s ability to maintain the Service Level is directly dependent upon strict performance by the LS&Co. Third Party Contractor, and except to the extent that Supplier is responsible for managing that LS&Co. Third Party Contractor’s performance and has failed to so manage that performance; |
| (f) | LS&Co.’s exercise of its right to step-in under Section 13.5 of the Agreement, but only for such affected Services and only during the period of time between a Step-In Date and the corresponding Step-Out Date; |
| (g) | For the Services billed pursuant to Section 5.6 of Exhibit 4, LS&Co.’s failure to agree, pursuant to the process set forth in Section 5.6 of Exhibit 4, to permit an increase in the number of Supplier Staff engaged by Supplier to perform that specific Service in order to cover a material increase (as the nature of such material increase is detailed in Section 5.6 of Exhibit 4) in the consumption of such Service by LS&Co.; provided that Supplier has previously notified LS&Co. in writing as part of such process that the failure to increase the Supplier Staff would result in such failure to meet the specific Service Level; |
(each a “Relief Event”) and provided that Supplier: (x) promptly provides LS&Co. with advance notice identifying in detail the Relief Event in question, the nature of LS&Co.’s failure to perform such Relief Event (where applicable) and the relevant Supplier obligation or Service Levels that is at risk; (y) continues without interruption to use all reasonable efforts to perform its obligation notwithstanding the occurrence of the Relief Event; and (z) re-commences performance of the obligation, or the affected Service in accordance with this Agreement or the Service Levels, immediately upon LS&Co. curing the Relief Event.
| LS&Co. – Exhibit 3 – Service Level Management | Page 7 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.1
SERVICE LEVEL DEFINITIONS – HUMAN RESOURCE SERVICES
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TABLE OF CONTENTS
| 1. | Introduction. | 1 | ||||||||
| 1.1 | General | 1 | ||||||||
| 1.2 | References | 1 | ||||||||
| 1.3 | Definitions | 1 | ||||||||
| 1.4 | Completion of Service Level Definitions | 1 | ||||||||
| 2. | Critical Service Levels. | 1 | ||||||||
| 3. | Other Service Levels | 1 | ||||||||
| 3.1 | Employee Relations: Employee Relations Quality of Service | 1 | ||||||||
| 3.2 | Employee Relations: Timeliness of Employee Relations Transaction Completion | 1 | ||||||||
| 3.3 | Leave Administration: Leave Request Response Timeliness | 2 | ||||||||
| 3.4 | Leave Administration: FMLA Leave Expiry | 2 | ||||||||
| 3.5 | Leave Administration: Leave Request Decision Notification Timeliness | 3 | ||||||||
| 3.6 | Employee Data Management: Employee Data Accuracy | 3 | ||||||||
| 3.7 | Employee Data Management: Employee Data Timeliness | 4 | ||||||||
| 3.8 | Employee Data Management: Employee File Retrieval Timeliness | 4 | ||||||||
| 3.9 | Benefit Administration – Transaction Accuracy | 5 | ||||||||
| 3.10 | Benefit Administration – Transaction Timeliness | 5 | ||||||||
| 3.11 | Benefit Administration – Materials Fulfillment Timeliness | 6 | ||||||||
| 3.12 | Benefit Administration – Materials Fulfillment Accuracy | 6 | ||||||||
| 3.13 | Recruitment – Recruiting Timeliness | 7 | ||||||||
| 3.14 | Recruitment – Employee Data Accuracy | 7 | ||||||||
| 3.15 | Compensation Admin – Employee Data Accuracy | 8 | ||||||||
| 3.16 | Performance Management – Performance Management Timeliness | 8 | ||||||||
| 3.17 | Offboarding – Offboarding Accuracy | 9 | ||||||||
| 3.18 | Offboarding – Offboarding Timeliness | 9 | ||||||||
| 3.19 | Offboarding – Severance Package Accuracy | 10 | ||||||||
| 3.20 | Service Desk – Average Speed to Answer | 10 | ||||||||
| 3.21 | Service Desk – First Call Resolution | 11 | ||||||||
| 3.22 | Service Desk – Customer Satisfaction | 12 | ||||||||
| 3.23 | Service Desk – Inquiry Acknowledgement | 12 | ||||||||
| 3.24 | Service Desk – Resolution of Escalated Cases | 12 | ||||||||
| 3.25 | Service Desk – Escalated Cases to LS&Co. | 13 | ||||||||
| 3.26 | Service Desk – Service Desk Availability | 13 | ||||||||
| 3.27 | Service Desk – Call Abandonment Rate | 14 | ||||||||
| 3.28 | HRIS – Interface Reliability | 14 | ||||||||
| 3.29 | HRIS – Incident Management and Resolution | 14 | ||||||||
| 3.30 | HRIS – Problem Management Root Cause Analysis | 16 | ||||||||
| 3.31 | HRIS – Change Management Enhancement | 16 | ||||||||
| 3.32 | HRIS – HR Portal Availability | 17 | ||||||||
| 3.33 | HRIS – HR Portal Speed | 18 | ||||||||
| 3.34 | HRIS – HR Portal Speed to Update | 18 | ||||||||
| 3.35 | HRIS – Reporting Accuracy and Timing | 18 | ||||||||
| LS&Co. – Attachment 3.1 – Service Level Definitions – Human Resource Services | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 1.4 | Completion of Service Level Definitions. The Service Levels included in this Attachment at the Effective Date reflect the Parties best efforts to define the applicable the Service Levels for the Service (and applicable Performance Targets and Service Level Credits). After the Effective Date the Parties shall work in good faith with each other to finalize the list of Service Levels in this Attachment (and the associated Performance Targets and Service Level Credits) that will be applicable to Supplier’s performance of the Services after the applicable Commencement Date. Despite the foregoing, the Parties agree that this Attachment shall not be amended without the mutual written agreement of both Parties. |
| 2. | CRITICAL SERVICE LEVELS. |
Pursuant to Section 2.6 of Exhibit 8 the Parties will define, during Knowledge Acquisition, any Critical Service Levels that are to apply to the performance of the applicable Services on and from the Commencement Date (which Critical Service Levels will be subject to the terms of this Exhibit 3).
| 3. | OTHER SERVICE LEVELS |
| 3.1 | Employee Relations: Employee Relations Quality of Service |
| Employee Relations KPI01: ER Quality of Service | ||
| Objective |
To ensure that the Supplier employee relations (ER) team is providing quality consultation to LS&Co. employees. | |
| Definition |
Satisfaction with Supplier ER service delivery will be measured on a 5 point scale. | |
| Method | ||
| Employee Relations KPI01: ER Quality of Service | ||
| Data Capture |
The quality rating will be determined by the LS&Co. legal team rating a random sample of ER cases on a quarterly basis and rating them on a scale of 1 to 5. | |
| Measurement Interval |
Quarterly | |
| Method of Calculation |
For each Measurement Interval: ER quality =[( # of ER cases rated =/> 3) / (# of ER cases)] * 100 | |
| Service Metric | ||
| Performance Target |
Performance Target is achieved when 75% of cases (subject to baselining) indicate overall quality rating of 4 or better on a scale of 1 to 5 where 1 is the lowest rating and 5 is the highest rating. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.2 Employee Relations: Timeliness of Employee Relations Transaction Completion | ||
| Employee Relations KPI02: Timeliness of ER Transaction Completion | ||
| Objective |
To ensure the timely completion of ER transactions that arise from LS&Co. ER queries. | |
| Definition |
The percentage of ER transactions that are completed in accordance with LS&Co. service standards as shown below:
• Preparation of termination proposals - 2 business days, subject to demands of initiative, and as mutually agreed
• Review of corrective actions and performance improvement plans - 2 business days | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 1 |
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| Method | ||
| Data Capture |
The contact tracking system that records contacts and their resolution. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
(Number of ER transactions that are completed within agreed service standards) / (Total number of transactions that are initiated within the Measurement Interval minus excluded transactions) * 100 | |
| Service Metric | ||
| Performance Target |
Performance Level is achieved when 85% (subject to baselining) of identified ER-related transactions are completed in accordance LS&Co. service standards. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.3 Leave Administration: Leave Request Response Timeliness | ||
| Leave Administration KPI01: Leave Request Response Timeliness | ||
| Objective |
To ensure LS&Co. employees receive timely responses to their new leave requests | |
| Definition |
Percentage of responses completed within 2 business days regarding new leave requests for LSA. Percentage of responses completed within 2 business days regarding new leave requests for LSE and AMA, subject to baselining. | |
| Method | ||
| Data Capture |
Supplier systems capture all records and provide reports. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
(The number of leave request responses within agreed number of business days) divided by (The total number of leave requests in the Measurement Interval) expressed as a percentage. | |
| Service Metric | ||
| Performance Target |
98%, subject to baselining | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.4 Leave Administration: FMLA Leave Expiry | ||
| Leave Administration KPI02: FMLA Leave Expiry | ||
| Objective |
To ensure LS&Co. employees receive timely notification when their Company protected leave period has ended based on company policy. | |
| Definition |
Percentage of exhaustion notifications submitted to agreed-upon channels for distribution within two (2) business days past the period end date for LSA, subject to baselining.
Percentage of exhaustion notifications submitted to agreed-upon channels for distribution within two (2) business days past the period end date for LSE and AMA, subject to baselining for similar leaves | |
| Method | ||
| Data Capture |
Supplier systems capture all records and provide reports. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
(The number of leave exhaustion notifications communicated within agreed number of business days past period end date) divided by (The total number of leave decision exhaustion notifications communicated in the Measurement Interval) | |
| Leave Administration KPI02: FMLA Leave Expiry | ||
| expressed as a percentage. | ||
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 2 |
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| Service Metric | ||
| Performance Target |
Performance Target is achieved when the leave exhaustion notifications are communicated to the employee and/or manager in agreed number of business days 90% of the time (subject to baselining). | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.5 Leave Administration: Leave Request Decision Notification Timeliness | ||
| Leave Administration KPI03: Leave Request Decision Notification Timeliness | ||
| Objective |
To ensure LS&Co. employees’ leave decision notifications are communicated in a timely manner. | |
| Definition |
Leave decision notifications for submitted leave requests will be communicated within 35 calendar days or less of original leave request.
Assumption: Excludes circumstance where employees request additional time to submit the supporting documentation due to an extenuating circumstance that will increase the time period beyond 35 days. | |
| Method | ||
| Data Capture |
Supplier systems capture all records and provide reports. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
(The number of leave decision notifications communicated within 35 calendar days of original request) divided by (The total number of leave decision notifications) expressed as a percentage less any approved requests for extensions | |
| Service Metric | ||
| Performance Target |
Performance Target achieved when 97% (subject to baselining) of leave decision notifications are communicated within thirty-five (35) business days. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.6 Employee Data Management: Employee Data Accuracy | ||
| Employee Data Management KPI01: Employee Data Accuracy | ||
| Objective |
To ensure that updates to employee data are completed accurately. | |
| Employee Data Management KPI01: Employee Data Accuracy | ||
| (Includes all data that Supplier is responsible for managing for benefits and non-benefits). | ||
| Definition |
The percentage of member transactions during a Measurement Interval (10% random sample of total global volume assessed by Supplier’s reporting team (all regions to be covered)) that are completed accurately. | |
| Method | ||
| Data Capture |
Report (10% sample as noted above) to be created from the HR system based on a random sample of transactions performed by Supplier personnel. | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
Data Accuracy = (( # of transactions completed accurately) / (# of transactions sampled)] * 100 | |
| Service Metric | ||
| Values |
Metrics. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 3 |
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| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of transactions are processed accurately for LSA, and 99% transactions are processed accurately for LSE and AMA, subject to baselining. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.7 Employee Data Management: Employee Data Timeliness | ||
| Employee Data Management KPI02: Employee Data Timeliness | ||
| Objective |
Ensure that updates to employee data are completed in a timely manner. | |
| Definition |
Employee data timeliness is the time taken to update employee data on the system, post receiving notification from LS&Co.
Updates are made to the HR system within 24 hours (subject to baselining) of receiving the transactions. | |
| Method | ||
| Data Capture |
Supplier will track and report on the time and date transactions are received when they are updated in the HR system. The Base))) system will track this based on case opening and closing in the CRM system. | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
Data Timeliness = (( # of transactions completed within 24 hours of receipt) / (# of transactions)) * 100
Note: Elapsed time excludes weekend hours. | |
| Service Metric | ||
| Employee Data Management KPI02: Employee Data Timeliness | ||
| Values |
Metrics. | |
| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of transactions are completed within 24 hours, and all transactions within 72 hours for a volume threshold to be determined during transition. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.8 Employee Data Management: Employee File Retrieval Timeliness | ||
| Employee Data Management KPI03: Employee File Retrieval Timeliness | ||
| Objective |
Retrieve records in a timely manner. | |
| Definition |
Measured by dividing the number of records requests retrieved within 3 business days by the total number of record requests retrieved. | |
| Method | ||
| Data Capture |
Supplier will track and report on the time and date transactions are received when they are updated in the HR system | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
File retrieval time = [( # of requests completed within 3 business days of receipt) / (# of requests)] * 100
Note: Elapsed time excludes weekend days. | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of archived employee data that Supplier is responsible for managing is pulled within three (3) business days of request from Supplier. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 4 |
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| 3.9 Benefit Administration – Transaction Accuracy | ||
| Benefits KPI01: Benefit Administration – Transaction Accuracy | ||
| Objective |
Measure accuracy of enrolments entered into the system by the benefits administration team. Accuracy includes all aspects of the transaction including calculations and employee communications. | |
| Definition |
A transaction is defined as an entry of data specific to an employee’s benefits data into the system. | |
| Benefits KPI01: Benefit Administration – Transaction Accuracy | ||
| Accuracy includes entries of benefit elections (not completed through self-service), entries of contribution amounts (not completed through self-service), movement of overage dependents into the correct plans, and movements of retirees / retiree dependents (over 65/under 65) into the correct plans.
The percentage of member transactions during a Measurement Interval (random sample assessed by Supplier’s internal audit team) that are completed accurately. | ||
| Method | ||
| Data Capture |
To be determined during the requirements phase. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Benefits transaction accuracy % = (total number of benefits transactions in the random sample—number of inaccurate benefits transactions in the random sample) / total number of benefits transactions in the random sample X 100
Inaccurate non-pension benefit requests will be measured through a detailed audit (including processing, descriptions, and end to end experience) conducted by Supplier’s internal audit team on a random sample of benefits transactions. | |
| Service Metric | ||
| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of benefits transactions for LSA are processed accurately, and 99% of benefits transactions for LSE and AMA are processed accurately, subject to baselining. | |
| Increased Impact |
97% subject to baselining | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.10 Benefit Administration – Transaction Timeliness | ||
| Benefits KPI02: Benefit Administration – Transaction Timeliness | ||
| Objective |
To ensure that benefits transactions in the defined scope of work are completed in a timely manner. | |
| Definition |
The percentage of member transactions during a Measurement Interval (random sample assessed by Supplier’s reporting team) that are completed within 72 hours of request. | |
| Method | ||
| Data Capture |
To be determined during the requirements phase. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Transaction timeliness = (total number of benefits transactions processed in 72 hours) / (total number of Benefits transactions closed during Measurement Interval) expressed as a percentage.
Supplier to calculate the average number of business days from the | |
| Benefits KPI02: Benefit Administration – Transaction Timeliness | ||
| time a data update request is received to the time the data update is entered into the system, minus any pending time (defined as any time that the ticket is open in Base))) while waiting for input or data from LS&Co. users).
