SLA Header Document.pdf

ARIA - ComSuper
Administration & Other Services Agreement

A Service Level Agreement between ARIA and ComSuper for the delivery of
administration services in respect of the PSSap, PSS and CSS Schemes
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Document Control
Version History
Version
Date
Comments
V1.0
04/02/2009
Draft template with pre-populated sections - Ernst & Young
V1.1
06/03/2009
Second Draft including changes by Michael Simpson
Third Draft for review additional changes by Michael Simpson &
V1.2
17/03/2009
suggested adjustments by E&Y
V1.3
20/03/2009
Fourth draft incorporating three schedules
Fifth draft following round of negotiations with ComSuper & input
V1.4
3/04/2009
from ARIA stakeholders
Sixth draft following third round of negotiations and discussion
V1.5
11/05/2009
with ComSuper & ARIA stakeholders
Seventh draft following 4th round of negotiations and ARIA
V1.6
19.05.2009
stakeholder input
Eighth draft following 5th round of discussions with ComSuper and
V1.7
22.05.2009
further ARIA stakeholder input and comment
V1.7
27.05.2009
Final Draft following QA from ARIA stakeholders
Amendments made to Schedules B and C. Reflecting revised
V1.8
20/10/2011
service standards.
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A. Definitions and interpretations
For the purposes of the operation of this Service Level Agreement the following definitions are provided
to aid in the interpretation of the document and the service standards contained.
Customer
Australian Reward Investment Alliance
Service
ComSuper
Provider
Validated
A validated benefit application is one where all the required documentation and information
benefit
from the member and/or employer has been received and the exit date has been reached to
enable processing of the application.
application
Any reference to a business day in this agreement is a day in which normal banking
Business Day
operations occur and excludes public holidays observed in the Australian Capital Territory
Switch
A switch request includes an investment switch and investment profile change
request
request from a member
ComSuper
The two day period each year between 25 December and 1 January which are not
Christmas
public holidays observed in the Australian Capital Territory on which ComSuper does
Closedown
not perform normal business operations

Table of Abbreviations
AFS
Australian Financial Services
APRA
Australian Prudential Regulation Authority
CSS
Commonwealth Superannuation Scheme
PSS
Public Sector Superannuation Scheme
PSSap
PSS Accumulation Plan
RAC
Reconsideration Advisory Committee
RM
Relationship Manager (ARIA)
SDM
Service Delivery Manager (ComSuper)
SLA
Service Level Agreement
TPD
Total and Permanently Disabled

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Purpose of the SLA
A.1  Purpose of the SLA
The purpose of this Service Level Agreement is to:
  Define the services to be delivered to members of the PSSap ,PSS and CSS on behalf
of ARIA and also services delivered directly to ARIA by ComSuper;
  Specify the reporting requirements needed by ARIA in relation to those service
activities;
  Describe the environment in which the services will be delivered;
  Specify the level of performance that is required to be delivered in relation to each
service activity; and
  Describe the governance framework including escalation and incident management.

B.  Service Delivery Model
B.1  Relationship
The Australian Reward Investment Alliance (ARIA) recognises that the achievement of its
business objectives requires a strong relationship with ComSuper. ARIA and ComSuper
seek to promote and achieve a collaborative relationship which will have regard to
ComSuper’s available resources and the current administration systems used to deliver
administration services and will be guided by the following principles for the operation of
this Service Level Agreement:
  There is a commitment to achieving superior performance in the services delivered to
members by both  ARIA and ComSuper;
  A joint culture is promoted which promotes fair, open and honest business dealings;
  ARIA and ComSuper work cooperatively with shared goals and objectives;
  There is a commitment to full transparency in relation to the reporting on service
delivery outcomes and the provision of qualitative as well as quantitative information;
  An equitable basis for risk management is achieved based on a clear understanding of
roles and responsibilities; and
  Specified roles are identified in both ARIA and ComSuper for the ongoing ownership,
governance, management and regular discussion on the operation of this Service Level
Agreement

