Section 5 - Terms of Reference of reference - gsm… · monitoring and controlling mineral related...

Section 5 - Terms of Reference

1

Section 5 - Terms of Reference Design, Development and Implementation of Organisational

Process Automation Platform and Associated Systems

for

Geological Survey and Mines Bureau

5.1 Background

5.1.1 Geological Survey and Mines Bureau Geological Survey and Mines Bureau (GSMB) is a successor to the Geological Survey Department, established under the Mines and Minerals Act No 33 of 1992. The mission of the GSMB is to provide Geo-Scientific information, advice and services to the policy makers and the community and to promote and manage the mineral resources of the country for economic development while ensuring environmental sustainability. It regulates exploration, extraction, value addition, transportation and trading of minerals.

GSMB mainly consist of two divisions (Geology and Mining) and several support divisions (Finance, administration, Internal Audit) that serve to the two core divisions. The high-level organizational functional structure is illustrated in Figure 1: GSMB Current Operational Structure;

5.1.1.1 Mines Division Mines division is operational under Mining (Licensing) Regulations Act No. 01 of 1993 made under the Mining and Minerals Act No. 33 of 1992 and the amended Act No. 66 of 2009. The main tasks of the division are;

• Issue License for exploration, mining, transportation, trading and exporting of Minerals • Conduct ongoing monitoring on the licenses that have been issued • Information exchange and continuous communication with law enforcement organisations in

monitoring and controlling mineral related activities in Sri Lanka.

Mines Divisions consist of a Registrar (Mining Titling), Assistant Registrars (Mining Titling), Mining Engineers, and Administrative Assistants. All the regional offices of GSMB and branch offices based on Divisional Secretariats Offices are directly under the Mines Division.

5.1.1.2 Geology Division GSMB Geology division is the national authority on any Geology related activities and Geological research, and acts as the central hub of knowledge on any geological information in Sri Lanka. It consists of several sub divisions as listed bellow, providing variety of services to individuals, organisations, public and government.

• Analytical Laboratory

Provide chemical analysis of rocks, minerals, ores, ground water, surface water, industrial effluents and other miscellaneous minerals using international standards.

• Petrology Laboratory

Provides mineralogical and petrographic analysis of rocks, minerals, ores and allied materials.


2

• Geophysical Laboratory

Provide services on analysing the geophysical characteristics of the mineral components. This section is equipped with instruments that would be used in their analysis and would conduct major part of their analysis in the field.

• Seismic Data Analysis and Tsunami Alert Center

The main objective of this unit is monitoring of seismic activities coming from local and international seismic centers and provides information and warning on probable Tsunami occurrences.

• Cartography Cartography is the unit which is responsible for development of geographical maps of Sri Lanka. A cross divisional team of professionals is involved in ongoing national plan to produce the geological maps with involvement of external experts that contribute their knowledge in verification of information on maps.

• Drilling GSMB supplies the specialized service on drilling for mineral exploration, mining, engineering activities related to geology etc. this division is also a consumer of specialized equipments and services involves many field investigations.

• Library GSMB library contain valuable collection of literature that is specialised in Geology. GSMB staff can borrow the books and general public can refer the books with permission from DG. Addition to managing the books and publication, library manages the selling of GSMB merchandise such as maps and research publications.

• IT Unit Currently the IT division is under the Geology division where they report to Deputy Director Geology. Their main responsibility is to maintain the IT systems, software, hardware that is operational in GSMB.

Geology division consists of a mixture of scientific and engineering staff of geologists, chemists, geophysicist, surveyors, etc. with a set of administrative staff assisting their tasks.

5.1.1.3 Finance Division Finance division manages financial side of the GSMB operations. It operates under the General Manger and consists of managers, accountants, cashiers and administrative staff. The scope of the Finance division pans across the organisation in handling all incoming and outgoing monitory transactions.

5.1.1.4 Legal Division This division handles the legal matters related to GSMB. It’s a autonomous unit reporting to Director General and is handled by a legal office with the assistant of two legal clerks.

5.1.1.5 Internal Audit Internal Audit division plan and carry out Audit process for GSMB to comply with the government regulations and assist government auditors with their tasks. They report to the Board of management periodically.

5.1.1.6 Administration Division Administration Division is responsible for managing the operational aspects of GSMB. Currently it is operating under an Administrative Officer who is reporting to General Manager. It is responsible for management of human resource, procurement, transport, etc.

5.1.1.7 Mineral Investigation Unit This is a team made out of members of both Geology and Mines Divisions. It is responsible for making recommendations to the Director General on nationally important issues that concerns both Geology and Mining fields of Sri Lanka.


3

Finance

Geology

Mining

Mineral Investigation

Unit

Customers

Library

Administration

Legal Regional Offices

Stores

GSMB

REFUNDS

RECE

IVA

BLES

LICENSE

SALE

OF

MA

PS

PRO

JECT

S / S

AM

PLE

TEST

ING

EQUIPMENT

FIELD R / CHECK ROLL / TRANSPORT

CONTRACTS / SAMPLE TESTING

PAYMENTS

HR

INFO

/ PA

YMEN

TS

LICENSE LITIGATIONSIN

SPEC

TIO

NS

/ LO

GIS

TICS

HR / SUPPLIES

LICENSE APPLICATION DOCUMENTS

Internal Audit

REFU

ND

S

Figure 1: GSMB Current Operational Structure


4

5.1.2 Current Situation in Operations GSMB operations has been modified, altered and added on for many years as for the requirements of the Government, customers, law enforcement authorities and public. These changes has been added to GSMB in an ad hoc manner and resulted in unstructured growth throughout the organization.

Currently there are several isolated systems that are running that assist finance, payroll, mining license issuing, human resource management and library management.

Structure of operations in GSMB has been disrupted due to these reasons. The process and service levels are not consistent and heavily dependent on the GSMB personnel that is delivering the service to the client in Mines Division. In Geology Division there is an issue in managing both human and physical resources. Support service division such as finance, administration faces problems due to lack of communication and information in carrying out their operations.