The data updates included in the calculation are those that were closed during the Measurement Interval. | ||
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 5 |
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| Service Metric | ||
| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of benefits transactions are processed within 72 hours for LSA, and when 99% of benefits transactions are processed within 72 hours for LSE and AMA, subject to baselining. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.11 Benefit Administration – Materials Fulfillment Timeliness | ||
| Benefits KPI03: Benefits Administration – Materials Fulfillment Timeliness | ||
| Objective |
To ensure that benefit related materials distributed by the Supplier are submitted to distribution channels in accordance with timeframes as agreed. | |
| Definition |
Percentage of benefit-related materials that are submitted to the distribution channel within agreed to timeframes.
Benefits related materials are defined as newly eligible packets and/or retirement packets. | |
| Method | ||
| Data Capture |
Supplier will use automated reporting from the TBA system to track the timeliness of fulfilment procedures.
Data will also be tracked separately for ERISA-type requirements, and equivalent in other countries as required | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
[Number of materials submitted to distribution channels within agreed upon timeframe] divided by the [Total number of materials submitted to distribution channels] expressed as a percentage.
Supplier to calculate the average number of business days from the time the event is identified to the time the service request is created for the fulfillment team or communicated electronically. | |
| Service Metric | ||
| Performance Target |
Performance target is achieved when 99.9% (subject to baselining) of materials are distributed within agreed upon timeframes for LSA, and 99.9% of materials are distributed within agreed upon timeframes for LSE and AMA, subject to baselining | |
| Benefits KPI03: Benefits Administration – Materials Fulfillment Timeliness | ||
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.12 Benefit Administration – Materials Fulfillment Accuracy | ||
| Benefits KPI04: Benefits Administration – Materials Fulfillment Accuracy | ||
| Objective |
To ensure that benefits related materials distributed by the Supplier are processed accurately. | |
| Definition |
Percentage of sampled benefit-related materials that are processed accurately. Benefits-related materials are defined as newly eligible packets and/or retirement packets.
Accurately includes distributing the correct packet based on the correct event (e.g., newly eligible employees should receive the most current version of the newly eligible employee packet) | |
| Method | ||
| Data Capture |
Supplier will use random sampling to track the accuracy of fulfilment procedures. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
[The number of audited transactions that pass (i.e. accurate transactions)] divided by [The total number of transactions audited] expressed as a percentage. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 6 |
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| Service Metric | ||
| Performance Target |
Performance Target is achieved when 99.9% (subject to baselining) of sampled materials are error free for LSA, and when 99.9% of sampled materials are error free for LSE and AMA, subject to baselining | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.13 Recruitment – Recruiting Timeliness | ||
| Recruitment KPI01: Recruiting Timeliness | ||
| Objective |
To ensure LS&Co. recruiting administration activities ( interview scheduling, background check, OB) are done in a timely manner | |
| Definition |
Number of recruiting transactions processed within the agreed period of time divided by the number of recruiting transactions received during the period. Timeliness measurement will exclude the time when the request is pending due to dependencies outside from Supplier for incomplete instructions or documents | |
| Method | ||
| Recruitment KPI01: Recruiting Timeliness | ||
| Data Capture |
Supplier will track and report on the recruiting transactions which are received when they are updated in the HR system. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
Recruiting timeliness = [(# of recruiting transactions received and processed within agreed period of time) / (# of recruiting transactions received during the period)] * 100 | |
| Service Metric | ||
| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of transactions are completed within 24 hours and all transactions within 72 hours for a volume threshold to be determined during transition. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.14 Recruitment – Employee Data Accuracy | ||
| Recruitment KPI02: Employee Data Accuracy | ||
| Objective |
To ensure that the data of an new employee is completed accurately in the system | |
| Definition |
The percentage of recruiting transactions during a Measurement Interval (10% random sample of total global volume assessed by Supplier’s reporting team (all regions to be covered)) that are completed accurately. | |
| Method | ||
| Data Capture |
Report (10% sample as noted above) to be created from the HR System based on a random sample of transactions performed by Supplier personnel. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval: based on 10% sample, (Number of recruiting transactions processed correctly during the period) / (Total number of recruiting transactions received and processed during the period) | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
Performance Target is achieved when 99% (subject to baselining) of transactions are processed accurately for LSA, and 99% (subject to baselining) transactions are processed accurately for LSE and AMA, subject to baselining. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 7 |
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| 3.15 Compensation Admin – Employee Data Accuracy | ||
| Compensation Admin KPI01: Compensation Admin timeliness | ||
| Objective |
To ensure that compensation data requests are performed on time as agreed according to the schedule | |
| Definition |
Compensation data provided to third parties for survey as per the agreed timelines between third party and LS&Co. | |
| Method | ||
| Data Capture |
Captured using Supplier’s case management tool. | |
| Measurement Interval |
Yearly | |
| Method of Calculation |
Number of requests processed and provided to third party on time / total number of requests received | |
| Service Metric | ||
| Performance Target |
99% (subject to baselining) | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.16 Performance Management – Performance Management Timeliness | ||
| Performance Management KPI01: Performance Management timeliness | ||
| Objective |
To ensure that performance management activities are performed on time as agreed according to the schedule. | |
| Definition |
Percent of performance management support closed prior to 2 days of actual performance cycle closure. | |
| Method | ||
| Data Capture |
To be captured using Workday. | |
| Measurement Interval |
Yearly | |
| Method of Calculation |
Number of requests processed on time / total number of requests received as a percentage | |
| Service Metric | ||
| Performance Target |
99% subject to baselining | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 8 |
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| 3.17 Offboarding – Offboarding Accuracy | ||||
| Offboarding KPI01: Offboarding Accuracy |
||||
| Objective |
To ensure that updates to termination data of an employee are completed accurately. | |||
| Definition |
Number of termination transactions processed accurately divided by the number of termination transactions processed during the period. | |||
| Offboarding KPI01: Offboarding Accuracy |
||||
| Method | ||||
| Data Capture |
Report (10% sample of global transactions, covering all regions) to be created from the HR system based on a random sample of transactions performed by Supplier personnel. | |||
| Measurement Interval |
Daily | |||
| Method of Calculation |
For each Measurement Interval: based on 10% sample (Number of termination transactions processed correctly during the period) / (Total number of termination transactions received and processed during the period) | |||
| Service Metric |
||||
| Performance Target |
99% subject to baselining | |||
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |||
| 3.18 Offboarding – Offboarding Timeliness | ||||
| Offboarding KPI02: Offboarding Timeliness | ||||
| Objective |
To ensure LS&Co. employees are terminated timely based on the requests received. | |||
| Definition |
Number of termination transactions processed within the agreed period of time divided by the number of termination transactions received during the period. Timelines measurement will exclude the time when the request is pending due to dependencies outside from Supplier for incomplete instructions or documents.
This includes but is not limited to:
• Preparation of severance kits: 2 business days, subject to demands of initiative, and as mutually agreed
• Special initiatives: includes 10-20 employees, 20-50, and 50—1,000 | |||
| 10 – 20 employees | Severance spreadsheet – 2 business days Preparation of severance kit – 2 business days | |||
| 21 – 50 impacted employees | Severance spreadsheet – 3 business days Preparation of severance kit – 5 business days | |||
| 51 – 1000 impacted employees | Severance spreadsheet – 4 business days Preparation of severance kit – 10 business days | |||
| Method | ||||
| Data Capture |
Supplier will track and report on the termination transactions which are received when they are updated in the HR system. | |||
| Offboarding KPI02: Offboarding Timeliness | ||||
| Measurement Interval |
Monthly | |||
| Method of Calculation |
For each Measurement Interval:
(Number of termination transactions received and processed within agreed period of time) / (Total number of termination transactions received during the period) | |||
| Service Metric | ||||
| Performance Target |
99.9% subject to baselining | |||
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |||
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 9 |
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| 3.19 Offboarding – Severance Package Accuracy | ||
| Offboarding KPI03: Severance Package Accuracy | ||
| Objective |
To ensure that all severance-related materials distributed by Supplier are processed accurately. | |
| Definition |
Severance package accuracy is the percentage of sampled severance materials that are processed accurately. Severance material includes all severance packet documents for which Supplier is responsible. | |
| Method | ||
| Data Capture |
Supplier will use random sampling to track the accuracy of fulfilment procedures. | |
| Measurement Interval |
Quarterly | |
| Method of Calculation |
For each Measurement Interval:
[The number of audited transactions that pass] divided by [The total number of transactions audited] expressed as a percentage.
Calculation will look at the personalized employee data to determine if the personalized data is accurate. | |
| Service Metric | ||
| Performance Target |
Service Level is achieved when 99% (subject to baselining) of sampled materials are error free. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.20 Service Desk – Average Speed to Answer | ||
| Service Desk KPI01: Average Speed to Answer | ||
| Objective |
To ensure that calls to the service desk are answered promptly. | |
| Definition |
The length of time that an LS&Co. employee/family member or retiree/family member waits to speak with a service desk agent. | |
| Service Desk KPI01: Average Speed to Answer | ||
| Method | ||
| Data Capture |
Through Supplier’s tracking system. | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
ASA = [(sum of speed to answer for all calls) / (# of calls)] *100 | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
Performance Target is achieved when the average speed to answer does not exceed 45 seconds (not counting IVR steps), subject to baselining | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 10 |
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| 3.21 Service Desk – First Call Resolution | ||
| Service Desk KPI02: First Call Resolution | ||
| Objective |
To measure the number of calls that are resolved on the first call, per the escalation policy, to the Supplier’s Service Desk. | |
| Definition |
“First Call Resolution” means that a problem is resolved during the first time an LS&Co. employee/family or retiree/family is on the phone with the service desk related to that problem.
A problem is considered “resolved” if:
- Service desk has resolved the problem to the LS&Co. employee’s/family or retiree’s/family satisfaction and the request is closed
Ticket types in scope for this calculation:
• Bereavement
• Demographic changes
• E-learning general question
• Employee issues (to be expanded on during transition)
• Employment verification
• General Information
• Holidays
• HR portal questions
• Policy information
• Other benefit programs
• Workday use query
• Policy inquiry
• Recruiting system password reset
• Red Tab Foundation
• Severance inquiries
• Talent acquisition requisition questions
• Transfer call to Fidelity | |
| Service Desk KPI02: First Call Resolution | ||
| • Transfer call to Learning
• Transfer call to other third party
• Transfer call to Payroll
• Vacation & leaves inquiries
• Workplace safety | ||
| Method | ||
| Data Capture |
Supplier will track and report First Call Resolution statistics via its service ticket system. | |
| Measurement Interval |
Monthly. | |
| Method of Calculation |
For each Measurement Interval:
First Call Resolution = [(# of calls “resolved”) / (# of calls)]*100 | |
| Service Metric | ||
| Values |
Metrics. | |
| Performance Target |
90.0% (subject to baselining) of all first calls are resolved while employee/family or retiree/family is on the initial phone call. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 11 |
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| 3.22 Service Desk – Customer Satisfaction | ||
| Service Desk KPI03: Customer Satisfaction | ||
| Objective |
To ensure that Supplier is meeting customer (end-user) expectations. | |
| Definition |
Percentage of surveyed employees/participants indicating “overall satisfaction”, using a 5 point scale, where 5 represents completely satisfied and 1 represents completely dissatisfied and “overall satisfaction” is defined as top 2 responses. Calculated as number of respondents indicating “overall satisfaction”, divided by total number of respondents. LS&Co. and Supplier to mutually agree on CSAT survey questionnaire. | |
| Method | ||
| Data Capture |
LS&Co. and Supplier will develop a mutually acceptable survey and will agree on sample size. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
The average score of all survey responses to a specific question (the “Overall Satisfaction” question) from the internal and external hire surveys. All responses will be totalled to calculate an overall average.
[Average score from all responses to specific question] | |
| Service Metric | ||
| Performance Target |
Performance Target is achieved when average response indicates an overall satisfaction score of 3.5 or greater on a 5-point scale, | |
| Service Desk KPI03: Customer Satisfaction | ||
| subject to baselining. | ||
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.23 Service Desk – Inquiry Acknowledgement | ||
| Service Desk KPI04: Inquiry Acknowledgement | ||
| Objective |
To ensure that email queries are acknowledged in a reasonable time frame. | |
| Definition |
Measured by the number of inquiries received by email that are acknowledged within 1 business day (24 hours) divided by the total number of emails received. | |
| Method | ||
| Data Capture |
Data captured using Supplier’s system. | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
Acknowledgement percent = [# of inquiries acknowledged within 1 business day) / (total # of inquiries)] * 100 | |
| Service Metric | ||
| Values |
Metrics. | |
| Performance Target |
100% (subject to baselining) of user emails are acknowledged within 1 business day. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| 3.24 Service Desk – Resolution of Escalated Cases | ||
| Service Desk KPI05: Resolution of Escalated Cases | ||
| Objective |
To ensure that cases escalated to Tier II (Supplier Transaction Processing Team) are resolved in a reasonable time frame. | |
| Definition |
Measured by the number of cases escalated to Tier II or resolved within two business days divided by the number of cases escalated to Tier II. | |
| Method | ||
| Data Capture |
Data captured using Supplier’s system | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
Escalated case resolution percentage = [# of escalated cases resolved within 2 business day) / (# of escalated cases)] * 100 | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 12 |
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| Service Desk KPI05: Resolution of Escalated Cases | ||
| Service Metric | ||
| Values |
Metrics. | |
| Performance Target |
95.0% (subject to baselining) of cases escalated to Tier II resolved within 2 Business Days.
In Scope:
Incidents escalated to Tier II – Benefits
Incidents escalated to Tier II – ER
Incidents escalated to Tier II – LOA
Incidents escalated to Tier II – Recruiting/Fulfillment | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.25 Service Desk – Escalated Cases to LS&Co.
| Service Desk KPI06: Escalated Cases to LS&Co. | ||
| Objective |
To ensure the number of escalated cases to Tier III (LS&Co.) are genuine escalations. | |
| Definition |
Number of cases accurately routed to Tier III as per the process guidelines. | |
| Method | ||
| Data Capture |
Data captured using Supplier’s system. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval: (Total number of cases escalated to Tier III– number of cases escalated inaccurately to Tier III ) / total number of escalated cases to Tier III *100 | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
99% subject to baselining | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.26 Service Desk – Service Desk Availability
| Service Desk KPI07: Service Desk Availability | ||
| Objective |
To ensure that Supplier call center is available to LS&Co. employees. | |
| Definition |
Measured as the minutes system is available during the agreed helpdesk shift window per region less scheduled maintenance | |
| Service Desk KPI07: Service Desk Availability | ||
| divided by the total available minutes less scheduled maintenance
Outages and downtime stemming from local Supplier telephony outside of Supplier’s responsibility to be excluded from this calculation. | ||
| Method | ||
| Data Capture |
ACD reports and/or telephone system reports indicating network and system is available to process calls. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
Service desk availability = [(# of minutes the service desk is available) / (# of total minutes during agreed helpdesk shift window)] * 100 | |
| Service Metric | ||
| Values |
Metrics. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 13 |
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| Performance Target |
Call Center is available 99.9% (subject to baselining) of the time to receive calls. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.27 Service Desk – Call Abandonment Rate
| Service Desk KPI08: Call Abandonment Rate | ||
| Objective |
To ensure that Supplier answers end-user calls to its customer service desk prior to the user hanging up. | |
| Definition |
The call abandonment rate is the proportion of calls that come into Supplier’s customer service desk for which LS&Co. end-users either hang up or are disconnected before Supplier answers the telephone. | |
| Method | ||
| Data Capture |
The statistics for measuring call abandonment rates are captured via a Supplier-provided ACD (Automatic Call Distribution) system. Supplier will utilize statistics generated by the ACD to produce reporting that allows for the monitoring and tracking of Supplier’s compliance with this Service Level. | |
| Measurement Interval |
Daily | |
| Method of Calculation |
For each Measurement Interval:
Call abandonment = [(# of calls abandoned) / (total # of calls)] * 100 | |
| Service Metric | ||
| Values |
Metrics. | |
| Performance Target |
The average call abandonment rate does not exceed 5% (subject to baselining) of total calls received during the Measurement | |
| Service Desk KPI08: Call Abandonment Rate | ||
| Interval. | ||
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.28 HRIS – Interface Reliability
| HRIS KPI01: Interface Reliability | ||
| Objective |
To ensure that service requests for new interfaces or changes to existing interfaces are implemented into production successfully. | |
| Definition |
Success of building interfaces (new or a change) having no defects during the user acceptance testing (UAT) phase. | |
| Method | ||
| Data Capture |
Reports created from Supplier UAT log. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
Modification success rate = 1-[(# of changes installed requiring fixes) / (total number of changes applied)] * 100. | |
| Service Matrix | ||
| Values |
Metrics | |
| Performance Target |
95% (subject to baselining) of modification introduced will be cleared during the UAT phase prior to releasing to production environment. | |
Metric Type The following Service Level is promotable to a Critical Service Level at the election of LS&Co.
