Page | 1 Reserve Bank of India Request for Proposal for User Acceptance Testing (UAT), Performance Testing (PT) and Data Migration Audit (DMA) of Centralised Information Management System (CIMS) June 15, 2019 This report contains 57 pages This document is the property of Reserve Bank of India (RBI). It may not be copied, distributed or recorded on any medium, electronic or otherwise, without the RBI’s written permission therefore. The use of the contents of this document, even by the authorized personnel / agencies for any purpose other than the purpose specified herein, is strictly prohibited and shall amount to copyright violation and thus, shall be punishable under the Indian Law.
Transcript
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Reserve Bank of India
Request for Proposal for User Acceptance Testing (UAT), Performance Testing (PT) and Data Migration Audit (DMA) of Centralised Information Management System (CIMS)
June 15, 2019 This report contains 57 pages
This document is the property of Reserve Bank of India (RBI). It may not be copied, distributed or recorded on any medium, electronic or otherwise, without the RBI’s written permission therefore. The use of the contents of this document, even by the authorized personnel / agencies for any purpose other than the purpose specified herein, is strictly prohibited and shall amount to copyright violation and thus, shall be punishable under the Indian Law.
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Non-Disclosure Agreement All bidders must sign the Non-Disclosure Agreement (NDA) and submit the same with the technical bid response of the Request for Proposal (RFP) for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralised Information Management System, failing which would result in rejection of the bid. Bidders must comply with all clauses mentioned in the NDA. No changes to the NDA are allowed. The NDA must be executed on the bidder’s company letterhead. The NDA must be signed by the authorized signatory, along with requisite Power of Attorney/ Board Resolution authenticating/ authorizing the signatories of the NDA. If the Power of Attorney/ Board Resolution are not present along with the NDA, the technical bid will be rejected. Draft of the NDA is as under.
(Letterhead of the bidder) Strictly Private and Confidential The Adviser-in-Charge,
Reserve Bank of India Department of Statistics and Information Management (DSIM), Data Warehousing Division, C-9, 3rd Floor, Bandra Kurla Complex, Bandra (East), Mumbai – 400 001, Maharashtra, India
[Date]
[Salutation] Confidentiality Undertaking We acknowledge that during the course of bidding and execution of the services mentioned for Request for Proposal (RFP) floated for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralised Information Management System (CIMS) in Reserve Bank of India (RBI), we shall have access to and be entrusted with Confidential Information. In this letter, the phrase "Confidential Information" shall mean information (whether of a commercial, technical, scientific, operational, administrative, financial, marketing, business, or intellectual property nature or otherwise), whether oral or written, transmitted in written, electronic, magnetic or in any other form, relating to RBI and its business and the same is provided to us pursuant to this Agreement including any and all of the information which may be developed or created, in whole or in part, directly or indirectly, from such information including all notes, summaries, analyses, compilations and other writings. In consideration of you making Confidential Information available to us, we agree to the terms set out below:
1. We shall treat all Confidential Information as strictly private and confidential and take all such steps as is necessary (including but not limited to those required by this Agreement) to preserve such confidentiality
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2. We shall use the Confidential Information solely for the preparation of our
response to the RFP and not for any other purpose
3. We shall not disclose any Confidential Information to any other person or firm, other than as permitted by item 5 below
4. We shall not disclose or divulge any of the Confidential Information to any other
client.
5. This Agreement shall not prohibit disclosure of Confidential Information:
- To our partners/ directors and employees who need to know such Confidential Information to assist with the bidding for RFP floated for User Acceptance Testing, Performance Testing and Data Migration Audit for the implementation of CIMS. We shall take all appropriate actions with respect to our partners/ directors and employees to ensure that the obligations of non-disclosure and confidential information under this agreement are fully satisfied;
- With your prior written consent; - To the extent that such disclosure is required by law; - To the extent that such disclosure is required by law any rule or requirement of
any regulatory authority with which we are bound to comply; and - To our professional advisers for the purposes of our seeking advice. Such
professional advisors will be informed of the need to keep the information confidential.