Under these circumstances, GSMB has undertaken to carry out a Government Process Reengineering (GPR) project. The project under discussion to Design, Development and Implementation of Organisational Process Automation Platform and Associated Systems, is based on those GPR recommendations.

5.1.3 Government Process Reengineering Project Government Process Reengineering (GPR) study is conducted to identify improvement opportunities available prior to automation of their processes.

This mainly includes improving the efficiency of issuing licenses for the regulation of mining, transporting, export and exploration of minerals. GSMB also intends to maintain the national geo-science database and ensure proper dissemination of information to the public.

GPR study has focused on a diagnostic study on the current processes, IT structure and regulatory structure in order to identify where the efficiency can be improved at GSMB. The detailed analysis of the organisation identified lack of standardisation and process inefficiency as the main issues. Unavailability of a central information repository has caused a lot of difficulties in the sharing of information across the organisation which ultimately result in a vast amount of paper work and physical file movements. Isolated IT solutions that are currently available serves the relevant department, but these systems are not integrated properly for information dissemination.

Based on the above diagnostic, recommendations are made and are to be implemented within this project.

5.1.4 Stakeholders of the Project GSMB Staff The proposed project would automate and standardise the processes that

would assist the GSMB in delivering a more effective and efficient service to its internal and / or external customers.

GSMB Management Would give access to higher quality information on GSMB activities. GSMB Customers GSMB will be able to deliver better service to through the implementation of

proposed recommendations. Service delivery is expected to be efficient, consistent and of high quality.

Law Enforcement Organisation

Law enforcement organizations such as police would get accurate and fast information for them to carry out their monitoring activities and to prevent illegal mineral related activities.

Public General public would have more access to the services supplied by GSMB and better information regarding Geological data in Sri Lanka.

Government Would be able to have better information and monitoring system enforced in dealing with mineral extraction and trading activities in Sri Lanka.

Related Organisations

There are several organizations with which GSMB is exchanging information and sharing operational activities. Through the proposed system, there


5

collaboration would have an enhanced value. Information access will be streamlined and would be made to flow in both directions efficiently.


6

5.2 Objectives of the Project The main vision of this project is to standardize and increase efficiency of GSMB processes and deliver an efficient public service. This vision is further segregated as specified bellow in Figure 2: Project Objectives;

Each objective is then segregates to the task levels that need to be achieved through this project implementation.

Standardisation of processes

Improve efficiency

Improve public service delivery

How can GSMB Standardise and Increase the efficiency of its processes and Deliver an efficient public service

Figure 2: Project Objectives


7

5.2.1 Standardisation of Processes As specified GSMB growth has been ad hoc and process has grown unstructured. Within this objective all the processes are standardised and risk management policies and procedures are place. Figure 3: Breakdown of Standardisation of Processes Objective indicates the tasks and action to be taken to achieve this objective.

Standardisation of processes

Establish RM Policies

Establish work practices

Risk Management (Practices & Policies)

Introduce Information Security Policies

Streamlining regulatory framework

Reduce Paperwork

Amend regulations

Redefine Authorization and approvals levels

Online forms

Online payments

Automate approvals

Digital signature

Figure 3: Breakdown of Standardisation of Processes Objective


8

5.2.2 Improve Efficiency This is the objective with which the consultant has greatest involvement in. Automation and related process improvements are addressed mainly within this objective. Consultants are expected to manage the technology development as well as process implementation to achieve this objective.

Improve efficiency

Physical structure of the organisation

Transparency (internal)

Process advancements

HR advancements

Technological advancements

Digitizing (internal/ external)

Technology integration

Automation

Integration of existing systems

Intranet

Proper integration between departments

Proper integration between branches

Reporting hierarchy

Changing staff mindset

Communication

Motivation

Emailing system

Awareness - training/ workshops

Performance based rewards

Better monitoring

Restructure

Eliminate

Streamlining existing processes

Eliminate irrelevant processes

Eliminate redundant processes

Eliminate duplication of processes

Availability of information

Reporting policies

Process auditing

Define KPIs

Accessibility of information (internal)

Figure 4: Breakdown of Improve Efficiency Objective


9

5.2.3 Improve Public Service Delivery GSMB staff constantly supplies services to the public in various capacities. It is vital that this project enhance the quality of service supplied as its ultimate goal. To achieve that tasks are stated as in Figure 5: Breakdown of Improve Public Service Delivery Objective.

Improve public service delivery

Simplification

Customer relationship mgt

Transparency (external)

Increase awareness

Accessibility of information (external)

Mass media (adverts/ publications)

Social media

Regular notifications

Help desk

Updated web site

Improved complaint management system

Single point of contact

Simple forms

Figure 5: Breakdown of Improve Public Service Delivery Objective


10

5.3 Scope of the Project

5.3.1 Proposed Structure for the organization For the purpose of the process improvement GSMB activities are mainly divided into two categories, which are further subdivided. They interact with one another in providing service to its customers. The following diagram illustrates the high-level segregation and interaction at GSMB.

Figure 6: Organisational Structure to be

Each process under core and non core business activities will be heavily dependent on the services supplied by the supporting services of GSMB. The work and information will flow both ways from and to business services and supporting services units.

Library is categorised as non-core Business activity due to its function of selling of the GSMB materials to the public and corporate who request for them. These customers are not frequent and generate an income to the organisation.

Within this structure number of information system and process implementation are to be taken place in migrating to the as is to the proposed status of the organisation.


11

5.3.2 Assignment 1: Mining License Issuance System The Mines Division is the major revenue generator for GSMB. The main task of the Mines Division is to issue license to explore, extract, transport and trade minerals within the geographical boundaries of Sri Lanka. The aim is to regulate the mining industry in Sri Lanka and minimise the environmental damage caused by mineral extraction.

The five types of licenses issued via GSMB;

1. Exploration License 2. Mining License 3. Trading License 4. Transport License 5. Export License

Process illustrates the high level process flow of the proposed license issuance process. This will be the standard process through which a license or any other query sent to GSMB would travel. There will be exceptions and diversions of process flows according to the requirements of different types of queries.