3.29 HRIS – Incident Management and Resolution
| HRIS KPI02: Incident Management and Resolution | ||
| Objective |
To ensure that service restoration for incidents that are caused by Supplier supported systems or interfaces (the “Systems”) are completed in a timely and orderly manner to minimize the impact to LS&Co.’s business operations. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 14 |
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| Definition |
Supplier will respond and manage all incidents that are escalated to them for the Systems that they are responsible for based on the following severity levels and Incident response time schedule:
• Severity 1 (Urgent) – System down, business outage, or immediate work stoppage that threatens current and future business operations of LS&Co.
• Severity 2 (High) – High-impact problem where production is proceeding, but in a significantly impaired fashion; an Incident with a time-sensitive issue important to long-term productivity that is not causing immediate work stoppage.
• Severity 3 (Medium) – Important issue that does not have significant current productivity impact. In addition severity 3 includes specific outage scenarios as identified and agreed to by LS&Co. | |
| HRIS KPI02: Incident Management and Resolution | ||
| • Severity 4 (Low) – Minor inconvenience requiring ultimate, but not immediate, restoration. In addition severity 4 includes specific outage scenarios as identified and agreed to by LS&Co. | ||
| Method | ||
| Data Capture |
Incident tracking will be recorded and reported by Supplier. Any service ticket that does not reflect a record of acknowledgement to track against will be considered a failure. To remove any doubt, this means if a service ticket is opened and no updates are provided within the ticket as to its status until closure is performed, even if closure is performed within a reasonable timeframe, it will be considered an acknowledgement failure. Example: A Severity 2 (High) ticket is opened at 2:30 p.m. and closed at 4:30 p.m.; no updates are provided for the ticket until the 4:30 p.m. close time.
Although it has been closed in a timely manner, it is considered an acknowledgement failure because it was not updated in a way that allows the service metric of a 60-minute acknowledgement time to be measured.
Acknowledgement means that Supplier performs necessary communications and updates to the Service Ticket to ensure LS&Co. is aware of the time work on the Incident was started as well as action taken.
Severity 1 and 2 incidents are to be worked on 24x7 until workaround or service restoration is achieved. Severity 3 and 4 incidents are to be worked on a business-hours basis until workaround or service restoration is achieved. | |
| Measurement Interval |
Per incident. | |
| Method of Calculation |
(1) Number of incidents at each severity level acknowledged within the timeframes specified in the Metrics section below divided by number of Incidents at each correlating severity level.
(2) Number of incidents at each severity level resolved or with a workaround in place within the timeframes specified in the service metric section below divided by number of Incidents at each correlating severity level. | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
98% (subject to baselining) or more of: | |
| HRIS KPI02: Incident Management and Resolution | ||
| • Severity 1 (Urgent) Incidents are acknowledged within two (2 ) hours and are either resolved or have a workaround implemented within one business day following acknowledgement; (an exception here will be in case that Severity 1 is on account of the Workday application unavailability itself or a Workday product defect) and
• Severity 2 (High) Incidents are acknowledged within one (2) hour and are either resolved or have a workaround implemented within one business day following acknowledgement; and
• Severity 3 (Medium) Incidents are acknowledged within 24 hours of ticket opening, during 8:00 AM to 5:00 PM local business hours, and are either resolved or have a work around implemented within 2 business days following acknowledgement; and | ||
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 15 |
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| • Severity 4 (Low) Incidents are acknowledged within 24 hours of ticket opening, during 8:00 AM to 5:00 PM local business hours, and are either resolved or have a work around implemented within 5 business days following acknowledgement.
100% of all incidents are either resolved or have a workaround implemented within 10 business days | ||
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.30 HRIS – Problem Management Root Cause Analysis
| HRIS SLA01: Problem Management Root Cause Analysis | ||||||||
| Service Level Measure |
Target Time |
Performance |
Performance Target |
Measurement Interval | ||||
| Priority 1 | 3 Calendar days | 100% | 99% (To be Baselined) | Monthly | ||||
| Priority 2 | 5 Calendar days | 100% | 97% (To be Baselined) | Monthly | ||||
| Priority 3 | 15 Calendar days | 100% | 95% | Monthly | ||||
| Data Capture | ITSM Tool (Service Now) | |||||||
| Method of Calculation | (Total number of Priority N (N=1,2,3 or 4) problems resolved within Target time within the measurement interval / | |||||||
| HRIS SLA01: Problem Management Root Cause Analysis | ||||||||
| Service Level Measure |
Target Time |
Performance Goal (Aspirational Target) |
Performance Target |
Measurement Interval | ||||
| Total number of Priority N (N=1,2,3 or 4) Problems resolved within the measurement interval) * 100% Note: Resolution Time = Problem Resolved time—Problem Assigned time A problem is considered to be resolved once RCA is submitted | ||||||||
| Exclusions |
• Anything with regard to enhancements or pending for Change to be implemented
• Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target | |||||||
| Low Volume Clause |
• Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | |||||||
This will be reported along with Global Apps Service Levels
3.31 HRIS – Change Management Enhancement
| HRIS SLA02: Change Management Enhancement
| ||||||||||
| Service Level Measure |
Target Time |
Performance Goal (Aspirational Target) |
Performance Target |
Measurement Interval |
Calculation Method | |||||
| Applications promoted to production error free | (Not Applicable) |
100% | 97% | Monthly | (Total number of Resolved Enhancement CRs without any post production defects within the measurement interval / Total number of Enhancement CRs resolved within the measurement interval) * 100% | |||||
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 16 |
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| Enhancements delivered on | Not Applicable | 100% | 95% | Monthly | (Total number of Resolved Enhancement CRs where Actual | |||||
| HRIS SLA02: Change Management Enhancement | ||||||||||
| Service Level Measure |
Target Time |
Performance |
Performance |
Measurement Interval |
Calculation Method | |||||
| schedule | Implementation date <= Planned Implementation date within Target time within the measurement interval / Total number of Enhancement CRs resolved within the measurement interval) * 100% | |||||||||
| Turnaround enhancements estimates (effort) | 5 Calendar days | 100% | 95% | Monthly | (Total number of Enhancements requests responded within the target time/ Total number of Enhancements requests received within the measurement interval) * 100%
NOTE: Provided the target time falls within the measurement interval | |||||
| Data Capture Exclusions | ITSM Tool (Service Now) | |||||||||
| • Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target | ||||||||||
| Low Volume Clause | • Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Levels, as applicable. | |||||||||
This will be reported along with Global Apps Service Levels
3.32 HRIS – HR Portal Availability
| HRIS KPI03: HR Portal Availability | ||
| Objective |
To ensure that LS&Co. employees have access to the HR portal on an as-needed basis. | |
| HRIS KPI03: HR Portal Availability | ||
| Definition |
The percentage time the HR portal is accessible by LS&Co. employees. | |
| Method | ||
| Data Capture |
Reports indicating employee has access to the portal and the system is able to process employee requests. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
Availability = [(# of minutes HR portal not available) / (total # of minutes in measurement interval)] * 100
Note: Total minutes available in a Measurement Interval excluding scheduled downtime. | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
Availability is equal to or greater than 99%. (subject to baselining) | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 17 |
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| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.33 HRIS – HR Portal Speed
| HRIS KPI04: HR Portal Speed | ||
| Objective |
To ensure that LS&Co. employees can access the HR portal in a reasonable amount of time. | |
| Definition |
The time it takes for LS&Co. employees to access the HR portal. | |
| Method | ||
| Data Capture |
Reports indicating speed of HR portal. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
TBD pending determination of metric and mechanism to track the metric. | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
TBD | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.34 HRIS – HR Portal Speed to Update
| HRIS KPI05: HR Portal Speed to Update | ||
| Objective |
To ensure that the Supplier updates the HR portal in a timely manner. | |
| Definition |
Measured as the percentage of updates provided by LS&Co. completed within 24 hours and 72 hours. | |
| Method | ||
| Data Capture |
Report prepared by Supplier from their request tracking system showing request date and completion date compared to agreed turnaround times as identified in the service metric sections below. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
Speed to update 1 = [(# of updates completed within 24 hours of request) / (# of updates requested)] *100
Speed to update 2 = [(# of updates completed within 72 hours of request) / (# of updates requested)] *100 | |
| Service Metric | ||
| Values |
Metrics | |
| Performance Target |
Performance Target is achieved when 99.0% of updates are on the portal within 24 hours (subject to baselining) of request and 100% of updates within 72 hours (subject to baselining) | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
3.35 HRIS – Reporting Accuracy and Timing
| HRIS KPI06: Reporting Accuracy and Timing | ||
| Objective |
To measure the accuracy and timeliness of performance reporting by Supplier. | |
| Definition |
The percentage of performance reports that are generated and delivered error-free and on time within the scheduled reporting timeframe.
Service Level applies to all measured services that are reported as part of standard monthly or quarterly reports. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 18 |
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| Method | ||
| Data Capture |
Status report prepared by Supplier showing the agreed to performance that are delivered to LS&Co. accurately and on time. | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
For each Measurement Interval:
Performance report quality = [(# of accurate and on time reports) / (# of performance reports)] * 100 | |
| Service Metric | ||
| Values |
Metrics | |
| HRIS KPI06: Reporting Accuracy and Timing | ||
| Performance Target |
Performance Target is achieved when Supplier delivers standard performance reports that are 99% (subject to baselining) error-free within 5 business days of expected receipt as defined elsewhere in the agreement. | |
| Increased Impact |
Increased impact is when reports are less than 95% error free, or are not delivered to LS&Co. within 10 business days of expected receipt. | |
| Metric Type |
The following Service Level is promotable to a Critical Service Level at the election of LS&Co. | |
| LS&Co. – Exhibit 3.1 – Service Level Definitions – Human Resource Services | Page 19 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.2
SERVICE LEVEL DEFINITIONS – FINANCE SERVICES
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TABLE OF CONTENTS
| 1. | Introduction. | 1 | ||||||
| 1.1 | General | 1 | ||||||
| 1.2 | References | 1 | ||||||
| 1.3 | Definitions | 1 | ||||||
| 1.4 | Completion of Service Level Definitions | 1 | ||||||
| 2. | Critical Service Levels. | 1 | ||||||
| 2.1 | Accounts Payable | 1 | ||||||
| 2.2 | Travel & Expense (T&E) | 3 | ||||||
| 2.3 | Payroll | 5 | ||||||
| 2.4 | Accounts Receivable | 6 | ||||||
| 2.5 | General Accounting | 10 | ||||||
| 2.6 | Inventory Accounting | 12 | ||||||
| 2.7 | Treasury Transactions | 13 | ||||||
| 2.8 | Internal Reporting | 14 | ||||||
| 2.9 | Indirect Procurement | 14 | ||||||
| 2.10 | Technology and Master Data Management | 16 | ||||||
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 1.4 | Completion of Service Level Definitions. The Service Levels included in this Attachment at the Effective Date reflect the Parties’ best efforts to define the applicable Service Levels for the Service (and applicable Performance Targets and Service Level Credits). After the Effective Date, the Parties shall work in good faith with each other to finalize the list of Service Levels (and the associated Performance Targets and Service Level Credits) that will be applicable to Supplier’s performance of the Services after the applicable Commencement Date. Despite the foregoing, the Parties agree that this Attachment shall not be amended without the mutual written agreement of both Parties. |
| 2. | CRITICAL SERVICE LEVELS. |
| 2.1 Accounts Payable
| ||
| Accounts Payable SL01: Accounts Payable – Non-Urgent Invoice Processing-Timeliness | ||
| Objective |
Turn-around of time of non-urgent invoices | |
| Definition |
% of total non-urgent invoices processed within the agreed timeframe
Definition of Processed and Timeframe:
An invoice is considered “processed” if it is approved, pended, declined, or routed.
All invoices must be processed within two business days from the receipt of invoice, based on a FIFO (First in-First-out) prioritization. | |
|
Accounts Payable SL01: Accounts Payable – Non-Urgent Invoice Processing-Timeliness | ||
| On the last business day of the month, Supplier must process all invoices received by 8:00 PM local country time on the same day. Supplier must also ensure all “past due” invoices (i.e., current date exceeds invoice date plus payment term window) received by 8:00 PM local country time on the last business day of the month are processed on the same day. | ||
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (reported weekly) | |
| Method of Calculation |
(Total non-urgent invoices processed within the agreed timeframe / Total non-urgent invoices processed during the measurement interval)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of non-urgent invoices are turned around within the agreed timeframe and in accordance LS&Co. stipulations. | |
| Metric Type |
Critical Service Level | |
| Accounts Payable SL02: Accounts Payable – Invoice Processing- Accuracy | ||
| Objective |
Accuracy of all invoice processing | |
| Definition |
% of total invoices posted accurately
Definition of Posted and Accuracy:
An invoice is considered “posted” if it is has been posted in SAP.
An invoice is considered “accurate” if it is complete and error-free.
Criteria regarding what makes an invoice error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make an invoice error free. | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 1 |
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| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (reported weekly) | |
|
Accounts Payable SL01: Accounts Payable – Non-Urgent Invoice Processing-Timeliness | ||
| Method of Calculation |
(Total invoices posted accurately (i.e. vendor name, vendor #, amount, PO, GL Code, invoice date, invoice number etc) / Total invoices posted during the measurement interval)*100 | |
|
Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of invoices are turned around accurately. | |
| Metric Type |
Critical Service Level | |
|
Accounts Payable SL03: Accounts Payable – Urgent Invoices-Timeliness | ||
| Objective |
Turn-around of time of Urgent Invoices (TBD definition of Urgent invoices) | |
|
Definition |
% of total Urgent Invoices posted within agreed timeframe
Definition of Posted and Timeframe:
An urgent invoice is considered “posted” if it is entered into SAP.
Urgent invoices must be posted and ready to pay on the next payment run (as per regional banking schedule).The schedule will be further discussed during TA/KA. | |
|
Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (reported weekly) | |
| Method of Calculation |
(Total invoices posted within the agreed timeframe / Total invoices posted during the measurement interval)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of invoices are turned around within the agreed timeframe | |
| Metric Type |
Critical Service Level | |
|
Accounts Payable SL04: Accounts Payable – Query Response and Resolution-Timeliness | ||
| Objective |
Timeliness of query response and resolution | |
| Definition |
1. % queries responded within the agreed timeframe
2. % queries resolved within the agreed timeframe | |
| Accounts Payable SL01: Accounts Payable – Non-Urgent Invoice Processing- Timeliness | ||
| Definition of Responded and Timeframe:
A query is considered “responded” if it is resolved, pended or routed as per the appropriate handoffs.
