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Term of reference

Business Intelligence Project | NAMFISA | 2015-16

Page 1 of 10

BUSINESS INTELLIGENCE (“BI”) USER REQUIREMENTS

Notes: This is a preliminary list of requirements which will be likely be expand, once familiar with the functionalities of the BI system

Supervisory Divisions Insurance

1. All active insurance brokers (also reinsurance brokers) – natural persons and legal persons – as at and for a specific period.

2. All active insurance brokers natural persons (normal and reinsurance brokers) 3. All active insurance brokers legal persons (normal and reinsurance brokers) 4. All active reinsurance brokers both legal and natural persons

5. All active reinsurance brokers legal persons only 6. All active reinsurance brokers natural persons only

7. All active normal insurance brokers (both natural and legal persons) 8. All active normal insurance brokers (natural persons only)

9. All active normal insurance brokers (legal persons only)

10. Insurance Broker registrations per week/per month/per quarter/per annum report

11. All deregistered insurance brokers - natural persons and legal persons – as at and for a specific period 12. Broker de-registrations per week/per month/per quarter/per annum report

13. All active insurance agents – natural persons and legal persons – as at and for a specific period. 14. All agent registrations per week/per month/per quarter/per annum report

15. All active insurance agents natural persons and legal persons

16. All deregistered insurance agents - natural persons and legal persons – as at and for a specific period. 17. All agent de-registrations per week/per month/per quarter/per annum report

18. All exemption applications (Lloyds and non-Lloyds) per week, per month, per quarter, per annum

19. All exemption applications (Lloyds and non-Lloyds)per class of insurance per week, per month, per quarter, per annum 20. Exemption applications Lloyds only per week, per month, per quarter, per Annum

21. Exemption applications non-Lloyds only per week, per month, per quarter, per Annum 22. Reinsurance exemption applications per week, per month, per quarter, per Annum 23. Report of agents and the insurer they are linked to

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Supervisory Divisions (continued) Insurance (continued)

25. Reinsurance premiums per insurer per quarter, per annum

26. Gross premiums per insurer per class of insurance per quarter, per annum 27. Net written premiums per insurer per class of insurance per quarter, per annum 28. Net Premiums earned per insurer per class of insurance per quarter, per annum 29. Claims paid per insurer per class of insurance per quarter, per annum

30. Commission paid per insurer per class of insurance per quarter, per annum 31. Gross profit per insurer per class of insurance per quarter, per annum 32. Investment income per insurer per quarter, per annum,

33. Total Income per insurer per quarter, per annum

34. Management expenses per insurer per quarter, per annum 35. Profit before tax per insurer per quarter, per annum

36. Total comprehensive income per insurer per quarter, per annum

37. Non-current assets per insurer, held elsewhere, held in Namibia per quarter/per annum 38. Technical assets per insurer, held elsewhere, held in Namibia per quarter/per annum 39. Current assets per insurer, held elsewhere, held in Namibia per quarter/per annum 40. Current investments per insurer, held elsewhere, held in Namibia per quarter/per annum 41. Non-current investments per insurer, held elsewhere, held in Namibia per quarter/per annum 42. Cash and cash equivalents per insurer, held elsewhere, held in Namibia per quarter/per annum 43. Bank balances per insurer, held elsewhere, held in Namibia per quarter/per annum

44. Total assets per insurer, held elsewhere, held in Namibia per quarter/per annum 45. Current liabilities per insurer, held elsewhere, held in Namibia per quarter/per annum

46. Total technical liabilities per insurer, held elsewhere, held in Namibia per quarter/per annum 47. Solvency margin per insurer per quarter/per annum

48. Total Liabilities per insurer, held elsewhere, held in Namibia per quarter/per annum 49. All consolidated figures of abovementioned for the whole industry

50. All consolidated figures of the income statement and balance sheet for year on year comparisons 51. Quarterly comparatives for Insurance industry with variances.

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Supervisory Divisions (continued) Insurance (continued)

52. Quarterly Insurance industry Market share statistics reports with rankings e.g. Gross Premium Income, Total Assets and Total Liabilities.