The main point of this process design is to minimise the customer point of contact. In the proposed process all customer queries are handled at customer facing counter. All the counter personnel need to be conversant in handling all types of queries received at the counter, who would be backed by the automated system for all the queries and requirements that would come from the customers. This can be facilitated by constant job rotation. The Information System outlined in the Technology section would assist them to provide better and faster service to customers.


12

Figure 7: License Issuance Process


13

Basic Features of the system to be are;

Function Sub function • Function Description

License Processing Application • Scan the queue ticket (bar coded) and retrieve the applicant’s details from database and display. This will be for applicants who exist in the system.

• For new applicants, when the queue ticket is scanned the application detail entry screen will be prompted for entry, but the NIC will already be populated.

• The application bar code shall be captured to the system to link with the application data and the scanned documents.

• User (counter staff) will mark/ check the documents which are received at the counter during application submission.

• Different checklists should be available for different license types. Document check list • Set up document checklists in the system for different license types ( which will be prompted to user during

application submission) • These check list must have the ability to be edited by system administrators to reflect new document

requirement that would occur in the future. Receive cash and

print receipt • Calculate fees and accept cash and print receipt from the system. • End of day reports will be available to print, collection by each terminal, for different license types and by

user. Letters • A set of document templates will be available to be filled and printed. Retrieve application

data • Display the appropriate application data when the application reference is entered.

Bar codes and security stickers

• Scan and read bar codes and security stickers and link with applications and licenses.

License book issue • Capture the license book serial number and link it to the customer. • By scanning the serial number of the license booklet, the system will display all details of a license holder and

drill down information that shows all the licenses the license holder has, the current status of the licenses and the transport stickers provided the licenses and its details.

License printing • Display the list of applications which need to be checked and license printed.

• Print license details (e.g. Validity period etc) on a printable security sticker which will be pasted on the license book.

• Option to print copies of licenses whenever necessary. Amend license application

• Amend license application details in the system before it is finalized by RMT and ARMTs. • Cancel a license application by a higher officer with a reason


14


• Hold a license application by a higher officer in the system and no further processing will be allowed until it is released by a higher officer in the system.

Deactivate License • Submit a request at the counter to deactivate a mine in the system. • Deactivate request will be approved by multiple officers (who are assigned in the system). • Refund amount will be calculated by the system. • After the final approval the system will trigger the Finance system to generate a payment voucher in order to

print cheque. • The System will have the facility to black list a mining license owner and not allow any new license or

renewals to be processed. Royalty Calculation

• The System will calculate royalty. • Calculate royalty penalties for unexcavated minerals for which a mining license is obtained. • Calculate Royalty for different periods and for different royalty types. • Facility to block the renewal of a mining license if there is outstanding royalty.

Inspection Reports

• Provide a template for Mining engineer to enter the following: • License conditions ( to be printed in the license) • Set of standard conditions – pre printed on the book it self • Set of special conditions – a list of special conditions would be available to mining enginner that he could

choose and include in the specific license. • License specific conditions – if the relevant condition is not available in the system, the mining engineer

would have the ability to enter it manually. These will be added to the above set for the future use. • Special documentations ( to be submitted by applicant) • GPS co ordinates, mine location ( to update the Centralized GPS database)

Special conditions • Special conditions pertaining to mining licenses shall be parameterized. Mining engineers shall pick the special conditions from the list when they enter the inspection report.

Integrations • When an export license is applied and obtained, export details will be uploaded to the ASYCUDA system at the Customs, and CUSDEC shall incorporate the export license number.

Alerts • Alerts triggered when documents are scanned and linked to an application (documents which are required to be submitted by the applicant at a later date), these alerts will be triggered to the users who are defined.

• SMS notifications and emails will be sent to applicants when their application is processed, and request to make payments.

• SMS alerts and e-mails will be sent to the applicants when an application is to be deactivated. This will take place before deactivation.

• SMS and email notifications will be sent to mining engineers with reminders of the inspection dates and locations.


15


• Reminders to customers on royalty payments and renewal of licenses.

Letter Generator • There would be letter templates that would accommodate all types of alerts in posted letter format that could be printed and posted to the customer as well.

• A letter template specified for a certain type of alert can be reused in the system to generate letters whenever that type of letter is to be sent to the customers. Customer specific information have to be defined and the print out would be posted.

• The generated letter will be stored as a document attached to the specific license or customer. Work flow • Define the work flow and multiple approval levels for all license types.

• For exploration license, a work flow shall be defined where when a application is submitted, it shall be forwarded to DG to determine if the license location will be published for other parties or not. If the exploration location is not to be published, the normal license process shall continue.

• If the exploration location is to be published, license processing shall not be allowed until the exploration license location is awarded to a customer. Once awarded to a customer the normal license issuance process shall continue.

Reports and Views • Display the lists of applications for which licenses are prepared / printed for which final approval is needed by RMT.

• Generate reports for an application (e.g. Exploration license) where an application is submitted, but no further action has taken place.

• Non functional exploration license applications will be notified to defined users at different intervals. • Non functional exploration license applications will be prompted for GSMB officers to deactivate if a defined

period has elapsed. • Facility to view license details by customer code, NIC number, license number or the sticker number.

License books for transport

• Capture information of Transporters and the serial number of transport booklets issued to them. • The System shall have the facility to black list a Transporter, therefore transport booklets shall not be allowed

to be issued. • By scanning the code of the license book, the system will display all the information of a transporter.

Sticker information

• Capture the serial numbers of stickers issued to Mining owners and other offices. • Facility to track a particular sticker, where and when it is issued and details of the mine owner the sticker is

issued to. Transport sticker • When transport stickers are issued, the cube quantity (of the sticker) will be captured in the system and auto

calculated to check the cube limitation. Message will be prompted if the specified limitation exceeds. Assign a sticker number to a

• Based on the sticker number which is sent to GSMB via SMS by a transporter or mine owner, the system shall return a confirmation code (after ten minutes) which will consist of the date, time, mining owner’s customer


16


Transporter code and a randomly generated serial number. • Once a sticker number confirmation code is sent by GSMB, the sticker number shall be recorded as invalid /

Used in the system along with the date and time and other information which was sent via the SMS by the user.