All queries must be responded within a day. Queries include phone calls, voice mails, and emails.
Definition of Resolved and Timeframe:
A query is considered “resolved” if it is resolved, escalated per desktop procedures or closed. All queries must be resolved within two business days.
| ||
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (reported weekly) | |
| Method of Calculation |
1. (Queries responded within agreed timeframe / Total queries handled)*100
2. (Queries resolved within agreed timeframe / Total queries handled)*100 | |
| Performance Target | ||
| Performance Target |
1. Performance Target is achieved when 98% of queries are responded within the agreed timeframe
2. Performance Target is achieved when 98% of queries are resolved within the agreed timeframe | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 2 |
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| Metric Type |
Critical Service Level | |
| Accounts Payable SLI01: Accounts Payable– Payments Processing- On Time Payments | ||
| Objective |
Measure the on-time payments to vendors | |
|
Definition |
% of total vendor payments made within payment terms
Criteria to determine and factor in delayed payments attributable to delay in receipt of invoices at Supplier, delayed resolution by LS&Co/vendors to release the invoice block/provide clarification/approve etc in calculating Supplier’s performance will be discussed during Transition | |
|
Accounts Payable SLI01: Accounts Payable– Payments Processing- On Time Payments | ||
| Analysis/Knowledge Acquisition phase
Definition of Payment Terms:
A list of Payment Terms will be delivered during TA / KA | ||
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (reported weekly) | |
| Method of Calculation |
(Total invoices paid within the payment terms per SAP / Total invoices paid)*100 | |
| Performance Target | ||
| Performance Target |
Expected Performance Target is achieved when 99% of total vendor payments made within payment terms | |
| Metric Type |
Critical Service Level | |
|
Accounts Payable SL02: Accounts Payable– Invoice Processing- Average Cycle Time | ||
| Objective |
Invoice processing average cycle time | |
| Definition |
Average cycle time of invoices processed and ready for payment in a measurement period | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Weekly (reported monthly) | |
| Method of Calculation |
Average of cycle time (invoice date to ready for payment date) of all the invoices processed in a measurement period (measured in hours) | |
| Performance Target | ||
| Performance Target |
Performance Target: Performance Target is met when the average cycle time for invoices is 9 days or less.
Supplier and LS&CO. to define criteria for determination of factors which need to be duly considered for evaluating Supplier’s performance. For instance, delayed receipt of invoices for processing, delay in reverts from vendors/LS&CO. for exception resolution, etc during the Transition Analysis/Knowledge Acquisition phases.
[cycle time reported in hours should demonstrate continuous improvement for critical service measures that would be set forth during TA/KA] | |
|
Accounts Payable SLI01: Accounts Payable– Payments Processing- On Time Payments | ||
| Metric Type |
Critical Service Level | |
2.2 Travel & Expense (T&E)
| SL01: Travel & Expense – Expense Statement Processing- Timeliness | ||
| Objective |
Timeliness of employee expense report processing | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 3 |
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| Definition |
% expense reports processed within agreed timeframe
Definition of Processed and Timeframe:
An expense report is considered “processed” when it is received and has been put into an audit queue or cleared for payment.
Reports (less reports returned to LS&Co. due to LS&Co. errors and omissions that prohibit expense processing) submitted to the back office must be processed by 3:00 PM local country time the next business day following FIFO prioritization. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(# of employee expense reports requests processed within agreed timeframe / total # of employee expense reports processed in a measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of Expense reports are processed within the agreed timeframe as defined above.
[Measurement to exclude cases where delayed payment is on account of dependencies on employees/approvers and these will be further defined in TA / KA] | |
| Metric Type |
Critical Service Level | |
|
SL02: Travel & Expense –Expense Statement Processing- Accuracy | ||
| Objective |
Accuracy of employee expense report (EER) processing | |
|
Definition |
% of accurate payment to employees by processing the EERs
Definition of Processed and Accuracy:
An expense report is considered “processed” when it is received and has been put into an audit queue or cleared for payment.
An expense report is considered “accurate” if it is complete and error-free. Criteria regarding what makes an expense report error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make an expense report error free. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(# of accurately processed employee expense reports / total # of employee expense reports processed in a measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of payments made to employees by processing the EERs is accurate | |
| Metric Type |
Critical Service Level | |
|
SL03: Travel & Expense – Query Response and Resolution- Timeliness | ||
| Objective |
Timeliness of travel and expense (T&E) query response and resolution | |
|
Definition |
1. % queries responded within the agreed timeframe
2. % queries resolved within the agreed timeframe
Definition of Responded and Timeframe:
A query is considered “responded” if it is resolved, pended or routed as per the appropriate handoffs.
All queries must be responded within a day. Queries include phone calls, voice mails, and emails.
Definition of Resolved and Timeframe:
A query is considered “resolved” if it is resolved, escalated per desktop procedures or closed. All queries must be resolved within two business days. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base)))™ Suite | |
| Measurement Interval |
Daily (Monthly) | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 4 |
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| Method of Calculation |
(# of T&E requests responded within agreed timeframe/ total # of T&E requests responded in a measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 95% of queries are responded within agreed timeframe | |
| Metric Type |
Critical Service Level | |
|
KP01: Travel & Expense – Cycle time for expense reports | ||
| Objective |
Measure the cycle time for expense reports | |
|
Definition |
Average cycle time. Start time is based on the time stamp of when the report is submitted and end time is based on the time stamp when the report is ready for payment
Definition for Cycle Time:
Cycle time includes time for processing and getting the expense report ready for payment | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
Average of cycle time of all expense reports processed in a measurement period (measured in hours) | |
| Performance Target | ||
| Performance Target |
Process Metric | |
| Metric Type |
KPI | |
2.3 Payroll
| SL01: Payroll Timeliness | ||
| Objective |
Ensure timeliness of employee payments in terms of percentage of payments distributed on time | |
| Definition |
Number of payments distributed on time per agreed schedule | |
| SL01: Payroll Timeliness | ||
| Definition of Schedule:
Payroll schedules by country will be provided during TA / KA | ||
| Method | ||
| Data Capture |
Captured using the LS&Co. and 3rd party payroll systems /manual files (as appropriate) | |
| Measurement Interval |
Bi-weekly (Monthly) | |
| Method of Calculation |
Number of payments distributed on time per agreed schedules (total payments minus payments distributed late) in a measurement window divided by total number of payments produced in that period * 100
Definition of Distributed:
“Distributed” is defined as when the payments are put into distribution channels (e.g., bank file processed or payment mailed) | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of payments are distributed on time per the agreed schedule | |
| Metric Type |
Critical Service Level | |
| SL02: Payroll Accuracy – 3rd party | ||
| Objective |
Ensure number of third party files delivered accurately | |
| Definition |
% of payments distributed on time per agreed schedule
Definition of Accuracy:
A payment is considered “accurate” if it is complete and error-free. Criteria regarding what makes a payment error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make a payment error free. | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 5 |
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| Method | ||
| Data Capture |
Captured using the 3rd party payroll systems/manual files (as appropriate) | |
| Measurement Interval |
Bi-weekly, Monthly | |
| Method of Calculation |
(Number of 3rd party payroll delivered accurately, as per agreed schedules) / (total number of 3rd party payroll scheduled to be delivered during the measurement window) * 100 | |
| Performance Target | ||
| SL01: Payroll Timeliness | ||
| Performance Target |
Performance Target is achieved when 99% of third party files are delivered accurately | |
| Metric Type |
Critical Service Level | |
| SL01: Payroll Overpayment | ||
| Objective |
To ensure payments processed accurately without overpayment | |
| Definition |
The percent of payments that do not contain a processing error or incompletion for the measurement window that would result in overpayment | |
| Method | ||
| Data Capture |
Captured using the LS&Co. or 3rd party payroll system | |
| Measurement Interval |
Weekly, Bi-weekly or Monthly | |
| Method of Calculation |
(Total number of payments processed—the total number of errors resulting in overpayment) divided by the total number of payments * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of payments do not contain a processing error resulting in an overpayment for the measurement window | |
| Metric Type |
Critical Service Level | |
| SL02: Payroll Underpayment | ||
| Objective |
To ensure payments processed accurately without Underpayment | |
| Definition |
The percent of payments that do not contain a processing error or incompletion for the measurement window that would result in underpayment | |
| Method | ||
| Data Capture |
Captured using the LS&Co. or 3rd party payroll system | |
| Measurement Interval |
Weekly, Bi-weekly or Monthly | |
| Method of Calculation |
(Total number of payments processed—the total number of errors resulting in underpayment) divided by the total number of payments * 100 | |
| SL02: Payroll Underpayment | ||
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of payments do not contain a processing error resulting in an underpayment for the measurement window | |
| Metric Type |
Critical Service Level | |
2.4 Accounts Receivable
| SL01: AR – Performance Target Objective | ||
| Objective |
Timeliness and completeness of manual invoice/credit memo creation | |
|
Definition |
% of manual invoices / credit memo created within agreed timeframe
Definition of Timeframe:
All urgent manual invoices / credit memo must be issued within 24 hours. Non-urgent must be issued within 72 hours.
On the last business day of the month, Supplier must issue all invoices by 8:00 PM local country time on the same day. | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 6 |
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| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
|
Method of Calculation |
Urgent Manual Invoices / Credit Memo
Sum of all manual invoices issued within 24 Hours (i.e., Process completion time – time stamp < 24 hours) / Total urgent manual invoices.
Non-Urgent Manual Invoices / Credit Memo
Sum of all manual invoices issued within 72 Hours (i.e., Process completion time – time stamp< 72 hours) / Total non-urgent manual invoices. | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 98% of invoices created within agreed timeframe | |
| Metric Type |
Critical Service Level | |
| SL02: AR – Accuracy of Invoices / Credit Memos | ||
| Objective |
Accuracy of invoices/credit memos created (tracked separately for credit memos, manual invoices and automatic invoices) | |
|
Definition |
% of invoices / credit memos created accurately
Definition of Accurately:
An invoice / credit memo is considered “accurate” if it is complete and error-free. Criteria regarding what makes an invoice/credit memo error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make an invoice/credit memo error free. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(# of invoices/credit memos raised accurately) / (total # of invoices/credit memos raised in the measurement period) * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of invoices are created accurately | |
| Metric Type |
Critical Service Level | |
| SL03: AR – Timelines of Cash Application | ||
| Objective |
Timeliness of cash application (third party, O&O and country level if enabled within underlying LS&Co. systems) | |
|
Definition |
% of cash applied in relevant customer accounts within agreed timeframe
Definition of Relevant Customer Accounts and Timeframe:
All cash application requests have to be processed (applied to customer invoice, account, escalated or suspense account or escalated to LS&Co. /customers per desktop procedures) and accompanied by remittance advice within 24 hours of receipt.
“Relevant customer accounts” will be provided during TA / KA | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(Total sum of cash applied within agreed timeframe / Total sum of cash applied for application in a measurement period) * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of cash applied in relevant customer accounts is within agreed timeframe | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 7 |
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| Metric Type |
Critical Service Level | |
| SL04: AR – Accuracy of Cash Application | ||
| Objective |
Accuracy of cash application (third party, O&O and country level if enabled within underlying LS&Co. systems) | |
|
Definition |
% of accurately applied cash out of total cash applied
Definition of Accurately:
A cash application is considered “accurate” if it is complete and error-free. Criteria regarding what makes a cash application error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make a cash application error free. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(Total sum of cash applied accurately / total sum of cash applied to customer accounts by the team in a measurement period) * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of cash is applied accurately out of total cash applied | |
| Metric Type |
Critical Service Level | |
| SL05: AR – Timeliness of Credit Check Request | ||
| Objective |
Timeliness of credit check request processing | |
|
Definition |
% of credit check requests processed within agreed timeframe
Definition of Processed and Timeframe:
All urgent credit check requests received by 3 PM local country time have to be processed within 24 hours. Requests received post 3 PM local country time can be applied the next day and still meet Performance Target. Non-urgent credit checks can be completed within 72 hours of receipt and still meet service request. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
Urgent Credit Check
Sum of all urgent credit check processed within 24 Hours / Total all urgent credit checks.
Non-Urgent Credit Check
Sum of all non-urgent credit checks processed within 72 Hours / Total non-urgent credit checks. | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 95% of all credit check types are processed within the agreed timeframe | |
| Metric Type |
Critical Service Level | |
| SL02: AR – Collections- Past Due %- Performance Target Objective | ||
| Objective |
Past-due% | |
|
Definition |
% cash past-due
Definition of Past Due:
Past Due is defined as ten calendar days for US accounts and thirty calendar days for Canada and Mexico. Past due for LSE and AMA is ten days.
Supplier and LS&Co. to mutually agree during TA/KA criteria to define % past due performance attributable to Supplier versus general customer/business landscape. This is our current business processes and LS&Co. does not anticipate any changes. | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 8 |
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| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(# of past due payments/total due payments) * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 95% are not past due | |
| Metric Type |
Critical Service Level | |
| SL03: AR – Retail Cash Clearing- Timeliness- Performance Target Objective | ||
| Objective |
Timeliness of retail cash clearing | |
|
Definition |
% retail cash applied within agreed timelines
Definition of Timeline:
All retail cash must be cleared daily | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(# of retail cash applied within agreed timelines / total cash required to be applied in the measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% retail cash is applied within agreed timelines. | |
| Metric Type |
Critical Service Level | |
| SL04: AR – Dispute Resolution- Timeliness and recovery % of dispute resolution | ||
| Objective |
Timeliness of dispute resolution | |
|
Definition |
% of disputed items beyond 15days
Aging of dispute resolution may vary from country to country depending on a variety of reasons. Additional stipulations will be added during TA / KA effort. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(1- (# of disputed items beyond 15 days / total # disputes items in a measurement period))*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 90% of disputed items are within 15days of ageing and 95% of disputed items are in a UDM case within 10 days of cash application
[Ageing limit applies in all cases unless exceptions are discovered during TA/KA] | |
| Metric Type |
Critical Service Level | |
| SL05: AR – Retail Cash- Aging Report | ||
| Objective |
Track retail cash aging by country | |
| Definition |
Retail cash aging reporting | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
Per agreed reporting process and desktop procedures | |
| Performance Target | ||
| Performance Target |
Aged items should be less than 10 days of ageing 95% of the time | |
| Metric Type |
Critical Service Level | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 9 |
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2.5 General Accounting
| SL01: General Accounting – Timely Closure | ||
| Objective |
Timeliness of month-end tasks to ensure sufficient time for review of financial position before the hard close of GL | |
|
Definition |
% Month End Tasks completed per the close schedule
Definition of Close Schedule:
All closing activities must be updated and completed as per the Close Schedule to be provided during TA / KA. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
(# of month end activities performed as per agreed schedule / Total activities required to be performed as per scheduled)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% Month End Tasks is completed within agreed timeframe | |
| Metric Type |
Critical Service Level | |
| SL02: General Accounting – Accuracy of Month-End Tasks | ||
| Objective |
Accuracy of month-end tasks to ensure materially accurate financial statements | |
|
Definition |
% of month-end activities performed accurately as per accounting policies and procedures
Definition of Accurately:
A month end task is considered “accurate” if it is complete and error-free. Criteria regarding what makes a task error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make a task error free.
[LS&Co. will provide accounting policies and procedures during TA/KA] | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
(# of month-end activities performed accurately as per accounting manual and principles / Total activities performed as per in a measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of Month End activities are performed accurately as per accounting policies and procedures | |
| Metric Type |
Critical Service Level | |
| SL05: Fixed Assets – Timeliness of Fixed Asset Transactions | ||
| Timeliness of asset additions, deletions & updates | ||
|
Definition |
% asset additions, deletions & updates on invoices processed within a measurement period
Definition for Measurement Period:
All fixed asset additions, deletions and updates must be processed by the Supplier no later than 12:00 PM local country time on the closing day in accordance with the closing calendar which will be provided during TA / KA.