53. Consolidated number of policies at beginning, new, lapses, cancelled balance per quarter. Provident Institutions

1. Tables and charts for all variables of Medical Aid Funds & Friendly Societies and Pension Funds returns Investment Institutions

1. Default reports or dashboards as per the BI demo presentation Supervisory Support

1. Statistics of complaints including nature of complaints, industry and the region

2. Number of registered institutions per industry, data on regulatory inspections conducted, including number of institutions. 3. Anti-Money Laundering (AML) assessment findings

4. Number of deregistered institutions

5. Access to all data/information that all supervisory divisions have, with regards to regulated entities

6. Data on Money Laundering and Terrorist Financing risks categories – i.e. able to pull data following our Risk assessments and establish the AML coverage of all regulated institutions.

7. Complaints - Collect data by: a. Type of complaint b. Industry, institution, c. Gender

d. Resolution state (pending or resolved) e. Date, month or year of receipt/resolution f. By referral or regret or resolved

g. Complaints analyst h. By town

i. By region

j. Categories of amounts recovered/item recovered k. Complaints lodged against regulated entities l. Referral to legal practitioners

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Supervisory Divisions (continued) Supervisory Support 8. Design of information: a. graph b. pie c. tables d. Smart art/graphic e. Charts, etc. Research, Policy & Statistics

1. Departmental dashboards for each regulated sector (Annual and quarterly return data from individual entity level to consolidated sector level)

2. Overall supervisory dashboard (from each regulated entity level to all entities, irrespective of sector) 3. Historical data for trend analysis and futuristic predictions

4. Access to all data/information that all supervisory divisions have, with regards to regulated entities Support Divisions

CEO’s Office

1. Information or data on sources should cleaned 2. Access controls on all data should

3. Analysis must flexible as reports may evolve/change in the future 4. Ladder of supervisory supervision

5. Registered and de-registered entities 6. Exemptions granted

7. Data can be in graph or table form 8. Stats on inspections conducted 9. Types of compliance breaches found

10. Penalties and notices and other regulatory actions taken 11. Amount to be paid back to consumers as part of penalties 12. Statistics on complaints –received, resolved, aging analysis 13. Statistics on targeted inspections,

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Support Divisions (continued) CEO’s Office (continued)

15. Data on Acts, regulations, circulars – actual documents to be available 16. Number of research papers and advice given – and actual documents 17. AML compliance reports

18. Statistics on dormant or inactive entities

19. Status of the risk register – to be sourced from Barnowl 20. Risk - Non-compliance register

21. Corporate scorecard or business plan – find a way to report on it from various sources 22. Namibia financial sector strategy and how NAMFISA is doing against this

23. Tracking on the board resolutions and board committees 24. How we are doing on EXCO and LLC resolutions

25. Would want to see progress on strategic projects – dashboard view

26. Track progress/responses on letters received, internal distribution and responses 27. Reports on satisfaction surveys – internal and external – ability to drill down to details 28. Recruitment analysis

29. Alerts on broad reports – key milestones e.g. consumer bulletin, annual report production – are we meeting delivery dates 30. Statistics on information received to NAMFISA – e.g. Returns. Flexibility on this to allow analysis

31. IT risk governance Information – incidents of virus attacks, patches on computers, etc. 32. Budget against performance and variance analysis

33. Information on applications and service

34. Quarterly board report – statistical information to be automated 35. Job applicants – gender, qualifications

36. HR recruitment, terminations and retention – with complete demographic 37. Training interventions

38. Trend analysis 39. Salary survey info

40. Employee related legislation 41. Income sources

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Support Divisions (continued) CEO’s Office (continued)

42. Expenditure 43. Budget 44. Asset register 45. Contract in place

46. Service level commitment tracking tool

47. Statistics on audit plans, outcomes, ratings, and follow-ups

48. Legal – litigations, success on outcomes, legal advice and opinions 49. All legislation to be available

50. Stats on consumer education activities 51. Media tracking information

52. Internal and public (media) releases

53. ITC – help desk statistics, it security risk, all systems utilized by the authority 54. Data on matters raised with BoN and Ministry of Finance

55. All minutes (EXCO and LLC) to be available

56. Annual reports, quarterly statics bulletin and all NAMFISA issued documents to be available – data therein should be incorporated

57. Website updates and all other public info sources updates CEO’s Office - Internal Audit

1. Audit trail of activities for utilization during audits 2. Export of various reports to word, excel etc. 3. Access to high reports of business units data

4. Summarized statistical reports of registrations, de-registrations, Analyzed quarterly returns reports & Levy reports presented in different graphs, tables etc.