• If a user sends the same sticker number more than once, GSMB officers will be notified via alerts and notifications.

• Transporters are expected to adhere to the conditions imposed relevant traffic authorities in respective areas (e.g. maximum load on certain roads)

Notifications • To receive and generate alerts (e-mail and SMS) automatically during the life cycle of licensing and transportation of minerals.

Authentication of users

• Authenticate the system users by the use of finger print scanning.

Table 1: License Issuance System Requirements


17

5.3.3 Assignment 2: Project Management System Every activity that is undertaken as a project by GSMB will be handled via PMS may it be Geology, Laboratory, Mines or any other. The process is illustrated below;

Figure 8: Project Management Process

Depending on the type of project undertaken, PMS would give functionalities to manage the system. This will be directly linked with the finance module to get estimates, actual and variance reports.

This would allow the GSMB to allocate costs, revenues and profit/loss to where it is due.

The Geology Division activities will have a better tracking ability and transparency in management and resource allocations.

Annual Corporate Planning process will be fully automated through the Project Management System as well. It will appear as a specific project of the PMS created by DG with access to authorised staff. At the initiation every one with access will be sent a notification to manage their assigned tasks. A GSMB staff member would insert his proposal and make and estimate as a subproject of that. After the deadline, section heads and DG would short list and send this to the Board of Management for approval of the next year action plan.


18

5.3.4 Assignment 3: Queue Management System Every customer that arrives to get any type of service from the Mines Division of GSMB would be issued a queue ticket. The ticket will be issued at a ticketing counter situated at the entrance to the Mines Division. This ticket will be used throughout the process to call applicants to relevant counters.

At the queue ticket issuing counter, there would be two types of tickets,

Ticket Type Purpose Normal Queue Ticket • License Application submission

• Renewal Application submission Payment Queue Ticket • Royalty payments only

• Periodic inspection payments only • Application fee payment (second payment in license issuing

process) • Any other payment types that do not involved document checking • EoI Purchases for Exploration License

Table 2: Queue Ticket Types

The payment queue ticket holder would be directed to the “Express Counter”, while normal ticket holders would be directed to the other counters randomly on a first come first served basis. Normal Tickets would also be directed to “Express Counter”, in the absence of Payments Queue Tickets.

At the counter, depending on the type of activity performed the queue ticket would be linked with an application number. User criteria are illustrated in Figure 7: License Issuance Process.


19


20

Figure 9: Queue Ticket Process

Queue Management System requirements are;

Function Sub function Function Description

Queue Management

Queue ticket print

• A Queue ticket with a bar code shall be printed. • For a new customer, the license applicant (owner’s) NIC

number will be used to generate the queue ticket. • For an existing customer, the customer code (bar code in the

license book) shall be scanned or entered and a queue ticket will be printed with the name of the applicant.

License Issuance • The license bar code (which is pasted on the license book) shall be used by the system to call the applicant by the queue ticket number to issue the license.

Table 3: Queue Management System

5.3.5 Assignment 4: GIS Database GIS database is a web based system that capture data from Mining and Project Management Systems. This will give accurate and geo specific data to the authorized users. The recommendation is to use ArcGIS (http://www.arcgis.com) and its web API’s to develop, capture, store and distribute geo specific data that is used in GSMB. Consultants have the choice to suggest any other appropriate and cost effective solution for this requirement.

High-level structure of the GIS solution is as specified;

GIS Database

Inspection Report

Mining System

Projects

Project Management System

Laboratory

Figure 10: Centralised GIS Database

Function Sub function Function Description GIS Database GIS database with co-ordinates will be updated via the Project

Management System (projects and laboratory) and License Issuance System (inspection report). • Show the mineral occurrences in different locations. • Show survey results with capacity information. • Show different type of licenses given to a particular

location. • Total number of licenses (mines) given to a particular

location and their activities. • Number of active licenses of a particular location • Number of projects taking place at a particular location • Link to Mining information and Project information • Capture information regarding drill holes in a separate

layer in locations. Table 4: Features of GIS Database

http://www.arcgis.com/

5.3.6 Assignment 5: e-Record Room e-Record Room is where all the digital records are stored. There is a large amount of documents and digital contents coming from all integrates system. This system would act as the hub for all those. The storing and retrieval of records from this system should be seamless to the users of other systems.

eRecord Room

License Mgmt

Mining System

Documents

Projects Laboratory


WEB

HR Documents

Human Resource ManagementSystem

Figure 11: eRecord Room

Function Sub function Function Description eRecord Room (For Client work)

• Store scanned documents linked to an application license or Project (e.g. Deeds, Affidavits, letters etc).

• Based on an application or license GSMB will be able to generate letters in the system to be sent to District offices, environmental authority etc. Templates for such letters will be available in the system.

• Letters sent and received electronically or any document that is scanned will be stored in the eRecord room with a reference to a project or license or application.

eRecord Room (For internal work)

• eRecord room allows the employees in remote locations to access documents assigned to them via internet and keep in touch with the policy changes and information that is vital for them to carry out their job.

User access group management

• Define security levels of access to documents and screens • Create different levels of user groups with different

methods of access to the documents Document

Creation • Creation of documents • Attachment of various supporting documents

Document approval

• A document approval lifecycle, which assigns approvers of different levels to documents, (before assigning them for the notice of the employee as a valid document).

• Facility to approve or reject documents to be circulated with comments on the revisions needed to make it a valid document for organisation/ employee consumption that complies with company laws and regulations.

Assigning User • Users can be assigned individually or as groups for the use of the documents

• Documents to be categorized as private and public or highly confidential and to be assigned only for authorized users

• Notification of assigned documents via email (or SMS) Integration • The eRecord room will be integrated to all the modules

such as Project Management, License Issuance, HR, Finance and Administration.

Figure 12: Features of e-Record Room

5.3.7 Assignment 6: Finance System Financial transaction plays a major part of GSMB operations. All the major activities in all section link to the Finance system making it the central hub of the integrated system. Following are the main modules that are expected from the finance system.