The asset in-service date is the fiscal month in which service began for the asset. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Daily (Monthly) | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 10 |
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| Method of Calculation |
(# of asset addition invoices processed within the agreed timeframe (or by period close) / total # of asset addition invoices received in a measurement period) * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of Asset Additions, Deletions and Updates to Invoices are processed within the measurement period | |
| Metric Type |
Critical Service Level | |
| SL06: Fixed Assets – Accuracy of Fixed Asset Transactions | ||
| Objective |
Accuracy of asset additions, updates and disposals. | |
|
Definition |
% asset additions, updates and disposals processed accurately
Definition of Accurately:
A transaction is considered “accurate” if it is complete and error-free.
A transaction is considered “accurate” if it is complete and error-free. Criteria regarding what makes a transaction error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make a transaction error free. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base Suite | |
| Measurement Interval |
Daily (Monthly) | |
| Method of Calculation |
(# of asset addition, updates and disposals invoices processed accurately (i.e., capturing all asset information such as GL, Sub GL, asset code, invoice #, invoice date, etc.)/ total # of asset addition updates and disposals invoices processed in a measurement period) * 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of Asset additions, updates and disposals of Invoices are processed Accurately | |
| Metric Type |
Critical Service Level | |
| SL07: Reconciliations– Timeliness of Reconciliations | ||
| Objective |
Timeliness of all the reconciliations (including intercompany reconciliations) | |
| Definition |
% of reconciliations performed within agreed timeframe | |
| Definition of Timeframe:
Reconciliations classified as “high-risk” must be done by Workday 3 (“high-risk” account list will be provided during TA / KA). Remaining reconciliations must be completed by day 10 of closing. Reconciling item descriptions must be comprehensive and / or proven mathematically (i.e. FX).
All reconciliations must be processed through Blackline and have appropriate approval. | ||
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly | |
|
Method of Calculation |
“High risk” Reconciliations
(# of “high-risk” reconciliations performed within the agreed timeframe/ total # of “high-risk” reconciliations required to be performed in the measurement period)*100
“All other” Reconciliations
(# of “all other” reconciliations performed within the agreed timeframe/ total # of “all other” reconciliations required to be performed in the measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of reconciliations are performed within the agreed timeframe | |
| Metric Type |
Critical Service Level | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 11 |
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| KPI01: General Accounting –Number of Days to Close – | ||
| Objective |
Number of Days to Close | |
| Definition |
Number of days from fiscal period end to final “HFM load” and KPI | |
| Method | ||
| Data Capture |
SAP / HFM | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Count the number of days | |
| Performance Target | ||
| Performance Target |
Process Metric | |
| Metric Type |
KPI | |
2.6 Inventory Accounting
| SL01: Inventory Accounting– Timelines of Inventory Adjustments | ||
| Objective |
Timeliness of inventory adjustments that are uploaded and posted to enable smooth GL close | |
|
Definition |
% adjustments done within agreed timelines
Definition of Timelines:
All inventory adjustments must be uploaded and posted to the system on the same day, if received by 3 PM local country time based on a FIFO (First in-First-out) prioritization. Adjustment requests received post 3 PM local country time may be uploaded and posted to the system the next business day and still meet the Performance Target.
On the last business day of the month, Supplier must upload and post to the system all adjustments received by 8:00 PM local country time on the same day. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
(# of adjustments processed within agreed timeline during the measurement period / Total adjustments done during the measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% of adjustments are done within the agreed timelines | |
| Metric Type |
Critical Service Level | |
| SL02: Inventory Accounting – Timelines of store data reconciliations | ||
| Objective |
Timeliness of store data reconciliations | |
|
Definition |
Store data reconciled within agreed timelines
Definition of Timelines:
All store data reconciliations must be processed on the same day if received by 3 PM local country time based on a FIFO (First in-First-out) prioritization. Adjustment requests received post 3 PM local country time may be processed the next business day and still meet the Performance Target.
On the last business day of the month, Supplier must process all reconciliations received by 8:00 PM local country time on the same day.
During physical inventory, store data reconciliation must be performed in accordance with the retail inventory calendar published prior to each such physical inventory. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly or upon physical inventory | |
| Method of Calculation |
Store data reconciled within agreed timeframe during the measurement window | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 12 |
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| Performance Target | ||
| Performance Target |
Performance Target expectation is achieved when 95% of the store data is reconciled within the agreed timelines | |
| Metric Type |
Critical Service Level | |
| SL01: Inventory Accounting – Accuracy of Inventory Adjustments | ||
| Objective |
Accuracy of inventory adjustments | |
|
Definition |
% inventory adjustments completed accurately
Definition of Accurately:
An inventory adjustment is considered “accurate” if it is complete and error-free. Criteria regarding what makes an inventory adjustment error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make an inventory adjustment error free. | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly or as required by physical count | |
| Method of Calculation |
(# of inventory adjustments done accurately / Total # of inventory adjustments performed during the measurement window)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% Inventory Adjustments is done accurately Critical Service Level | |
Metric Type
2.7 Treasury Transactions
| SL01: Treasury Transactions – Timelines of in-house Bank Statements | ||
| Objective |
Timeliness of in-house bank statement generation | |
|
Definition |
% in-house bank statements generated within the agreed timelines
Definition of Timelines:
All bank statements must be processed on the same day if received by 3 PM local country time based on a FIFO (First in-First-out) prioritization. Adjustment requests received post 3 PM local country time may be processed the next business day and still meet the Performance Target.
On the last business day of the month, Supplier must process all adjustments received by 8:00 PM local country time on the same day.
[local country timeline requirements to be validated during TA / KA] | |
| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
(# of in-house bank statements generated within the agreed timelines / Total in-house bank statements generated)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% in-house Bank Statements are generated within the agreed timelines | |
| Metric Type |
Critical Service Level
| |
| SL02: Treasury Transactions – Accuracy of Rate Updates | ||
| Objective |
Accuracy of rate updates in the system (forex, cost rates, etc.) | |
|
Definition |
% of rates updated accurately
Definition of Accurately:
A rate update is considered “accurate” if it is complete and error-free. Criteria regarding what makes a rate update error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make a rate update error free. | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 13 |
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| Method | ||
| Data Capture |
Underlying LS&Co. Technology Framework/ Base))) Suite | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
(# rates updated accurately/ Total rates uploaded in the measurement period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of rates are updated accurately | |
| Metric Type |
Critical Service Level | |
|
2.8 Internal Reporting
| ||
| Internal Reporting SL01:– Timeliness- Performance Target Objective | ||
| Objective |
Timely creation and delivery of internal and ad hoc report requests | |
| Definition |
# of reports delivered as per agreed timeline
Definition of Timeline:
During the report request, a timing target would be set by the requestor. | |
| Method | ||
| Data Capture |
BASE | |
| Measurement Interval |
Ad Hoc | |
| Method of Calculation |
# of reports delivered on time / total # of reports to be generated | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 90% of all reports are delivered on time | |
| Metric Type |
Critical Service Level | |
| Internal Reporting SL02:– Accuracy of Reports | ||
| Objective |
Accuracy of reports generated | |
| Definition |
# of reports generated accurately
Definition of Accurately:
A report is considered “accurate” if it is complete and error-free. Criteria regarding what makes a report error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make a report error free. | |
| Method | ||
| Data Capture |
BASE | |
| Measurement Interval |
Ad Hoc | |
| Method of Calculation |
# of accurate reports delivered / total # of reports generated | |
| Performance Target
| ||
| Internal Reporting SL01:– Timeliness- Performance Target Objective | ||
| Performance Target |
Performance Target is achieved when 95% of reports generated are accurate | |
| Metric Type |
Critical Service Level | |
| 2.9 Indirect Procurement | ||
|
Indirect Procurement SL01: PO Creation Cycle Time | ||
| Objective |
Measure the cycle time for PO creation | |
| Definition |
Average cycle time to create a PO from the requisition within the agreed timeframe
Definition of timeframe:
All urgent POs must be created within 24 hours of requisition. All non-urgent POs must be created within 48 hours of requisition. | |
| Method | ||
| Data Capture |
BASE))), SAP | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Within a measurement period, calculate:
Urgent PO Creation
Sum of all Urgent PO created within 24 Hours / Total number of all Urgent POs created
Non-Urgent PO Creation
Sum of all non-urgent PO created within 48 Hours / Total number non-urgent POs created. | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 14 |
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| Performance Target | ||
| Performance Target |
Performance Target is achieved when 98% of POs are created within the respective stipulated timeframe | |
| Metric Type |
Critical Service Level | |
| Indirect Procurement SL02: Vendor Set-Up Cycle Time – Performance Target Objective | ||
| Objective |
Measure the cycle time for vendor set-up | |
| Definition |
Average time to create a vendor from the requisition within the agreed timeframe | |
| Indirect Procurement SL02: Vendor Set-Up Cycle Time – Performance Target Objective | ||
| Definition of timeframe:
All urgent vendor set-up requests have to be completed in 1 business day. All non-urgent vendor set-up requests have to be completed in 5 business days. | ||
| Method | ||
| Data Capture |
BASE))), SAP | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Urgent Vendor Set-Up Requests
Sum of all Urgent vendor Set-Up requests completed within 1 business day (i.e., Process completion time – time stamp<1 business day) / Total urgent vendor set-up requests completed.
Non-Urgent Vendor Set-Up Requests
Sum of all Non-Urgent Vendor Set-Up requests issued within five days (i.e., Process completion time – time stamp<5 days) / Total non-urgent Vendor Set-Up requests completed | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of all urgent vendor set-up requests are completed within the respective stipulated timeframes
Performance Target is achieved when 98% of all non-urgent vendor set-up requests are completed within the respective stipulated timeframes | |
| Metric Type |
Critical Service Level | |
| In direct Procurement SL02: Quality– Performance Target Objective | ||
| Objective |
Measure the accuracy of the request processed | |
| Definition |
% requests processed accurately
Definition of Accurately:
A processed request is considered “accurate” if it is complete and error-free. Criteria regarding what makes a processed request error free can be discussed during Transition Analysis/Knowledge Acquisition | |
| In direct Procurement SL02: Quality– Performance Target Objective | ||
| but will not result in an all-encompassing checklist that would make a processed request error free. | ||
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Total no of request processed first time correct (in a given period)/ Total no of request processed (during the same above mentioned time period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% requests are processed accurately. | |
| Metric Type |
Critical Service Level | |
| KPI01: Average Vendor Set-Up Cycle Time | ||
| Objective |
Measure the average cycle time for vendor set-up | |
| Definition |
Average time to create a vendor from the requisition | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 15 |
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| Method | ||
| Data Capture |
BASE))), SAP | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Average length of time from receipt of request to vendor creation – based on time stamped requisition and creation | |
| Performance Target | ||
| Performance Target |
Process Measure | |
| Metric Type |
KPI | |
| Indirect Procurement KPI02: Closing PO | ||
| Objective |
Report the total # of closing POs | |
| Definition |
Report the total # of closed POs in the system | |
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Quarterly | |
| Indirect Procurement KPI02: Closing PO | ||
| Method of Calculation |
Number of closed POs in the system | |
| Performance Target | ||
| Performance Target |
Process Metric | |
| Metric Type |
KPI | |
| Indirect Procurement KPI03: Retro PO | ||
| Objective |
Report the total # of retroactive POs | |
| Definition |
% retroactive POs created | |
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Total # of POs issued as retroactive (in a given period) / Total no of POs issued (during the same above-mentioned time period)*100 | |
| Performance Target | ||
| Performance Target |
Process Measure (Reporting Metric only) | |
| Metric Type |
KPI | |
| 2.10 Technology and Master Data Management | ||
| SL01: Turnaround time MDM | ||
| Objective |
Timeliness of master data request processing | |
| Definition |
% requests processed within the agreed timelines
Definition of Timelines:
All Master Data requests must be processed within 24 hours based on a FIFO (First in-First-out) prioritization unless defined as “Urgent”.
Non-urgent Master Data requests received post 3 PM local country time may be processed the next business day and still meet the Performance Target. Urgent Master Data requests have to be closed out on the same day if received by 5 PM local country time. | |
| SL01: Turnaround time MDM | ||
| [This needs to be further discussed during TA/KA due to the different types of Master Data] | ||
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
(Total # of requests processed (in a given period) / Total # of request received (during the same abovementioned time period))* 100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 97% requests are processed within the agreed timelines | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 16 |
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| Metric Type |
Critical Service Level | |
| SL02: Quality MDM | ||
| Objective |
Measure the accuracy of the request processed | |
| Definition |
% requests processed accurately
Definition of Accurately:
A Master Data is considered “accurate” if it is complete and error-free. Criteria regarding what make the Master Data error free can be discussed during Transition Analysis/Knowledge Acquisition but will not result in an all-encompassing checklist that would make the Master Data error free. | |
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Total # of request processed first time correct (in a given period) / Total # of request processed (during the same above-mentioned time period)*100 | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 99% requests is processed accurately | |
| Metric Type |
Critical Service Level | |
| SL03: Vendor Set-Up Cycle Timeliness - Direct Procurement | ||
| SL03: Vendor Set-Up Cycle Timeliness - Direct Procurement | ||
| Objective |
Measure the timeliness of the cycle time for vendor set-up | |
| Definition |
% of total vendor set-up within the agreed timeframe (cycle time)
Definition of timeframe:
All urgent vendor set-up requests have to be completed in 1 business day. All non-urgent vendor set-up requests have to be completed in 5 business days. | |
| Method | ||
| Data Capture |
BASE))), SAP | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Urgent Vendor Set-Up Requests
Sum of all Urgent vendor Set-Up requests completed within 1 business day (i.e., Process completion time – time stamp<1 business day) / Total urgent vendor set-up requests.