CEO’s Office - Corporate Communications and Consumer Education 1. Geographic and demographic distribution of regulated entities 2. Complaints overview in Namibia

3. Regional complaints overview 4. Most complained entities

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Support Divisions (continued)

CEO’s Office - Corporate Communications and Consumer Education (continued) 5. Types of complaint

6. Consumer Education/Protection interventions undertaken by regulated entities 7. Cost of, or Budget spent on Consumer Education activities

Finance

1. Management accounts/ variance reports:

a. Extract required information at organizational, support/supervisory, divisional and departmental levels

b. Reports for time intervals of real-time, monthly, quarterly, bi-annually, annually, yearly up to at least 5 years in the history. c. Reports should allow for What-If analysis, Forecasting and Trend Analysis

2. Age Analysis of debtors:

a. ability to analyse debtors with outstanding balances of more than 1 year to identify trends b. ability to identify problem debtor groups

c. ability to drill down to specific/ individual debtors and or transactions to identify payment and other behavioural trends 3. Comparative reports between Finance, Supervisory and other Support departments’ info:

d. Comparison of levy returns received by the supervisory departments (ERS) with the levies processed by Finance (Pastel)

e. Identification of outstanding returns and/ or levies, penalties and other income items not charged on the Pastel system. f. Ability to compare more than two sources of information e.g. three way comparison of registered entities list per ERS,

with Customer List of Pastel, with the records listing of the Registry Office.

g. Comparison of bursary scheme and/ study loan payments recorded in the Finance system with that reported by the HR system

h. Comparisons of trends identified with the financial data in the Finance system to that reported in the quarterly statistical reports of the RPS division.

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Page 8 of 10

Support Divisions (continued) Human Resources

1. Workforce profile (skills, qualifications, age, etc.)

2. Labour Establishment (approved position vs. vacancies) 3. Remuneration budget (actual vs. planned)

4. Leave analysis (vacation, sick, special, unpaid, family, etc.) 5. Employment contracts

6. Probation management

7. Training and Development report (planned vs. actual, Personal Development Plans (PDPs), short term training, generic vs. specialized training, budget, etc.)

8. Affirmative Action Reporting /compliance (plan vs. actual) 9. Recruitment (response time from requisition to appointment)

10. Organisational Scorecard, Divisional scorecard, departmental scorecard, individual scorecards) 11. Workforce profile (skills, qualifications, age, etc.)

12. Labour Establishment (approved position vs. vacancies) 13. Remuneration budget (actual vs. planned)

14. Leave analysis (vacation, sick, special, unpaid, family, etc.) NAMFISA SERVERS

No Name Model OS CPU RAM HHD Applications

1 DC-02 (DC)

Proliant DL160 G5

MS Win Server 2008 Standard

Intel ( R ) Xeon ( R ) CPU E5405 0 @ 2.00GHz 1995 Mhz, 4

Core(s) 4 Logical Processors 4.00 GB 500.00GB

Active Directory 2 XCH-01 (exchange server) Proliant DL160 G5 MS Win Server 2008 Standard

Intel ( R ) Xeon ( R ) CPU E5405 0 @ 2.00GHz 1995 Mhz, 4

Core(s) 4 Logical Processors 8.00 GB 400.00GB MS Exchange 2007, 3 CP-01 (Antivirus ) Proliant DL380 G4 MS Win Server 2008 Standard