Finance System

WEB

General Ledger

Inventory

Fixed Assets

Procurement

Figure 13: Financial System

Function Sub function Function Description General Ledger Chart of

Accounts • Multiple level charts of accounts shall be created. • Other system reference accounts (E.g. License Issuance

System, Project Management System etc.) shall link with the chart of accounts of the finance system.

• Double entries for accounts shall be defined for every transaction type that needs to be updated automatically.

• Income Statement, Balance Sheet, Cash Flow Statement , Trial Balance and other schedules shall be generated for a given period.

• Reversal and/or correction of erroneous journal postings by administrator level user.

Cash Management

• Royalty, VAT and other charges shall be captured for chargeable customers at a pre defined rate. Customer wise charges (Royalty, VAT & etc.) and Category wise cumulative charges will be displayed on a printable report.

• Printable Receipt will be generated from the system for each cash related transaction.

Regional Office

• Invoices issued by regional offices shall be captured to the finance system at the regional office.

• Petty cash details will be entered by the Regional Manager to the system.

Library • Receipt for maps and publications sold will be generated from the finance system.

• Printable reports will be generated to view items sold in each category for a defined period.

Function Sub function Function Description Monitor &

Review • Budgets shall be create and update. • Variance analysis will accommodate to analyze figures in

G/L entries and G/L budget entries. • Log file shall be generated to track login, date and time of

the journal postings. Reports

• Daily Summary Report and Monthly Summary Reports

prepared for cash receipts from license issues will be reconciled with the License Issuance System license issue data from the relevant license issue location.

• Individual and cumulative Revenue reports for each license issue location (Head Office Mines Division, Regional Office and Divisional Secretariats).

• Monthly SVAT Report. Fixed Assets • Add On, Revaluation, Write Off, Disposal and Replacement

of fixed assets shall be facilitated from the system. • Useful life, depreciation rate of assets shall enter from the

system and calculate depreciation charges for a selected period.

• Notifications will be generated to relevant employees regarding regular maintenance of assets.

Inventory Procurement • Purchase Requisitions (PR) to be raised by Head of Finance through the system and facilitate to check the status of PR.

• Purchase Requisitions shall be approved by authorized employees.

• Government registered suppliers shall be viewed and select from the system.

• Request for Quotations shall be generated for selected suppliers

• Quotations send by suppliers shall be entered to the system.

• Supplier evaluation mechanism will be facilitated based on given criteria.

• Purchase orders shall be generated from the system. • GSMB public tenders will be published and managed

through the government Tender Portal available in Lanka Gateway.

Warehouse • Item registry shall be maintained category wise with a unique code for every item.

• Detailed item description will be available for each item to identify item by category, division, location, purchased date, supplier etc.

• Bar code sticker shall be pasted on every item except consumables.

• Good Receipt Note (GRN) shall be entered to the system when purchased items are received by the warehouse.

• The GRN shall be matched with the Purchase Order. • Invoice details shall be entered to the system and any

deviations from the Purchase Order and the GRN will be displayed.

• Transaction history of any purchased item will be tracked up to Purchase Requisition, from the item code.

Table 5: Features of Finance System

5.3.8 Assignment 7: Web Services There are number of web service identified that the users would have access to within this project.

They are are listed below. Further information on them can be obtained in the System Requirement Specification that is attached to this RFP.

Web Service Description Systems Involved in supplying the web service

Activation of Transport License

Transport license need to be activated when and where it is put in to use by contacting GSMB via telephone or SMS. This activation will be a web service through which the the sticker number of the specific license sticker is sent to GSMB and a confirmation code is sent to the license holder. The incoming SMS would validate the license information and activate the license sticker for 24 hours.

License Issuance System

Send Documents/ Approve Documents by the Connected Authorities

Documents need be sent to the relevant authorities and those documents can be approve or rejected by those authorities when license are issued. This action is to be supplied as an eService where approvers will have access to online forms which they can use to grant their permission. In absence of these authorities not having the access to the system, these need to be sent via post and received and integrated to the system as well.


Issue License from the DS Office

DS Office is given the ability to issue selected types of license under the GPR recommendations. In order to achieve these DS offices need to have the access to the relevant modules in the License Issuance System.


Submit License Application

GSMB customers should have the ability to submit applications for certain types of mining license via internet. This involves, filling information form and uploading relevant documents.


Purchase Library Publications

Customers and general public should be able to purchase library publications online. Currently available library system developers would be responsible for developing the feature, the consultant need to integrate this with to be implemented finance system.

Library System

Submit Daily Field Reports

When GSMB staff is station in the field, they need to keep daily communication with the Head office. These are done in the form of Daily Field Reports (DRF). These contain the log of work done during the day, attendance of the GSMB staff in the field location and details of the casual employees hired for the day. Currently this communication is done via post. This need to be automated and the Filed officer in charge should have the ability to access the application form the field and submit DFRs.


Verify License Data Law enforcement organization such as police need to confirm the authenticity of the license issued by GSMB. For this purpose, a web and mobile application need to be supplied to these organisations to validate the authentication of the license.

Table 6: List of eServices for GSMB

5.3.9 Assignment 8: Central Information Portal The integrated solution is to be developed a web based portal through which the users will have seamless access to whatever system component depending on their authority levels. All the system would have a single log in scheme managed by the central portal. Central portal also will be linked with the GSMB website.

Common Portal

Library Module

Mining System

Administration Module


Human Resource Mgmt System

Finance System

Dashboard

Figure 14: Central Information Portal

Function Sub function Function description Common portal • All systems integrated into a common application

portal. • Reports of any module or system which is integrated to

the portal shall be printed or viewed. • Define security levels and access groups to access

documents and views. Personal Dashboard

• Employees of GSMB will add or remove components which are to be displayed in the personal dashboard. This could be personal information from the HR system or views and reports from other systems.

Table 7: Features of Central Information Portal

5.3.10 Assignment 9: Fleet Management System This is module that would allow the Administration Division to manage their vehicle fleet. The resource management module of the Project Management System need to be integrated with this as and when a vehicle resource is to be reserved and used.

Following are the required features of the system;

Function Sub function Function Description Fleet Management System

• Transport request shall be able to view by integrating with the Project Management system.