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C.  Environment
C.1  The Customer (ARIA)
ARIA provides superannuation services and products to Australian Government
employees and employers through three Schemes – the Commonwealth Superannuation
Scheme (CSS), the Public Sector Superannuation Scheme (PSS) and the PSS
Accumulation Plan (PSSap).
ARIA’s vision and mission statements are as follows:
Our Vision
To be a world class provider of superannuation for past present and future Australian
Government employees
Our Mission
To manage the schemes’ assets and administer the Acts in the best interests of
contributors and beneficiaries
C.2  The Service Provider (ComSuper)
ComSuper, an Australian Government Business Unit, is responsible for providing day to
day administration services to ARIA as trustees of the CSS, PSS, and PSSap
superannuation schemes for employees of the Australian Public Service and other
participating employers.
C.3  Service Delivery Context
As the provider of administration services to ARIA for the PSSap, PSS and CSS schemes
ComSuper will:
  Have in place the administration systems and controls necessary for the accurate
maintenance of scheme membership records;
  Have and maintain appropriately skilled and trained staff who deliver the
administration services to members including appropriate numbers of staff who
meet the requirements of authorized representatives;
  Have in place and maintain the appropriate accounting systems for the recording of
remittances received and benefits paid in respect of scheme members ;
  Have appropriate and audited disaster recovery and business continuity plans in
relation to the ongoing administration of the schemes which are regularly tested;
  Protect the privacy of member information in accordance with the Privacy
legislation;
  Acknowledge its compliance obligations underpinning ARIA’s Australian Financial
Services (AFS) and Australian Prudential Regulation Authority (APRA) licenses;
and
  Act in good faith to support the successful application of this Agreement
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ARIA will:
  Provide clear and concise details of its expectations in relation to the delivery of
administration services;
  Provide clear and concise policy and compliance expectations;
  Provide as much notice as possible and consult fully in relation to any new policy
proposals;
  Provide comprehensive documentation on any new initiatives; and
  Act in good faith to support the successful application of this Agreement
C.4   Compliance Framework
ComSuper acknowledges that in delivering administration services to ARIA as Trustee of
the PSSap, PSS and CSS schemes it is responsible for ensuring that those services are
delivered within the compliance framework on which ARIA’s APRA and AFS licenses rely.
In this regard ComSuper will ensure that there are appropriate controls in place to deliver
on the range of compliance obligations for which it has responsibility.
C.5   Services to be provided
ComSuper agrees to provide the administration services to the standards as specified and
described in Schedules A, B and C where:
  Schedule A details the services that will be provided for members of the PSSap on
behalf of ARIA as Trustee of the PSSap;
  Schedule B details the services that will be provided for members of the PSS and
CSS on behalf of ARIA as Trustee of the PSS and CSS; and
  Schedule C details the Service that will be provided to ARIA;
C.6  New policy initiatives – changed administration arrangements
ComSuper also acknowledges that during the life of the Service Level Agreement there
may be changes in policy or other legislative change which will require ComSuper to make
material changes to their systems, processes or procedures to implement new policy
initiatives.  Should this occur, ARIA commits to provide as much notice as possible on the
new policy and a period of full consultation and discussion on the implementation issues.
ARIA and ComSuper also commit to produce jointly full scoping and project
documentation and will formally agree on and document any funding issues that may be
required.
The documentation to be delivered will be as follows:
  ARIA advice to ComSuper on the details of the policy initiative;
  ComSuper to provide scoping paper providing full details of the implementation
issues;
  ComSuper to provide project documentation providing full details of the
deliverables, required resources and timetable; and
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  Joint document on the agreed funding issues for the delivery of the project.
C.7  Resourcing
Comsuper is responsible for arranging the resources it needs to support the provision of its
prescribed superannuation administration services. Where changes in government policy
will affect the service level provided for ARIA, Comsuper should engage with ARIA in
developing the budget strategy, costings, and implementation plan for the new initiatives
(as described in section C6).
C.7.1 Cost recovery for specified services
ARIA and ComSuper acknowledge that there may be specific services provided by ComSuper
at ARIA’s request that are outside the scope of the administration services for which
ComSuper receives Government and employer funding and ARIA may negotiate for
ComSuper to provide the additional services to be invoiced to ARIA on a cost recovery basis.
All arrangements of this nature must be agreed in advance and documented at the Senior
Executive level of both organisations.  Cost recovery may be relevant (but not limited to) the
following items:
C.7.1.1 Revenue Collection
ComSuper may recover from ARIA costs relating to the collection of administration levy
from employers.