Non-Urgent Vendor Set-Up Requests
Sum of all Non-Urgent Vendor Set-Up requests issued within five days (i.e., Process completion time – time stamp<5 business days) / Total non-urgent Vendor Set-Up requests. | |
| Performance Target | ||
| Performance Target |
Performance Target is achieved when 100% of all vendor set-up requests are completed within the respective stipulated timeframes | |
| Metric Type |
Critical Service Level | |
| KPI01: One-time Vendor Added | ||
| Objective |
Report the total number of one-time vendor added per business | |
| Definition |
# of one-time vendors added | |
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Track and report one-time vendors added | |
| Performance Target | ||
| Performance Target |
Process Measure | |
| Metric Type |
KPI | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 17 |
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| KPI02: Inactive Vendor List | ||
| Objective |
Report the total number of inactive vendors in the system | |
| Definition |
Report the number of inactive vendors in the system | |
| Method | ||
| Data Capture |
SAP & Base))) | |
| Measurement Interval |
Quarterly | |
| Method of Calculation |
# of inactive vendors in the system | |
| Performance Target | ||
| Performance Target |
Process Measure | |
| Metric Type |
KPI | |
| SLA03: Average Vendor Set-Up Cycle Time | ||
| Objective |
Measure the average cycle time for vendor set-up | |
| Definition |
Average time to create a vendor from the requisition | |
| Method | ||
| Data Capture |
BASE))), SAP | |
| Measurement Interval |
Monthly | |
| Method of Calculation |
Average length of time from receipt of request to vendor creation – based on time stamped requisition and creation | |
| Performance Target | ||
| Performance Target |
Process Measure | |
| Metric Type |
Critical Service Level | |
| LS&Co. – Attachment 3.2 – Service Level Definitions – Finance Services | Page 18 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.3.1
SERVICE LEVEL DEFINITIONS
INFORMATION TECHNOLOGY SERVICES - NETWORK SERVICES
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TABLE OF CONTENTS
| 1. | Introduction |
1 | ||||||
| 1.1 |
General | 1 | ||||||
| 1.2 |
References | 1 | ||||||
| 1.3 |
Definitions | 1 | ||||||
| 2. | Critical Service Levels |
1 | ||||||
| 2.1 |
Resolution Service Level | 1 | ||||||
| 3. | Other Service Levels |
2 | ||||||
| 3.1 |
Response Service Levels | 2 | ||||||
| 3.2 |
Data Center LAN Availability | 2 | ||||||
| 3.3 |
Corporate and Distribution center LAN | 3 | ||||||
| 3.4 |
Corporate and Distribution center WAN Routers | 3 | ||||||
| 3.5 |
Voice Services | 3 | ||||||
| 3.6 |
Problem Ticket Resolution Service Level (Root Cause Analysis Submission) | 3 | ||||||
| LS&Co. – Attachment 3.3.1 – Service Level Definitions – Information Technology Services – Network Services | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 2. | CRITICAL SERVICE LEVELS. |
| 2.1 | Resolution Service Level |
Resolution SLA
| Objective | Resolution Service Level: This Service Level measures the Supplier’s effectiveness in resolving Incidents within the resolution time target as described below |
| Severity levels |
Resolution Time |
Performance Target |
Measurement Interval | |||
| Priority 1 | 4 clock hours | 95% | Monthly | |||
| Priority 2 | 8 clock hours | 95% | Monthly | |||
| Priority 3 | 72 clock hours | 95% (To be baselined) | Monthly | |||
| Priority 4 | 120 clock hours | 95% (To be baselined) | Monthly |
| Methods | ||||
| Data Capture |
ITSM Tool (Service Now) | |||
| Method of Calculation |
This Service Level is calculated as the ratio of particular severity of Incidents that are resolved in time to total number of Incidents of that severity level with the result expressed as a percentage. Start time is when the Incident is assigned to the Supplier and end time is the timestamp when the Incident is resolved and set to resolved status by the Supplier. | |||
| Exclusions | • | Support for any hardware or software that is end of service life will be best efforts only
| ||
| • | All devices, which are not SNMP enabled and cannot be monitored using tools, will be excluded from service levels.
| |||
| • | Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target | |||
| Resolution SLA | ||||
| Low Volume Clause |
• | Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | ||
| LS&Co. – Attachment 3.3.1 – Service Level Definitions – Information Technology Services – Network Services | Page 1 |
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| 3. | OTHER SERVICE LEVELS |
The following Service Level’s represent LS&Co.’s expectation of service delivery process time limits. Specific details of how these will be managed and reported will be determined as part of knowledge acquisition and transition
| 3.1 | Response Service Levels |
Response Service Level
| Objective | Response Service Level: This Service Level measures the supplier’s effectiveness in responding to an incident within the response time target as described below |
| Severity levels |
Accept assignment |
Escalate/ Reassign |
Performance Target |
Measurement Interval | ||||
| Priority 1 | 10 minutes | 30 minutes | 95% | Monthly | ||||
| Priority 2 | 30 Min | 1 clock hour | 95% | Monthly | ||||
| Priority 3 | 4 clock hour | 12 clock hours | 95% | Monthly | ||||
| Priority 4 | 8 clock hours | 30 clock hours | 95% | Monthly |
| Methods | ||||
| Data Capture |
ITSM Tool (Service Now) | |||
| • | Support for any hardware or software that is end of service life will be best efforts only
| |||
| Exclusions | • | All devices, which are not SNMP enabled and cannot be monitored using tools, will be excluded from service levels.
| ||
| • | Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target | |||
| Low Volume Clause |
• | Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | ||
| 3.2 | Data Center LAN Availability |
| NOC SL01– Service Level Agreement | ||
| Definition | Data Center LAN Availability (To be baselined) | |
| Performance Target | Data Center LAN shall be Available at least 99.9% of Scheduled Uptime for devices in redundant mode. Data Center LAN shall be Available at least 99.7% of Scheduled Uptime for devices without redundancy. | |
| Method | ||
| Data Capture | HP NNMi tool | |
| Measurement Interval | Monthly | |
| Method of Calculation | TBD | |
| Exclusion | Lan Cabling (Excluding patch Cabling) | |
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| 3.3 | Corporate and Distribution center LAN |
| NOC SL02– Service Level Agreement | ||
| Definition | Corporate and Distribution center LAN availability (To be baselined) | |
| Performance Target | LAN shall be Available at least 99.7% of Scheduled Uptime for devices in redundant mode. LAN shall be Available at least 99.5% of Scheduled Uptime for devices without redundancy. | |
| Method | ||
| Data Capture | HP NNMi tool | |
| Measurement Interval | Monthly | |
| Method of Calculation | TBD | |
| Exclusion | All devices, which are not SNMP enabled, will be excluded from service levels. Switch ports on ADSL routers are excluded. Store Wi-Fi is currently excluded | |
3.4 Corporate and Distribution center WAN Routers
| NOC SL03– Service Level Agreement | ||
| Definition | Corporate and Distribution center WAN Routers availability (To be baselined) | |
| Performance Target | WAN shall be Available at least 99.7% of Scheduled Uptime for devices in redundant mode. WAN shall be Available at least 99.5% of Scheduled Uptime for devices without redundancy. | |
| Method | ||
| Data Capture | HP NNMi tool | |
| NOC SL03– Service Level Agreement | ||
| Measurement Interval | Monthly | |
| Method of Calculation | TBD | |
| Exclusion | Telecom service provider Routers | |
| 3.5 Voice Services | ||
| NOC SL04– Service Level Agreement | ||
| Definition | Voice Services availability (To be baselined) | |
| Performance Target | Core Voice infrastructure shall be Available at least 99.7% of Scheduled Uptime for devices in redundant mode. Core Voice infrastructure shall be Available at least 99.2% of Scheduled Uptime for devices without redundancy. | |
| Method | ||
| Data Capture | HP NNMi tool | |
| Measurement Interval | Monthly | |
| Method of Calculation | TBD | |
| Exclusion | Analog lines are excluded from service levels | |
3.6 Problem Ticket Resolution Service Level (Root Cause Analysis Submission)
| Type |
Service Level | |
| Tier 1 systems | 5 business days | |
| Production systems (Non-Tier 1) | 7 business days | |
| Non-Prod systems | 10 business days |
| • | Supplier will provide RCA on problem tickets as necessary |
| LS&Co. – Attachment 3.3.1 – Service Level Definitions – Information Technology Services – Network Services | Page 3 |
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| • | Problem Ticket: Supplier will maintain 90% success rate in obtaining resolution of problem ticket assignments. It is expected that Supplier will provide enough L3 resources to achieve 90% success rate without requiring LS&Co. engineering involvement. Engineering teams will provide up to 10 hours per calendar month to assist as necessary. |
| 1. | The following common tasks would also include Service Levels (these are examples and are not all inclusive, like said tasks/requests would include the same level Service Levels) If the requests requires a change record that must be represented to the CAB, the completion of the request shall not exceed the proceeding weekend: |
| a. | DNS Requests: 3 business days |
| b. | DHCP Requests: 3 business days |
| c. | IP Address Requests: 1 business days |
| d. | LAN Connections: 3 business days |
| e. | Wireless Configuration Requests: 3 business days |
| f. | Acceleration Device Configuration Requests: 3 business days |
| g. | Infoblock Configuration Requests: 3 business days |
| h. | F5 Configuration Requests: 3 business days |
| i. | Switch/Router Configuration Requests: 3 business days |
| j. | Monitoring Configuration Requests: 3 business days |
| k. | Video/Voice Configuration Requests: 3 business days |
| l. | Network device installation Requests: 3 business days |
| 2. | Service Request Ticket: Supplier will maintain 90% success rate in obtaining resolution of service request ticket (RCA submission) assignments. It is expected that Supplier will provide enough L3 resources to achieve 90% success rate without requiring Levi’s engineering involvement. Supplier can tap into the same pool of 10 hours provided by the LS&Co. engineering teams for problem ticket resolution for any assistance as necessary. |
| 3. | All other requests will have a 10 business day Service Level |
| 4. | Supplier will provide RCA on problem tickets as necessary |
| 5. | All documentation will be retained in LS&Co.-owned repository. |
| LS&Co. – Attachment 3.3.1 – Service Level Definitions – Information Technology Services – Network Services | Page 4 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.3.2
SERVICE LEVEL DEFINITIONS – INFORMATION TECHNOLOGY SERVICES
DESKSIDE SUPPORT
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TABLE OF CONTENTS
| 1. | Introduction |
1 | ||||||
| 1.1 |
General | 1 | ||||||
| 1.2 |
References | 1 | ||||||
| 1.3 |
Definitions | 1 | ||||||
| 2. | Critical Service Levels |
1 | ||||||
| 3. | Other Service Levels |
2 | ||||||
| 3.1 |
Response Service Level | 2 | ||||||
| 3.2 |
Corporate Desk Side Support - Resolve Desktop Systems Problems | 2 | ||||||
| 3.3 |
Software IMAC | 3 | ||||||
| 3.4 |
Hardware IMAC | 3 | ||||||
| 3.5 |
Procurement Services | 3 | ||||||
| 3.6 |
Asset Management PC Hardware Accuracy | 3 | ||||||
| 3.7 |
Desktop Patch Level Compliance | 4 | ||||||
| 3.8 |
PC Image Update | 4 | ||||||
| 3.9 |
Retail Deskside Support | 5 | ||||||
| LS&Co. – Attachment 3.3.2 – Service Level Definitions – Information Technology Services – DeskSide Support | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 2. | CRITICAL SERVICE LEVELS. |
Resolution Service Level
| Objective | Response Service Level: This Service Level measures the supplier’s effectiveness in responding to an incident within the response time target as described below
Resolution Service Level: This Service Level measures the Supplier’s effectiveness in resolving Incidents within the resolution time target as described below
This Service Level is applicable for remote support only | |||||
| Severity levels |
Resolution Time |
Performance Target |
Measurement Interval | |||
| Priority 1 | 4 clock hours | 95% | Monthly | |||
| Priority 2 | 8 clock hours | 95% | Monthly | |||
| Priority 3 | 72 clock hours | 95% (To be baselined) | Monthly | |||
| Priority 4 | 120 clock hours | 95% (To be baselined) | Monthly |
| Methods | ||||
| Data Capture | ITSM Tool (Service Now) | |||
| Method of Calculation |
This Service Level is calculated as the ratio of particular severity of Incidents that are resolved in time to total number of Incidents of that severity level with the result expressed as a percentage. Start time is when the Incident is assigned to the Supplier and end time is the timestamp when the Incident is resolved and set to resolved status by the Supplier. | |||
| Exclusions | • | Support for any hardware or software that is end of service life will be best efforts only
| ||
| • | All devices, which are not SNMP enabled and cannot be monitored using tools, will be excluded from service levels.
| |||
| • | Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target
| |||
| Low Volume Clause |
• | Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each | ||
| Resolution Service Level | ||||
| such Service Level, as applicable. | ||||
The following device types will be handled via the exception process
| • | Devices which doesn’t have LS&Co. provided image installed |
| • | Devices which are not accessible using SCCM 2012 |
| LS&Co. – Attachment 3.3.2 – Service Level Definitions – Information Technology Services – DeskSide Support | Page 1 |
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| • | Devices which are not connected to the Levis network |
| 3. | OTHER SERVICE LEVELS. |
The following Service Level’s represent LS&Co.’s expectation of service delivery process time limits. Specific details of how these will be managed and reported will be determined as part of knowledge acquisition and transition
| 3.1 | Response Service Level |
Response Service Level
| Objective | Response Service Level: This Service Level measures the supplier’s effectiveness in responding to an incident within the response time target as described below. This Service level is applicable for remote support only | |||||||
| Severity levels |
Accept assignment |
Escalate/ Reassign |
Performance Target |
Measurement Interval | ||||
| Priority 1 | 10 minutes | 30 minutes | 95% | Monthly | ||||
| Priority 2 | 30 Min | 1 clock hour | 95% | Monthly | ||||
| Priority 3 | 4 clock hour | 12 clock hours | 95% | Monthly | ||||
| Priority 4 | 8 clock hours | 30 clock hours | 95% | Monthly |
| Methods | ||||
| Data Capture | ITSM Tool (Service Now) | |||
| Exclusions | • | Support for any hardware or software that is end of service life will be best efforts only
| ||
| • | All devices, which are not SNMP enabled and cannot be monitored using tools, will be excluded from service levels.