• Vehicle and driver shall be able to assign to each transport request. Vehicle and driver availability shall be able to view from the system for a given period.

• Average fuel consumption shall be calculated for each vehicle and for each trip.

• Life cycle cost shall be generated for a selected vehicle based on the possession cost, maintenance cost and operating cost.

• Approved vendor list of vehicle agents, spare parts suppliers, garages and service centers shall be maintained for each vehicle category.

• Cost estimate shall be generated for a trip when distance, vehicle and duration of the trip are inserted.

• Vehicle usage and maintenance history report shall be generated for a selected vehicle/ vehicle category for a selected period.

• System shall generate a report of warranty items, replacement warranty parts and warranty recovery money per vehicle.

• System shall be integrated with the Project Management System, Vehicle Tracking System and Finance System

Table 8: Features of the Fleet Management System

5.3.11 Assignment 10: Issue Handling System GSMB receives a bulk of communication from its customers and public regarding many issues from discrepancies in issued license to personal and public damage and miscarriages of justice related to mining activities. Currently these are not being managed in a properly and issues get aggravated to bigger problems. In order to mitigate this problem and provide a better quality public service, an Issue Handling System is recommended in GPR Study.

Following are the features required.

Function Sub function Function Description Issue Handling System

• Customer queries submitted through online, email, post and orally will be entered to the system and direct to the relevant employee.

• Pop up notification and an email shall be generated to the relevant employee, when a query has been directed to an employee. Action taken for the query can be mentioned in the system by the employee to whom the query has been assigned.

• Status of the queries can be viewed in the system by authorized employees. Reports shall be generated based on the selected status and /or for the selected time period.

Table 9: Features of Issue Handling

5.3.12 Assignment 11: Internal / External Communication Solution An internal email and mobile access solution need to be facilitated for GSMB. Large amount of system to user communications will occur though emails. These communications are to be access throughout the intranet and though a virtual private network (VPN) for the authorized users so that they are updated on GSMB activities wherever they are located and could communicate back to GSMB as well.

Appropriate systems are to be configured with this communication solution to send and receive the necessary information.

5.3.13 Hardware, Network Equipments and Peripheral Items GSMB is located at Pita Kotte in a 5 story building. This is the central operation office. Currently there are 13 regional offices scattered around the island. Regional offices are extension of Mines Division and carry out similar operations. Additionally there are some temporary extension offices running connected to the regional offices.

GSMB offices do not contain any physical network laid out or wireless network placed on the buildings. Desktop based stand along systems are currently employed at GSMB. Under the GPR recommendations all the systems are to be implemented as web based solutions that can be access via a Central Information Portal.

The consultants are expected to come up with a suitable hardware and network requirements structure to accommodate these requirements. Following are the issues that need to be taken in to account in identifying the requirements.

All the applications under scope of this ToR are to be implemented as web based systems that can be access via and intranet or a VPN or through internet where appropriated.

GSMB staff have access to their own personal computer which can be reused in the new implementation.

Staff distribution and Personal Computers available at GSMB

Division Number of employees Number of PC’s allocated Mines Division Regional offices Geology Division Other Division

The consultant must take all necessary steps to take the maximum use of equipment and resources that are presently available at the organisation.

It is the responsibility of the consultant to plan, cost, procure and install specialized equipments (bar code printers, barcode scanners, security stamp printers, bulk document scanners, digital information displays, etc.) that are linked with the systems. Three year guarantee period is required for all equipments.

Consultant is to supply the consumables (security stickers, License books, transport license booklets, application forms, specialized print cartridges, etc.)for a period of one year system going live. Following indicates the average amount of license processed and issued during a week.

License Type License issued per week

Comments (if any)

Exploration License Mining License (New License) Mining License (License Renewals) Transport License (Head office + Regional offices) Trading License Export License Consultant will be issued permission for usage of relevant government logos for the printed materials for the contractual period.

The consultant is expected to provide a “turn-key” solution that includes all hardware, communication, system software and other related accessories that are needed for the proper functioning of the system.

5.3.14 Other Considerations

5.3.14.1 Human Resource Management System GSMB recently has implemented a HRM system. Employee profile module and the leave module of the HRM system is currently operational. The access is limited only to the administration staff who are handling HR functions and issues. Contractual agreement is present between the HRM system vendor and GSMB to include any changes requirements resulted by the GPR recommendations.

Consultant’s role is regarding the HRM system integration with relevant other systems and modules. Following is the flow of data through the HRM system.

Attendance Data from Bio metric

Systems

Attendance Data from PM System (of the filed staff)

Time and Attendance Capture module of

HRM System Finance system Payroll module of HRM

System

Figure 15: HRM System Integration

5.3.14.2 Library System GSMB Library system is also a recent implementation and under the contractual agreement to do the relevant modifications arising from the GPR studies. Following is the data flows relevant to the consultant that would need to be considered when integrating the system.

Books and publication information module of

Library System

Sales material invoicing and managing module

of library system Finance system GSMB Website

(eCatalogue)

Figure 16: Library System Integration

5.3.15 Requirement Summary of the Project Ref# Description General Requirements GR. 1 Language Support: The entire range of solution to be implemented MUST support

English, Sinhala and Tamil. All three language should have Unicode support and compliant with the government language requirements.

GR. 2 Electrical Power: All active (powered) equipment MUST be able operate without damage, failure or interruption of service at voltage range and frequency range of 230V +/- 15%, 50Hz +/- 3Hz . All active equipment must include power plugs (with proper ground terminal) standard in Sri Lanka.

GR. 3 Environmental: Unless otherwise specified, all equipment MUST operate in environments of 20-40 degrees centigrade of temperature, 40-85 percent of relative humidity and 0-40 grams per cubic meter of dust.

Software Licenses: All software should be loyalty free and licensed to GSMB on a perpetual basis and should be valid for use within all related sites. All custom build Software License should not be restricted on a user or seat basis.