C.7.1.2   Publications –
ComSuper may recover costs from ARIA for publication and printing services subject to
the submission of appropriate quotes for the work to be undertaken and documented
prior approval at a senior level of both organisations.  Invoices for publications work to
be provided to ARIA within 30 days of completion of the service. Web and graphic
design services set out in C1.1 and C1.2 are not to be invoiced.

C.7.1.3   Annual Member Statements –
For the avoidance of doubt, ComSuper agrees that they will be responsible to meet the
costs for the following components of the member statements (Schedule B 5) process;

Field changes and all other IT related work including data extraction, testing etc.

Member statements, transaction summaries, envelopes and cover letter design (if
ARIA has agreed at the start of the project).

Member statements and transaction summary printing.

Member statements pack envelopes, printing (and design if required) .

Collation and postage of member statement packs including:
o  cover letter
o  member statement and transaction summary
o  member statement guide
o  maximum of two insertions
o  postage of annual reports to those members that request one.

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As set out in the principles above, new or additional member statements requirements
must be raised with ARIA as soon as identified and agreement reached on the level and
source of funds needed to provide for the expanded requirement.
C.8  Fund Banking Arrangements
ComSuper acknowledges that ARIA as trustee of the CSS, PSS and PSSap schemes is
responsible for establishing the fund banking arrangements.  Any changes to banking
arrangements cannot be made without appropriate Trustee approval.
C.9
Administration Services Hours of Operation
ComSuper will be open for business and provide administration services from 8.30 am to
5.00 pm on all business days except, ACT Public Holidays and the ComSuper Christmas
closedown period.
ARIA acknowledges that between Christmas and New Year limited services will be
delivered with full service delivery resuming on 2 January, however, ARIA requires the
following key services to be delivered –

PSSap unit pricing process; and

Member Investment switches
C.10 Period of Operation
This agreement will operate and have application from the date the document is signed by
authorized representatives of ARIA and ComSuper and will continue until a successor
agreement is put in place by mutual agreement.
C.11 Variations to this Agreement
This agreement and the related schedules may be varied at any time by consent of both
parties to the agreement.

D.  Governance
ARIA and ComSuper agree to establish and maintain effective working relationships on
the operation of this Agreement.
To support the delivery of this agreement the governance framework includes the
following:
  Governance structure, including roles and responsibilities;
  Key Personnel in Key Positions
  Meeting Topics, Frequency, Forum and Agenda;
  Reporting; and
  Escalation and Issues Management Procedures.

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D.1 Governance Structure & Roles and Responsibilities
ARIA and ComSuper under the terms of this agreement recognise that for the Service
Level Agreement to operate optimally an appropriate governance structure must be
established to review and discuss service outcomes and issues.  To that end ARIA and
ComSuper will identify specific roles in each organisation that will be responsible for the
ongoing ownership, management, regular dialogue and discussion and any required
negotiation on future adjustments in relation to the operation of the agreement during the
life of the agreement.

D.1.1   Key Personnel
ARIA and ComSuper will identify key personnel who will be responsible for the ongoing
governance and management of the SLA and who will also be the primary point of contact
on the operation of the SLA.  From time to time alternates will be identified to carry out the
primary point of contact role in the absence of the key personnel.
D.1.2  ComSuper – Service Delivery Manager (SDM)
ComSuper will designate a service delivery manager to act as the principal point of contact
for ComSuper and to whom the entire communications relating to the Services or this
agreement should be addressed unless this agreement states otherwise

Responsibilities
ComSuper must ensure that the SDM:
  cooperates with ARIA to ensure the services under this agreement
are delivered within time frames specified in this agreement or within
reasonable time frames where this agreement does not specify a time
for delivery;
  is fully aware of ARIA’s priorities; and
  communicates those priorities to all relevant ComSuper personnel.
D.1.3   ARIA - Relationship Manager (RM)
ARIA will designate a relationship manager to act as the principal point of contact for ARIA
and to whom all of ComSuper’s communications relating to the services or this agreement
should be directed unless this agreement provides otherwise.