| |||
| • | Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target
| |||
| Low Volume Clause |
• | Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | ||
| 3.2 | Corporate Desk Side Support - Resolve Desktop Systems Problems |
| Corporate Desk Side SL01– Service Level Agreement | ||
| Objective | Corporate Desk Side Support - Resolve Desktop Systems Problem | |
| Corporate Desk Side SL01– Service Level Agreement | ||
| Definition | Issues that require a desk side personal to visit should be resolved within the specified timeframes | |
| Performance Target | Executive support Response: 96% of the incidents and requests to be responded with 1 hr. Resolution: 96% of the incidents to resolved within 1 Business Day Executive support at SFO location will continue to be supported by LS&Co. Priority 3 - 96% resolved within 24 business hours at all LS&Co. service locations Priority 4 - 96% resolved within 40 business hours at all LS&Co. service locations | |
| Method | ||
| Data Capture | ServiceNow tool | |
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| Measurement Interval | Monthly | |
| Method of Calculation | Continuous Hours between “Assigned” or “Reassigned” status, and “Resolved” or “Resolved/Contacted” status. | |
| 3.3 Software IMAC | ||
| Corporate Deskside and Retail Desk Side SL02– Service Level Agreement | ||
| Objective | Software IMAC | |
| Definition | Completion time of Software installation request for 1-9 units | |
| Performance Target | Software Installs Priority 3 & 4—95% within 5 business days | |
| Method | ||
| Data Capture | ServiceNow tool | |
| Measurement Interval | Monthly | |
| Method of Calculation | Time between assignment to second level and completion of service request. Exception: The devices not connected to SCCM will be handled as an exception process | |
| 3.4 Hardware IMAC | ||
| Corporate Deskside and Retail Desk Side SL03– Service Level Agreement | ||
| Objective | Hardware IMAC | |
| Definition | Completion time of Hardware installation request for 1-9 units | |
| Performance Target | Hardware Installs Priority 3 & 4 — 95% within 5 business days | |
| Method | ||
| Data Capture | ServiceNow tool | |
| Measurement Interval | Monthly | |
| Method of Calculation | Time between assignment to second level and completion of service request | |
| 3.5 Procurement Services | ||
| Corporate Deskside and Retail Desk Side SL04– Service Level Agreement | ||
| Objective | Procurement Services | |
| Definition | Procurement coordination with OEM vendor / supplier for raising the order for procurement | |
| Performance Target | 96% of the approved orders to be placed within 3 business days | |
| Method | ||
| Data Capture | ServiceNow | |
| Measurement Interval | Monthly | |
| Method of Calculation | Time between the order is approved by LS&Co. and is entered into the procurement system | |
| 3.6 Asset Management PC Hardware Accuracy | ||
| Corporate and Retail Deskside SL04– Service Level Agreement | ||
| Objective | Asset Management PC Hardware Accuracy | |
| Performance Target | 97% | |
| Method | ||
| Data Capture | ServiceNow | |
| Measurement Interval | Monthly | |
| LS&Co. – Attachment 3.3.2 – Service Level Definitions – Information Technology Services – DeskSide Support | Page 3 |
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| Method of Calculation | The following are the reports as a part of the PC Hardware Accuracy. | |
| • Physical device in use and not assigned | ||
| • In use not discovered more than 6 months | ||
| • On Loan not Assigned | ||
| • Physical device – Location Blank | ||
| • Physical device – Purchased Blank | ||
| The input source of the above reports are from the following | ||
| • SCCM | ||
| • ITAM Database | ||
| For example:
The report deriving the accuracy is from SCCM, it shows assets found in discovery that were not already located in the ITAM database – this for example provides the compliance report | ||
| 3.7 Desktop Patch Level Compliance | ||
| Desktop Patch Level Compliance SL02– Service Level Agreement | ||
| Objective | Desktop Patch Level Compliance | |
| Desktop Patch Level Compliance SL02– Service Level Agreement | ||
| Definition | The level of compliance of Patch updates to End User Devices connected to the Network for N-1 Patch release, where N is the current Patch release. | |
| Performance Target | During transition phase, Supplier will determine the current Patch level and success rate for both Corporate and Retail devices to discuss and agree Service Levels For Low and Medium category Patches—95% patching within 90 days For Critical and High Priority patches – As per the agreed time interval and GIS policy. | |
| Method | ||
| Data Capture | SCCM 2012 | |
| Exception | Devices not connected to the network Devices that cannot be accessed using SCCM 2012 User manual intervention preventing Patch to be deployed | |
| Measurement Interval | Monthly | |
| Method of Calculation | [(Total Number of Devices at N-1 Patch level) / Total Number of Devices)] x 100 | |
| 3.8 PC Image Update | ||
| Image Management – Key Performance Indicator | ||
| Objective | PC Image Update | |
| Definition | The amount of time required to update, test, and Updates into an existing Core Image following discussions with LS&Co. | |
| Performance Target | < 30 days for Applications Updates < 60 days for Operating Systems related updates | |
| Method | ||
| Data Capture | ServiceNow | |
| Measurement Interval | Monthly | |
| LS&Co. – Attachment 3.3.2 – Service Level Definitions – Information Technology Services – DeskSide Support | Page 4 |
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| Method of Calculation | The duration of time between (i) Approval from LS&Co. to incorporate agreed Updates into the Core PC Image, and (ii) a new and fully tested Core PC Image is available for Deployment into the environment. | |
| 3.9 Retail Deskside Support | ||
| Retail Store Services SL01– Service Level Agreement | ||
| Objective | Retail Desk Side Support | |
| Retail Store Services SL01– Service Level Agreement | ||
| Definition | Applies to hardware for which vendor provides Advanced Exchange and Field Dispatch Services: Priority 1 is defined as the entire store cannot transact Priority 2 is defined as the store is able to transact at a degraded level, shipping receiving is impacted , impact to time entry (Manager PC) | |
| Performance Target | Resolve Hardware Problem – Priority 1- 95% within 24 continuous hours at all LS&CO. Service Locations in the scenario wherein a store personnel is available to troubleshoot. The duration for which Supplier will wait for a store personnel will not be counted against the time The time waiting for 3rd party OEM to ship the device will not count against the time Resolve Hardware Problem – Priority 2—95% within 48 continuous hours at all LS&CO. Service Locations in the scenario wherein a store personnel is available to troubleshoot. The duration for which Supplier will wait for a store personnel will not be counted against the time The time waiting for 3rd party to OEM to ship the device will not count against the time Resolve Hardware Problem – Priority 3 - 95% within 24 business hours at all LS&CO. Service Locations. Business hours are defined as Monday – Friday 8 a.m. to 5p.m. local store time. Resolve Hardware Problem – Priority 4 - 95% within 40 business hours at all LS&CO. Service Locations | |
| Method | ||
| Data Capture | ServiceNow tool | |
| Measurement Interval | Monthly | |
| Method of Calculation | Continuous Hours between “Assigned” or “Reassigned” status, and “Resolved” or “Resolved/Contacted” status Supplier to update Service Now with the relevant ticket status during the incident and request life cycle | |
| LS&Co. – Attachment 3.3.2 – Service Level Definitions – Information Technology Services – DeskSide Support | Page 5 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.3.4
SERVICE LEVEL DEFINITIONS – INFORMATION TECHNOLOGY SERVICES
SOC
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TABLE OF CONTENTS
| 1. | Introduction | 1 | ||||
| 1.1 | General | 1 | ||||
| 1.2 | References | 1 | ||||
| 1.3 | Definitions | 1 | ||||
| 2. | Critical Service Levels | 1 | ||||
| 2.1 | Resolution Service Level | 1 | ||||
| 2.2 | Critical Service Availability | 2 | ||||
| 3. | Other Service Levels | 3 | ||||
| 3.1 | Response Service Xxxxx | 0 | ||||
| 3.2 | Service Requests Ticket Resolution Service Level | 3 | ||||
| 3.3 | Problem Ticket Resolution Service Level (Root Cause Analysis Submission) | 4 | ||||
| 3.4 | Individual Server Availability – Critical Services Environment | 4 | ||||
| 3.5 | Aggregated Server Availability | 5 | ||||
| 3.6 | Disaster Recovery Service Level for LSA: | 6 | ||||
| 3.7 | Disaster Recovery Service Level for LSE: | 6 | ||||
| 3.8 | Disaster Recovery Service Level for AMA: | 7 | ||||
| 3.9 | Key Performance Indicators | 7 | ||||
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 2. | CRITICAL SERVICE LEVELS. |
| 2.1 | Resolution Service Level |
Resolution Service Level
| Objective | Resolution Service Level: This Service Level measures the Supplier’s effectiveness in resolving Incidents within the resolution time target as described below |
| Severity levels |
Resolution Time | Performance Target | Measurement Interval | |||
| Priority 1 | 4 clock hours | 95% | Monthly | |||
| Priority 2 | 8 clock hours | 95% | Monthly | |||
| Priority 3 | 72 clock hours | 95% (To be baselined) | Monthly | |||
| Priority 4 | 120 clock hours | 95% (To be baselined) | Monthly |
| Methods | ||
| Data Capture | ITSM Tool (Service Now) | |
| Method of Calculation |
This Service Level is calculated as the ratio Incidents of a particular severity of that are resolved within the resolution time to total number of resolved Incidents of that severity level. Start time is when the Incident is assigned to the Supplier and end time is the timestamp when the Incident is resolved and set to resolved status by the Supplier. | |
| • Support for any hardware or software that is end of service life will be best efforts only | ||
| Exclusions | • All devices, which are not SNMP enabled or cannot be monitored using tools, will be excluded from service levels. | |
| • Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target | ||
| Resolution Service Level | ||
| • OS version which are not supported by VMware would be supported on best effort basis only | ||
| Low Volume Clause |
• Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | |
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 1 |
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| 2.2 | Critical Service Availability |
Service Availability Service Level-Critical Service
| Objective | To measure Service Availability. The Service Availability of Critical Services (SAP, Exchange etc.) Service Level measures the availability of critical Service during Scheduled Uptime within the Measurement Interval. Critical Service shall be up and available to the intended Authorized Users and fully functioning as designed during Scheduled Uptime periods within the Measurement Interval.
This Service Level represents Availability per critical Service. The Critical Services will need to be defined during transition.
“Available for Use” shall mean that the Service—is running so as to enable the proper execution of transactions on those Applications that are scheduled to run on such Server and access to updated current data that is intended to be used in conjunction with such Applications.
“Service Scheduled Uptime” shall mean the number of minutes within the applicable Measurement Interval for the Service. For the avoidance of doubt, Service Scheduled Uptime shall not include any scheduled outages.
“Service Downtime” shall mean the total time per calendar month out of the Scheduled Uptime, as measured in minutes that the Service for which availability is being computed, is not Available for Use due to failover issues |
| Service Category |
Equipment/ Product Server |
Service Hours | Measurement Interval |
Performance Target |
||||||||||
| Service Availability |
Service Availability for Critical Service Critical Service availability | 24x7x365 | Monthly | 99.94 | % | |||||||||
| Method | ||
| Data Capture |
Systems Management Tool and/or ITSM tool & Monitoring System with inter-linkage to ITSM tool suite | |
| Expected Service Level Performance |
On a 24x7 basis service uptime / availability | |
| Hours of measurement |
Measurement shall take place during the approved Scheduled Uptime for critical service environments during the Measurement Interval. | |
| Service Availability Service Level-Critical Service | ||
| Method of Calculation |
The “Service Availability of Critical Service” shall be calculated as Service Scheduled Uptime minus service Downtime, divided by service Scheduled Uptime with the result expressed as a percentage. | |
| • Schedule downtime would be excluded from the uptime commitment Service Level | ||
| • Server outages due to the factored beyond the control of the provider would be excluded (Such as Hardware Failure, Bug-Fixes, natural disaster, Facilities etc.) | ||
| • The application is architected for high availability & resiliency | ||
| Exclusions | • There is redundancy built in all layers of underlying infrastructure. The servers should be available either in cluster mode or highly available through VMWare | |
| • Any downtime due to third parties outside of Supplier scope like facilities | ||
| • The Service Level would be applicable only for the failover Services | ||
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 2 |
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| 3. | OTHER SERVICE LEVELS |
The following Service Level’s represent LS&Co.’s expectation of service delivery process time limits. Specific details of how these will be managed and reported will be determined as part of knowledge acquisition and transition
| 3.1 | Response Service Level |
Response Service Level
| Objective | Response Service Level: This Service Level measures the supplier’s effectiveness in responding to an incident within the response time target as described below |
| Severity levels |
Accept assignment |
Escalate/ Reassign |
Performance Target |
Measurement Interval | ||||
| Priority 1 |
10 minutes | 30 minutes | 95% | Monthly | ||||
| Priority 2 |
30 Min | 1 clock hour | 95% | Monthly | ||||
| Priority 3 |
4 clock hour | 12 clock hours | 95% | Monthly | ||||
| Priority 4 |
8 clock hours | 30 clock hours | 95% | Monthly |
| Methods | ||
| Data Capture | ITSM Tool (Service Now) | |
| • Support for any hardware or software that is end of service life will be best efforts only | ||
| • All devices, which are not SNMP enabled or cannot be monitored using tools, will be excluded from service levels. | ||
| Exclusions | • Time taken by Customer or Third-Party Vendors in resolving an Incident before it is assigned to the Supplier would be excluded from Supplier’s resolution goal target | |
| • OS version which are not supported by VMware would be supported on best effort basis only | ||
| Low Volume Clause |
• Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the | |
Response Service Level
number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable.
| 3.2 | Service Requests Ticket Resolution Service Level |
| Type |
Service Level |
|||
| Hardware rack/install | 3 business days | |||
| OS Install | 1 business day for virtual 5 business days for physical (VMware) |
|||
| Server Readiness activities (Go-live) | 5 business days | |||
| Server Decommission activities | 5 business days | |||
| Storage Space | 1 business day (virtual), 2 business days (physical) |
|||
| Data Restores | 30 minutes to initiate (Sev1, 2), 1 business day for all other (*all restores must be monitored until completion. Failures must be escalated) | |||
| Monitoring | 1 business day | |||
| Backups | 2 business days | |||
| VLAN/vSwitch | 1 business day – (VMware & HP VC) |
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 3 |
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| Type |
Service Level |
|||
| VM Resource Modifications (CPU/RAM) | 3 business days | |||
| Security Audit/Inspection | 5 business days |
| • | All other requests will have a 10 business day Service Level. |
| • | Service Request Ticket: Supplier will maintain 90% success rate in obtaining resolution of service request ticket assignments. |
| 3.3 | Problem Ticket Resolution Service Level (Root Cause Analysis Submission) |
| Type |
Service Level |
|||
| Tier 1 systems | 5 business days | |||
| Production systems (Non-Tier 1) | 7 business days | |||
| Non-Prod systems | 10 business days |
| • | Note: Supplier will provide RCA on problem tickets as necessary |
| • | Problem Ticket: Supplier will maintain 90% success rate in obtaining resolution of problem ticket |
(RCA submission) assignments. It is expected that Supplier will provide enough L3 resources to achieve 90% success rate without requiring Levi’s engineering involvement. Engineering teams will provide up to 10 hours per calendar month to assist as necessary.
| 3.4 | Individual Server Availability – Critical Services Environment |
Individual Server Availability – (Critical Services Environment)
| Objective | To measure Server Availability. The Individual Server Availability of Critical Service environment Service Level measures the availability of individual Server during Scheduled Uptime within the Measurement Interval. Server shall be up and available to the intended Authorized Users and fully functioning as designed during Scheduled Uptime periods within the Measurement Interval.
This Service Level represents Availability per Server of critical Service environment
“Available for Use” shall mean that the Server—including the processor and associated storage devices, cabling, peripherals and other equipment—is running properly so as to enable the proper execution of transactions on those Applications that are scheduled to run on such Server and access to updated current data that is intended to be used in conjunction with such Applications.
“System Scheduled Uptime” shall mean the number of minutes for a server within the applicable Measurement Interval for the System. For the avoidance of doubt, System Scheduled Uptime shall not include any scheduled outages.
“System Downtime” shall mean the total time per calendar month out of the System Scheduled Uptime, as measured in minutes that the System for which availability is being computed, is not Available for Use |
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 4 |
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| Service Category |
Equipment/ Product Server |
Service Hours |
Measurement Interval |
Performance Target | ||||
| Individual Server Availability – Critical Services Environment | ||||||||
| Wintel Servers | 24x7x365 | Monthly | 99% | |||||
| Individual Server Availability | Unix Servers | 24x7x365 | Monthly | 99% | ||||
| Linux Servers | 24x7x365 | Monthly | 99% | |||||
Method
| Data Capture
Measurement Interval |
Systems Management Tool and/or ITSM tool & Monitoring System with inter-linkage to ITSM tool suite
Monthly | |
| Expected Service Level Performance | On a 24x7 basis server uptime / availability | |
| Hours of measurement | Measurement shall take place during the approved Scheduled Uptime for a Server environment during the Measurement Interval. | |
| Individual Server Availability – (Critical Services Environment) | ||
| Method of Calculation | The “Individual Server Availability Service Level of Critical Service environment” shall be calculated, for Server, as System Scheduled Uptime minus System Downtime, divided by System Scheduled Uptime with the result expressed as a percentage. | |
| Exclusions | • Server outages due to the factored beyond the control of the provider would be excluded (Such as Hardware Failure, Bug-Fixes, natural disaster, Facilities etc.)
• Schedule downtime would be excluded from the uptime commitment Service Level | |
| 3.5 | Aggregated Server Availability |
| Aggregated Server Availability – (Quality Assurance, Test & Development Servers) | ||
| Objective | To measure Service Availability. The Aggregated Server Availability of Quality Assurance, Test & Development Servers Service Level measures the availability of Quality Assurance, Test & Development Servers during Scheduled Uptime within the Measurement Interval. Quality Assurance, Test & Development Servers shall be up and available to the intended Authorized Users and fully functioning as designed during Scheduled Uptime periods within the Measurement Interval.
This Service Level represents an average Availability across all Quality Assurance, Test & development Servers.
“Available for Use” shall mean that the Server—including the processor and associated storage devices, cabling, peripherals and other equipment—is running properly so as to enable the proper execution of transactions on those Applications that are scheduled to run on such Server and access to updated current data that is intended to be used in conjunction with such Applications.
“System Scheduled Uptime” shall mean the number of minutes within the applicable Measurement Interval for the System. For the avoidance of doubt, System Scheduled Uptime shall not include any scheduled outages.