Intellectual Property Rights: The Following policy for Intellectual Property Rights ownership would determine Purchaser’s and Supplier’s rights and obligations (i.e. except standard software). GSMB have the sole Intellectual Property Rights ownership to the Custom Software or elements thereof, including customizations specific to GSMB. The Consultant shall, not later than expiry of the Warranty / maintenance Period, deliver to GSMB an inventory of the said Custom Software together with all related documentation, including but not limited to Source Code, data dictionaries, all relevant diagrams (i.e. ER diagram, class diagram, sequence diagram deployment diagram etc), with all the rights to use the Source Code by GSMB at the end of the warranty / maintenance period. GSMB, shall have the right to replicate the Custom Software in all offices of GSMB during the contract period and thereafter. GSMB shall also have rights to further develop this category of Software, at the end of warranty / maintenance period. The Consultant shall provide new versions and new releases of the Custom Software or elements thereof at GSMB free of charge, during the warranty / maintenance period. In the event GSMB exercises the option to obtain the said new versions or new releases, the Consultant’s obligation in respect of the Warranty / maintenance for the said versions or releases shall be limited to the remaining period of the warranty / maintenance applicable to Custom Software.

Complete set of source code / scripts developed for the proposed system (custom software) should be provided to the client at the end of warranty / maintenance period. Any updates, modifications carried to the source code as a result of servicing maintenance should be provided to the client.

Consultant is required enter into a separate Non-disclosure Agreement regarding the use and disclose of information which the consultant may gather during the performance of this contract.

Technical management and troubleshooting: Consultant MUST provide appropriate tools for administering, monitoring and troubleshooting various software, hardware and communication systems.

Information System Security: The proposed system should be protected from unauthorized access, use, disclose, destruction, modification or disruption. The proposed Information Security Model could be integrated with the work flow model of the proposed system where it will work as an intelligent security management system.

System Documentation and Training User Training: Consultant MUST provide User Training for the users of GSMB on

following areas at a minimum, before the commencement of operations. Consultant may propose any other User Training modules in addition to what is stated below.

• Application specific training • System operation training • User administration and management training • System maintenance training

Consultant MUST provide User and Technical training in English. Maintenance and Support Services: Consultant shall prepare detailed proposals on

System Maintenance and Support Services. These proposals should reflect best industry

practice. During the first three years starting from the date of acceptance of the System, Consultant must provide System Maintenance and Support Services without any cost to the Client.

End User documents: Complete and up to date End- User documents MUST be provided in following formats / mediums:

• One (1) paper based copy per site / location • One (1) copy in ‘.pdf’ format on CD / DVD • One (1) copy as an editable document (in ‘.DOC’ or ‘ODF’ format ) on CD / DVD

End User documents MUST be in English. The documents MUST be concise, unambiguous, clear, concise, explicit, and use good, simple language. End User documents MUST adequately describe all the functionalities operations of the application and illustrate those through pictorial, graphical, screenshots presentation where required. End User documents MUST have comprehensive indexes to facilitate quick reference. Final versions of the End User documents MUST be available to the users prior to the commencement of User training of the system. Any subsequent changes in the system MUST be reflected in the End User documents. End User documents must be delivered as new version releases when incorporating subsequent system changes to the documents. Consultant must provide new version releases as an editable document on CD / DVD.

Technical Documents: Complete and up to date Technical documents MUST be provided in following formats / mediums:

• One (1) paper based copy per site wherever applicable • One (1) copy in ‘.pdf’ format on CD / DVD • One (1) copy as an editable document (in ‘.doc’ or ‘ODF’ format ) on CD / DVD

Technical documents MUST be in English. The documents MUST be concise, unambiguous, clear, concise, explicit, and use good, simple language. Technical documents MUST adequately describe relevant details through pictorial, graphical, screenshots presentation where applicable. Technical documents MUST have comprehensive indexes to facilitate quick reference. Final versions of the Technical documents MUST be available to the users prior to the commencement of Technical training of the system. Any subsequent technical changes in the system MUST be reflected in the Technical documents. Technical documents must be delivered as new version releases when incorporating subsequent system changes to the documents.

System Architecture Requirements Architectural Principles:

a. Conceptual integrity • System should have a clear & concise vision • Architecture should maintain enterprise consistency

b. Componentization (component division) • Roles and responsibilities of each component should be clear • Components should map onto discrete business or technical functions of the

application • Components should be independent of the physical topology of the system

c. Use of standard technology or middleware components d. Platform agnostic architectural design

• Architecture should not depend on specific alternatives or options presented by the underlying operating platform

e. Architecture Representation • For the architecture to be effective, it should be effectively communicated to

different stakeholders. In addition to discussing the architectural styles and patterns within the proposed system, the architecture representation should ideally present several views such as, the 4+1 view model (logical view, process view, development view, physical view and scenarios) or Applied architecture viewpoints (conceptual view, module view, execution view and code view)

Architectural Qualities a. Flexibility / Extensibility

• System should have the flexibility to respond and adapt to unanticipated

requirements • System should fit new requirements into the architecture easily • System should not have many dependencies between system modules (a

change in one module should not require major changes in other modules) • Consultants should state how changes in message formats are handled • System should not have any design compromises to enhance performance. • Software should use meta-data to configure itself (using declarations rather

than coding) b. Pluggability / Integrateability

• System should have the ability to integrate with other systems. System should be designed using open integration standards and the APIs should be designed in such a way that other systems can use the component services.

c. Testability • Consultant should define a sufficiently comprehensive Quality Assurance

plan (including test cases for important components) • Consultant should state any tools, processes and techniques formulated to

test language classes, components and services • Consultant should state whether any automated testing tools can be used to

test the system • Consultant should state whether system or critical components of the system

can run in a debugger • Consultant should state whether there are hooks in the framework to perform

unit tests d. Availability / Reliability

• Consultant should state how hardware and software failures are identified • Consultant should state the backup procedures, how long it takes to backup

the system and how long it takes to restore the system from a backup • Consultant should state whether the integrity of the data can be compromised

in a failure scenario The system must follow a standard service oriented architecture for a web based

application. Except on special occasions (i.e. on occasions where a client application is required due to technical reasons) all clients must be web based and accessible using a standard web browser application. The system should clearly separate the local layers of presentation, business logic and database access.