Intel ( R ) Xeon ( R ) CPU

3.40GHz, 3400 Mhz, 1 Core(s) 2

Logical Processors 2.00 GB 350.00Gb Checkpoint

4 Ers-db-01 (DB) Proliant DL380 G7 MS Win Server 2008 R2 Datacenter

2x Intel ( R ) Xeon ( R ) CPU X5660 @ 2.80GHz, 2800 Mhz, 6

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NAMFISA SERVERS

No Name Model OS CPU RAM HHD Applications

5 Ers-db-02 (DB) Proliant DL380 G7 MS Win Server 2008 R2 Datacenter

2x Intel ( R ) Xeon ( R ) CPU X5660 @ 2.80GHz, 2800 Mhz, 6

Core(s) 12 Logical Processors 12.00 GB 300.00GB

Pastel, AccSys, Dbit 6 Ers-Mc-01 (ERS) Proliant DL380 G7 MS Win Web Server 2008 R2

2x Intel ( R ) Xeon ( R ) CPU X5660 @ 2.80GHz, 2800 Mhz, 6

Core(s) 12 Logical Processors 12.00 GB 150.00GB ERS Management Centre 7 Ers-No-01 (ERS) Proliant DL380 G7 MS Win Web Server 2008 R2

2x Intel ( R ) Xeon ( R ) CPU X5660 @ 2.80GHz, 2800 Mhz, 6

Core(s) 12 Logical Processors 12.00 GB 1.8TB

NAMFISA Online

8

Ers-Vm-01 (VM host for ers test environment)

Proliant DL380 G7

MS Win Server 2008 R2 Enterprise

2x Intel ( R ) Xeon ( R ) CPU X5660 @ 2.80GHz, 2800 Mhz, 6

Core(s) 12 Logical Processors 16.00GB 1.8TB

Host the ERS testing Environments 9 Svr-db-01 (DB) Proliant DL160 G5 MS Win Server 2008 Standard

Intel ( R ) Xeon ( R ) CPU E5405 0 @ 2.00GHz 1995 Mhz, 4

Core(s) 4 Logical Processors 4.00 GB 500.00GB

10

Vm-01 (VM hosting the App and Files srv)

ProLiant DL380p Gen8

MS Win Server 2012 Standard

Intel ( R ) Xeon ( R ) CPU E5-2640 0 @ 2.50GHz 2494 Mhz, 6

Core(s) 12 Logical Processors 16.00 GB 2TB

Host the App and File server

11 App-01 (software server) VM

MS Win Server 2008 R2 Standard

Intel ( R ) Xeon ( R ) CPU E5-2640 0 @ 2.50GHz 2494 Mhz, 2

Core(s) 2 Logical Processors 4.00 GB 300.00GB

Backup exec, Cash Focus, 12 VFS-01 (File server) VM MS Win Server 2008 R2 Standard

Intel ( R ) Xeon ( R ) CPU E5-2640 0 @ 2.50GHz 2494 Mhz, 2

Core(s) 2 Logical Processors 4.00 GB 700.00GB

Users Folders and Shared Folders 13 dc-01 (2nd DC) ProLiant DL380p Gen8 MS Win Server 2012 Standard

Intel ( R ) Xeon ( R ) CPU E5-2640 0 @ 2.50GHz 2494 Mhz, 6

Core(s) 12 Logical Processors 16.00 GB 2TB

Secondary Domain Controller 14 svr-tmg-01 Proliant ML150 G6 MS Win Server 2008 R2 Standard

Intel ( R ) Xeon ( R ) CPU E5505 0 @ 2.00GHz 2000 Mhz, 4

Core(s) 4 Logical Processors 4.00 GB 150.00GB

TMG Forefront

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Term of reference

Business Intelligence Project | NAMFISA | 2015-16

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NAMFISA SERVERS

No Name Model OS CPU RAM HHD Applications

15 edge Proliant ML150 G6 MS Win Server 2008 R2 Standard

Intel ( R ) Xeon ( R ) CPU E5505 0 @ 2.00GHz 2000 Mhz, 4

Core(s) 4 Logical Processors 4.00 GB 150.00GB

Mail Relay Server 16 ers-dbvm-01 Hosted by Ers-vm-01 17 ers-mcvm-01 Hosted by Ers-vm-01 18 ers-novm-01 Hosted by Ers-vm-01 19 ers-tp-01 Hosted by Ers-vm-01

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