“System Downtime” shall mean the total time per calendar month out of the System Scheduled Uptime, as measured in minutes that the System for which availability is being computed, is not Available for Use | |
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 5 |
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| Service Category |
Equipment/ Product Server |
Service Hours |
Measurement Interval |
Performance target | ||||
| Aggregate Server Availability for Quality Assurance, Test & development Servers | ||||||||
| Aggregate Server | Wintel Servers | 24x7x365 | Monthly | 99.9% | ||||
| Availability | Unix Servers | 24x7x365 | Monthly | 99.9% | ||||
| Linux Servers | 24x7x365 | Monthly | 99.9% | |||||
Method
| Data Capture | Systems Management Tool and/or ITSM tool & Monitoring System with inter-linkage to ITSM tool suite | |
| Expected | On a 24x7 basis server uptime / availability | |
Aggregated Server Availability – (Quality Assurance, Test & Development Servers)
| Service Level Performance | ||
| Hours of measurement | Measurement shall take place during the approved Scheduled Uptime for all Servers environments during the Measurement Interval. | |
| Method of Calculation | The “Aggregate Server Availability of Quality Assurance, Test& Development Servers Service Level” shall be calculated, across all Quality Assurance Servers and Test & Development Servers, as System Scheduled Uptime minus System Downtime, divided by System Scheduled Uptime with the result expressed as a percentage. | |
| Exclusions | • Server outages due to the factored beyond the control of the provider would be excluded (Such as Hardware Failure, Bug-Fixes, natural disaster, Facilities etc.)
• Schedule downtime would be excluded from the uptime commitment Service Level | |
| 3.6 | Disaster Recovery Service Level for LSA: |
As new applications are brought into DR for LSA and LSE, they need to be architected for below RTO/RPO and need to be baselined.
| Service Level Objective – RTO/RPO for LSA | ||
| Objective | ||
| Performance Target | RPO – 1 Hr. RTO – 6 Hr. DR Drills – Half Yearly –(full blown DR exercises) | |
| Method | ||
| Data Capture | To be Decided | |
| Measurement Interval | Half Yearly | |
| Method of Calculation | To be Decided | |
| Exclusion | • RTO/RPO is agreed for critical applications only.
• RTO/RPO will be met for DR testing as well. | |
| 3.7 | Disaster Recovery Service Level for LSE: |
| • | Below Service Levels which are not met currently, Supplier will baseline the Service Level as per MSA and post that Service Level’s target would be set |
Service Level Objective – RTO/RPO for LSE
Objective
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 6 |
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| Service Level Objective – RTO/RPO for LSE | ||
| Performance Target | RPO – 1 Hr. RTO – 6 Hr. DR Drills – Half Yearly | |
Method
| Data Capture | To be Decided | |
| Measurement Interval | Half Yearly | |
| Method of Calculation | To be Decided | |
| Exclusion | • RTO/RPO is agreed for critical applications only
• RTO/RPO will be met for DR testing as well. | |
| 3.8 | Disaster Recovery Service Level for AMA: |
| • | AMA does not have a DR facility right now hence below Service Level will be applied once DR for AMA is ready |
| Service Level Objective – RTO/RPO for AMA | ||
| Objective | ||
| Performance Target | RPO – 48 Hr. RTO – 24 Hr. DR Drills – Half Yearly |
Method
| Data Capture | To be Decided | |
| Measurement Interval | Half Yearly | |
| Method of Calculation | To be Decided | |
| Exclusion | • RTO/RPO is agreed for critical applications only.
• AMA has below four critical applications (DWH, Just Enough, Manugistics & Raymark)
• RTO/RPO will be met for DR testing as well. | |
3.9 Key Performance Indicators
The following key performance indicators have been agreed upon between the Parties as of the Effective Date.
| Managed Server Provisioning | 95% within 30 Min for Virtual Server (Using VMware templates) 95% within 4 Hr. for Physical Server | |
| Managed Storage Provisioning | 95% within 8 Business Hour | |
|
Backup Success Rate |
Minimum 98.5%, Expected 99.0% | |
Security Patch Deployment Service Level
| Environment |
Low Risk | High Risk | Immediately Critical Risk | |||
| PCI |
30 days | 14 days | 7 days | |||
| DMZ |
30 days | 14 days | 7 days | |||
| SOX |
90 days | 14 days | 7 days | |||
| All others |
90 days | 14 days | 7 days |
| • | Security Patch Compliance: Outstanding patch count shall not exceed 1 patch per total server count. For example, if the number of supported servers = 1,000, Supplier may have up to 1,000 outstanding security patches at any given time. |
| • | All documentation will be retained in LS&Co. owned repository |
| • | LS&Co. reserves the right to interview/screen tech leads in each discipline prior to assignment. It is expected that tech leads will then sign off on remaining/additional resources to ensure they meet expected standards. |
| • | All resources should be proficient in English, both verbal and written. |
| LS&Co. – Attachment 3.3.4 – Service Level Definitions – Information Technology Services – SOC | Page 7 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.3.5
SERVICE LEVEL DEFINITIONS – INFORMATION TECHNOLOGY SERVICES
SERVICE DESK
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TABLE OF CONTENTS
| 1. | Introduction | 1 | ||||||
| 1.1 | General | 1 | ||||||
| 1.2 | References | 1 | ||||||
| 1.3 | Definitions | 1 | ||||||
| 2. | Critical Service Levels | 1 | ||||||
| 2.1 | First Level Resolution | 1 | ||||||
| 2.2 | Average Speed to Answer - Voice | 1 | ||||||
| 2.3 | Call Abandon Rate – Phone Response Time | 2 | ||||||
| 2.4 | Web/E-mail Response Time | 2 | ||||||
| 2.5 | Escalation to Tier 2 or Higher | 2 | ||||||
| LS&Co. – Attachment 3.3.5 – Service Level Definitions – Information Technology Services – Service Desk | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 2. | CRITICAL SERVICE LEVELS. |
| 2.1 | First Level Resolution |
Service Desk SL01– Service Level Agreement
| Objective | First Level Resolution (To be baselined) | |
| Definition | First Level Resolution is a measure of a service desk’s ability to resolve incidents & Service Requests at Level 1, without having to escalate the ticket to Xxxxx 0 , Xxxxx 0 (xxxxxxxx XX professionals in applications, networking, the data center, or elsewhere), Field Support, or Supplier support | |
| Performance Target | a. 0-12 months – 45% of all IT Incidents / Requests reported to Service Desk.
b. Year 2 onwards—65% of all IT Incidents / Requests reported to Service Desk. This will be discussed and mutually agreed
Continuous improvement program shows progress over time. | |
| Method | ||
| Data Capture | ServiceNow | |
| Measurement Interval | Monthly | |
| Method of Calculation | Number of tickets resolved on the first contact / Total Number of contacts received by the service desk | |
| 2.2 | Average Speed to Answer - Voice |
Service Desk SL02– Service Level Agreement
| Objective | Average Speed to Answer – Voice | |
| Definition | The period of time measured from the moment the end user’s last automated menu selection in IVR and is placed in the call queue, to the time an agent answers the phone call, measured in seconds | |
| Performance Target | 90% of calls to be answered in =< 30 seconds | |
| Method | ||
| Data Capture | Service Desk ACD, | |
| Measurement Interval | Monthly | |
| Method of Calculation | Number of calls answered in <30 seconds / total no. of calls received by the service desk during that period – Calls which are abandoned by the user in <=15 seconds | |
| LS&Co. – Attachment 3.3.5 – Service Level Definitions – Information Technology Services – Service Desk | Page 1 |
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| 2.3 | Call Abandon Rate – Phone Response Time |
Service Desk SL03– Service Level Agreement
| Objective | Call Abandon Rate – Phone Response Time | |
| Definition | All inbound calls presented to the queue that have waited for a service desk analyst for equal to or greater than 30 seconds. | |
| Performance Target | <5% of all voice contacts | |
| Method | ||
| Data Capture | Service Desk ACD | |
| Measurement Interval | Monthly | |
| Method of Calculation | Number of abandoned calls (calls that enter the queue and “hang up”) / total no. of calls reached to the service desk | |
| 2.4 | Web/E-mail Response Time |
Service Desk SL04– Service Level Agreement
| Objective | Web/E-mail Response Time | |
| Definition | Average Time to respond: notification to end-user submission received | |
| Performance Target | 90% within 4 hour during business hours of operation | |
| Method | ||
| Data Capture | ServiceNow | |
| Measurement Interval | Monthly | |
| Method of Calculation | Number of Web/E-Mail tickets responded in <4 hours / total no. | |
| Service Desk SL05– Service Level Agreement | ||
| of tickets received by the service desk during that period | ||
| 2.5 | Escalation to Tier 2 or Higher |
Service Desk SL05– Service Level Agreement
| Objective | Escalation to Tier 2 or higher | |
| Definition | Issues / Requests that cannot be resolved by Service Desk needs to be escalated to respective groups | |
| Performance Target | 90% of calls to be escalated in =< 30 minutes | |
| Method | ||
| Data Capture | ServiceNow | |
| Measurement Interval | Monthly | |
| Method of Calculation | Number of tickets that are escalated to respective resolver groups in <30 minutes / total no. of tickets that are escalated by the service desk during that period | |
| LS&Co. – Attachment 3.3.5 – Service Level Definitions – Information Technology Services – Service Desk | Page 2 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.3.6
SERVICE LEVEL DEFINITIONS – INFORMATION TECHNOLOGY SERVICES
SECURITY
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TABLE OF CONTENTS
| 1 | Introduction | 1 | ||||||
| 1.1 | General | 1 | ||||||
| 1.2 | References | 1 | ||||||
| 1.3 | Definitions | 1 | ||||||
| 2. | Critical Service Levels | 1 | ||||||
| 2.1 | Resolution Service Level | 1 | ||||||
| 3. | Other Service Levels | 2 | ||||||
| 3.1 | Response Service Levels | 2 | ||||||
| 3.2 | Additional Service Levels | 2 | ||||||
| LS&Co. – Attachment 3.3.6 – Service Level Definitions – Information Technology Services – Security | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 2. | CRITICAL SERVICE LEVELS. |
| 2.1 | Resolution Service Level |
Resolution Service Level
| Objective | Resolution Service Level: This Service Level measures the Supplier’s effectiveness in resolving Incidents within the resolution time target as described below | |||||
| Severity levels |
Resolution Time |
Performance Target |
Measurement Interval | |||
| Priority 1 | 4 clock hours | 95% | Monthly | |||
| Priority 2 | 8 clock hours | 95% | Monthly | |||
| Priority 3 | 72 clock hours | 95% (To be baselined) | Monthly | |||
| Priority 4 | 120 clock hours | 95% (To be baselined) | Monthly | |||
| Methods | ||||||
| Data Capture | ITSM Tool (Service Now) | |
| Method of Calculation | This Service Level is calculated as the ratio of particular severity of Incidents that are resolved in time to total number of Incidents of that severity level with the result expressed as a percentage. Start time is when the Incident is assigned to the Supplier and end time is the timestamp when the Incident is resolved and set to resolved status by the Supplier. | |
| Low Volume Clause | • Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | |
| LS&Co. – Attachment 3.3.6 – Service Level Definitions – Information Technology Services – Security | Page 1 |
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| 3. | OTHER SERVICE LEVELS |
The following Service Level’s represent LS&Co.’s expectation of service delivery process time limits. Specific details of how these will be managed and reported will be determined as part of knowledge acquisition and transition in accordance with Exhibit 8.
| 3.1 | Response Service Levels |
Response Service Level
| Objective | Response Service Level: This Service Level measures the supplier’s effectiveness in responding to an incident within the response time target as described below | |||||||
| Severity levels |
Accept assignment |
Escalate/ Reassign |
Performance Target |
Measurement Interval | ||||
| Priority 1 |
10 minutes | 30 minutes | 95% | Monthly | ||||
| Priority 2 |
30 Min | 1 clock hour | 95% | Monthly | ||||
| Priority 3 |
4 clock hour | 12 clock hours | 95% | Monthly | ||||
| Priority 4 |
8 clock hours | 30 clock hours | 95% | Monthly | ||||
| Methods | ||||||||
| Data Capture | ITSM Tool (Service Now) | |||||||
| Low Volume Clause | • Low Volume Service Levels: In respect of any Service Level that has low volumes of data points in any given Measurement Interval (i.e., Service Levels where the number of measured data points occurring in a given Measurement Interval is so low that a single failure would result in an Service Level Failure), supplier shall have the right to eliminate one (1) data point from the calculation of compliance with each such Service Level, as applicable. | |||||||
| 3.2 | Additional Service Levels |
Firewalls: Add, remove and modify routing, security policies as per LS&Co.’s business requirement and firewall standard practices. Service Level=5 business days
Web Content Filtering: The Service Level for filter changes is <3 business days.
VPN: Supplier will create and deploy and modify VPN profiles based on user requirements (Service Level=5 business days).
VPN New certificates will be created and delivered within 2 business days.
Applications Security and Software Scanning: Supplier to follow the Service Level defined and agreed for Web application scan reports
| LS&Co. – Attachment 3.3.6 – Service Level Definitions – Information Technology Services – Security | Page 2 |
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MASTER SERVICES AGREEMENT
BY AND BETWEEN
LEVI XXXXXXX & CO.
AND
WIPRO LIMITED
NOVEMBER 7, 2014
EXHIBIT 3
SERVICE LEVEL MANAGEMENT
ATTACHMENT 3.3.7
SERVICE LEVEL DEFINITIONS – INFORMATION TECHNOLOGY SERVICES
APPLICATIONS
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TABLE OF CONTENTS
| 1. | Introduction. | 1 | ||||||
| 1.1 | General | 1 | ||||||
| 1.2 | References | 1 | ||||||
| 1.3 | Definitions | 1 | ||||||
| 2. | Critical Service Levels. | 1 | ||||||
| 2.1 | Incident Management Resolution SLAs (non eCommerce) | 1 | ||||||
| 2.2 | Incident Management Resolution SLAs (eCommerce) | 1 | ||||||
| 3. | Other Service Levels | 2 | ||||||
| 3.1 | Incident Management Response SLAs (non eCommerce) | 2 | ||||||
| 3.2 | Incident Management Escalation/Transfer SLAs (non eCommerce) | 3 | ||||||
| 3.3 | Problem Management RCA SLAs | 3 | ||||||
| 3.4 | Change Management Enhancement SLAs | 3 | ||||||
| 3.5 | eCommerce Incident Management Response SLAs | 4 | ||||||
| 4. | Key Performance Indicators | 5 | ||||||
| LS&Co. – Attachment 3.3.7 – Service Level Definitions – Information Technology Services – Applications | Page i |
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| 1. | INTRODUCTION. |
| 1.1 | General. This Attachment describes each Service Level. For each Service Level this Attachment details the applicable Performance Target, the method for measuring the Service Level and the formula for calculating achievement of the Performance Target. For each Critical Service Level, the Weighting Factor applicable at the Effective Date shall be as set forth in this Attachment. |
| 1.2 | References. References to an Attachment, Appendix, Section or Article shall be to such Attachment or Appendix to, or Section or Article of, this Exhibit unless otherwise provided. A reference to this Exhibit includes a reference to the Attachments and Appendices attached hereto. |
| 1.3 | Definitions. As used in this Exhibit, capitalized terms shall have the meanings set forth in Exhibit 1. Other terms used in this Exhibit are defined where they are used and have the meanings there indicated. |
| 2. | CRITICAL SERVICE LEVELS. |
| 2.1 | Incident Management Resolution Service Levels (non eCommerce) |
| Service Level Measure |
Resolution Time |
Performance Goal |
Performance Target |
Measurement | ||||
| Priority 1 |
4 clock hours | 100% | 99% (To be |