Responsibilities
ARIA commits to ensure that the Relationship Manager will cooperate with
ComSuper to deliver inputs required from ARIA under this agreement within time
frames specified in this agreement or within reasonable time frames where this
agreement does not specify a time for delivery.  The RM (or his/her designee) as
the principal point of contact for all aspects of the relationship is responsible for,
amongst other things, obtaining and providing to the ComSuper any decisions
required from ARIA in relation to approvals (or similar), and other reasonably
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requested information, to facilitate ComSuper’s performance of its obligations under
this agreement.
D.2
Meetings
The following table outlines the meeting topics to be discussed, the frequency of the
discussion, the forum for the discussion and the agenda items to be addressed.
Frequency , Forum &
Meeting Topics
Agenda Items
Attendees
Strategic
Discuss any changes required to the service
level agreement.
The following items to be discussed may
include:

Services provided during the
review period;

Annually

Major incidents during the review
period;

SLA Review Committee
Review of Service Level

Outstanding issues;
Agreement

Chief Operating Officers from ARIA
and ComSuper, SDM, RM and other

Future events/issues that will
Managers as required.
affect the service;

Review any potential changes
required to the SLA;

Review schedules for services
provided; and

Agree items for submission to the
executive decision makers
Operational
Discuss the following;
  Monthly

Service Performance;
Service Delivery Outcomes
  SLA Operations Meeting

Incidents/Issues/Problems;
  Attended by SDM, RM, others as required

Significant trends; and

Ad hoc  requests
  As requested
Operational meeting to discuss significant
Ad-hoc
  Ad-hoc operational
issues or incidents around a particular
service.
  Attended by SDM, RM, others as required

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D.3
Reporting
ARIA and ComSuper agree that reporting on service delivery outcomes must be fully
transparent and must accurately reflect what members are actually experiencing in relation
to the particular services they are accessing.  It is also acknowledged that more frequent
reporting will be required for the key service delivery areas identified by ARIA to facilitate
that transparency.
ComSuper also acknowledges that the timely provision of qualitative information to ARIA is
also an essential and integral part of its reporting obligations.  It is important for ComSuper
to provide immediate notification of issues identified that may affect future performance or
service delivery outcomes and provide appropriate commentary in addition to the regular
qualitative information reporting on performance outcomes or changes to workloads.
The following table outlines the reporting framework that governs the effective
communication and service delivery management between the ARIA and ComSuper.
Schedules A to C provide the specific reporting requirements and frequency for each area
of service delivery.
Reporting
Frequency
Service Provider Responsibility
Mechanism
Report on the overall achievement against the service
Annual Effectiveness
Annually
standards and other services as specified
Review
Report for Trustees to be prepared by ARIA
Weekly Key Priority
Weekly
Report on service delivery outcomes for specified key
Services Outcomes
service areas
Reporting on a range of scheme based statistics as
Scheme Statistics
Monthly
specified in Schedule C, Section 13 – Scheme
Information & Statistical Reporting
To provide management reports to assist in issue
Administrators Report
Monthly
management and continuous service improvement.
Quarterly Compliance
To provide the quarterly compliance report consistent
Quarterly
Report
with ARIA Compliance Policy
Incident
To report on incidents, service failures and compliance
Reports/Compliance
As required
breaches in accordance with ARIA’s breach policy.
Breaches
From time to time ARIA may request additional one off
reports or information to assist in policy considerations
Ad-hoc
As requested
and/or facilitate member communication and education
issues.

All reports unless specified elsewhere will be forwarded to the ARIA Relationship Manager
from the ComSuper Service Delivery Manager in an agreed electronic format.  In relation
to incident reports and compliance breaches such reporting must be made to ARIA’s
Compliance Officer in accordance with Section 6 of Schedule C.

All documents sent between the ARIA and ComSuper will be appropriately identified with
meaningful file names.

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D.4
Issues Management
Should a significant issue arise in relation to the administration of the schemes such as
material systemic problems or material human errors the ARIA Relationship Manager will
be notified immediately and as soon as possible after this notification ComSuper will also
provide advice on how the issue is to be managed, proposed remediation or resolution.
D.5      Escalation
Where issues cannot be resolved between the Service Delivery Manager and Relationship
Manager they will be escalated to the Chief Operating Officers of the respective
organisations for discussion and resolution.
D.6
Media Enquiries Protocol
Where ComSuper receives or becomes aware of any media enquiries, these enquiries will be
handled in accordance with ARIA’s media policy and protocols and ComSuper will ensure
that ARIA is immediately alerted to the details of the enquiry.
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