The client layer of the browser based application must be simple as possible to enable the use of low-cost thin-client type workstations.

System Implementation and Testing Pre-commissioning Tests: In addition to the Consultant’s standard check-out and set-

up tests, the Consultant (with the assistance of the Client) must perform the following on the System and its Subsystems before Installation will be deemed to have occurred and the Client will issue the Installation Certificate(s). Prior to commencement of Pre-commissioning Tests, Consultant MUST provide a comprehensive Test Plan addressing, at a minimum, the following areas. Consultant may include any other areas in addition to what is stated below.

• Composition of the testing team • Scope of testing • Schedule • Test Deliverables • Release criteria • Risks and Contingencies

Pre-commissioning Tests MUST ensure the correctness, completeness, security and the quality of the solution provided by the Consultant. Pre-commissioning tests, at a minimum, MUST include the following test levels and such testing MUST be conducted on the System and all its Subsystems.

• Unit testing • Functional testing • Integration testing • Volume testing • Performance testing

• User Acceptance testing Consultant MUST provide the Client the Test Cases used for above testing and have them approved by the Client prior to conducting the above mentioned tests.

Operational Acceptance Tests: The Client (with the assistance of the Consultant) will perform the following tests on the System and its Subsystems following Installation to determine whether the System and the Subsystems meet all the requirements mandated for Operational Acceptance.

• Unit testing: Validate that each individual module of the System is working properly.

• Functional testing: Validate that mandatory functional requirements and the given desired functional requirements of the System supplied work properly. It is necessary to conform that the System supplied conforms to the specification.

• Integration testing: Validate that combined parts or modules of the System are working properly.

• Volume testing: Validate that any values that may become large over time (such as accumulated counts, logs, and data files) of the System can be accommodated by the program and will not cause the System to stop working or degrade its operation in any manner.

• Performance testing: Validate that the System is in compliance with the Performance Requirements specified in “Functional Performance Requirements”.

• User Acceptance testing: Validate that the system is in compliance with the mutually agreed upon user requirements by the end users of the system and signing off.

Application and Systems Assignment 1: Mining License Issuance System

The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.2 Assignment 1: Mining License Issuance System in page number 11

Assignment 2: Project Management System The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.3 Assignment 2: Project Management System in page number 17

Assignment 3: Queue Management System The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.4 Assignment 3: Queue Management System in page number 18

Assignment 4: GIS Database The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.5 Assignment 4: GIS Database in page number 21

Assignment 5: e-Record Room The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.6 Assignment 5: e-Record Room in page number 22

Assignment 6: Finance System The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.7 Assignment 6: Finance System in page number 24

Assignment 7: Web Services The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.8 Assignment 7: Web Services in page number 26

Assignment 8: Central Information Portal The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.9 Assignment 8: Central Information Portal in page number 27

Assignment 9: Fleet Management System The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.10 Assignment 9: Fleet Management System in page number 28

Assignment 10: Issue Handling System The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.11 Assignment 10: Issue Handling System in page number 29

Assignment 11: Internal / External Communication Solution The proposed system MUST fully implement the workflow process, functions, reporting, querying and other features associated with Mining License Issuance System described as referred in 3.13. Assignment 12: Internal / External Communication Solution in page number 29

System security and access control The proposed system must implement a proper security and access control system based

on a single sign-on mechanism. The system must enforce include proper password management and change policies users at all levels.

Access to the system functions and features should be controlled based on user roles. Roles must support the required hierarchy and it should be possible to assign multiple roles to a single user. All user and role creation / assignment must be provided via an administration interface.

System should support assignment of workflow functions to any workstation connected to the system. There should not be any restrictions on the number of users / roles / workflow functions assigned to a single workstation. It should be possible to assign a specific workflow function to any number of workstations.

System must maintain audit trails on all activities executed, inclusive of system and user administration functions. Users from assigned roles should be able to view such audit trails.

Reporting and querying requirements The system must implement all the querying and reporting functions related to the

workflow activities and functionalities described in the re-engineered process. The system must provide querying and reporting on the following activities to the assigned

roles with proper access privileges. • Mining License Issuance (periodical reports, exception reports, status

reports, Managerial information reports, etc.) information • Project Management (Planning and progress reports, resource management

reports, cost and revenue reports, payment information, etc.) information • GIS based information (mining, natural resources, mine owners, etc. based

information) • Finance information (financial statements, payments and receivables

information, reconciliations, etc.) • Web and web services reports • Fleet Management information • Issue capturing and tracking information

Any other report as requested by the division during initial data gathering for system design and implementation

Hardware, communications and system software requirements The consultant is expected to provide a “turn-key” solution that includes all hardware,

communication, system software and other related accessories that are needed for the proper functioning of the system. The components to be supplied must be decided to suit the solution proposed by the Consultant. The Consultant must also take all necessary steps to take the maximum use of equipment and resources that are presently available in the organisation.

5.3.16 Minimum Qualification of key professional staff

• The consultant shall give the team of professionals with the curriculum vitae.

Role Minimum Academic Qualifications

Minimum years of experience in relevant field

Project Manager Masters/ Bachelors Degree from a recognized university

5 years of experience in IT project management

Software Architect Masters/Bachelors Degree from a recognized university

2 years of experience of being a software architect

Technical Lead (Software Development)

Relevant Bachelors Degree from a recognized university

2 years of experience being a Technical Lead

Network/ Infrastructure/ Implementation Specialist

Bachelors Degree/ CCNA or similar recognized qualifications

2 years of experience handling similar projects

Senior Software Engineer Relevant Bachelors Degree from a recognized university

2

Senior Business Analyst

Relevant Bachelors Degree from a recognized university

4

Quality Assurance Engineer Relevant Bachelors Degree from a recognized university or other relevant qualification

2

• Professional key staff must meet the minimum requirements stipulated in this document as

per the above table.

• The consultant shall appoint the required number of software engineers or any other relevant members to the team other than the specified key staff specified as above.

Section 5 - Terms of Reference of reference - gsm… · monitoring and controlling mineral related...

Documents

Transcript of Section 5 - Terms of Reference of reference - gsm… · monitoring and controlling mineral related...