6. Upon your request we shall arrange delivery to you of all Confidential
Information, and copies thereof, that is in documentary or other tangible form, except:
- For the purpose of a disclosure permitted by item 5 above; and - To the extent that we reasonably require to retain sufficient documentation that is
necessary to support any advice, reports, or opinions that we may provide
7. This Agreement shall not apply to Confidential Information that: - Is in the public domain at the time it is acquired by us - Enters the public domain after that, otherwise than as a result of unauthorized
disclosure by us - Is already in our possession prior to its disclosure to us; and - Is independently developed by us
8. This Agreement shall continue perpetually unless and to the extent that you may
release it in writing
9. We acknowledge that the Confidential Information will not form the basis of any contract between you and us
10. We warrant that we are acting as a principal in this matter and not as an agent or
broker for any person, company, or firm
11. We acknowledge that no failure or delay by you in exercising any right, power or privilege under this Agreement shall operate as a waiver thereof nor shall any
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single or partial exercise thereof or the exercise of any other right, power, or privilege
12. This Agreement shall be governed by and construed in accordance with Indian law and any dispute arising from it shall be subject to the exclusive jurisdiction of the Mumbai courts
Yours sincerely Signature and Stamp of Company [Authorized Signatory (same as signing the proposal) – Testing Partner] Name: Position: Date: We have read this Agreement fully and confirm our agreement with its terms
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Contents 1. Schedule ................................................................................................................... 11 2. Introduction ............................................................................................................... 12 2.1 Background ............................................................................................................ 12 2.2 Purpose of the document ............................................................................................ 13 2.3 Objective of CIMS ................................................................................................... 14 2.4 CIMS Application .................................................................................................... 14 2.4.1 Tier-I: Data Collection Layer (DCL) ......................................................................... 15 2.4.2 Tier-II: Data Processing Layer (DPL) ........................................................................ 17 2.4.3 Tier-III: Final Data Repository Layer (FDRL) .............................................................. 19 2.4.4 Tier-IV: Dissemination and Analytics Layer (DAL) ....................................................... 19 2.4.5 Sandbox Environment ............................................................................................... 22 2.5 Annexure Seeking Response for Evaluation .................................................................... 23 2.6 Eligibility Criteria ....................................................................................................... 24 3. Scope of Work ........................................................................................................ 27 3.1 Definitions ................................................................................................................ 27 3.2 Introduction ............................................................................................................... 28 3.3 Objectives of User Acceptance Testing, Performance Testing and Data Migration Audit ................ 28 3.3.1 User Acceptance Testing & Performance Testing Objectives ........................................... 28 3.3.2 User Acceptance Testing & Performance Testing Process ............................................... 29 3.3.3 Data Migration Audit Objectives .............................................................................. 29 3.3.4 Data Migration .................................................................................................... 29 3.3.5 Data Migration Audit Process .................................................................................. 30 3.3.6 Configure/develop data migration audit tool ................................................................ 30 3.3.7 Understand and Validate Data mapping ...................................................................... 30 3.3.8 Validate data extraction and cleaning ......................................................................... 30 3.3.9 Validate migrated data ........................................................................................... 30 3.3.10 Perform recurring gap analysis ................................................................................. 30 3.3.11 Test Planning and preparation of test cases .................................................................. 31 3.3.12 UAT and Performance Testing ................................................................................. 31 3.3.13 Reporting ........................................................................................................... 33 3.3.14 Review .............................................................................................................. 33 3.3.15 Sign off ............................................................................................................. 33 3.3.16 Deliverables and Timelines ..................................................................................... 34 3.3.17 Service Levels ..................................................................................................... 35 4. Terms and Conditions ................................................................................................... 35 4.1 Broad Terms and Conditions .......................................................................................... 35 4.2 Application ................................................................................................................ 36 4.3 Standards .................................................................................................................. 36 4.4 Governing Language .................................................................................................... 36 4.5 Applicable Law .......................................................................................................... 37 4.6 Notices ..................................................................................................................... 37 4.7 Contract Amendments .................................................................................................. 37 4.8 Use of Contract Documents and Information ...................................................................... 37 4.9 Indemnification .......................................................................................................... 37 4.10 Cancellation of Contract and Compensation ....................................................................... 38 4.11 Earnest Money Deposit and Performance Bank Guarantee ..................................................... 38
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4.12 Resolution of Disputes .................................................................................................. 39 4.13 Delays in the Bidder’s Performance ................................................................................. 40 4.14 Liquidated Damages .................................................................................................... 40 4.15 Force Majeure ............................................................................................................ 40 4.16 Ancillary Services ....................................................................................................... 41 4.17 Prices ....................................................................................................................... 41 4.18 Taxes and Duties ......................................................................................................... 41 4.19 Non-Negotiability on RFP ............................................................................................. 41 4.20 Payment Terms ........................................................................................................... 42 4.20.1 User Acceptance Testing, Performance Testing and Data Migration Audit Cost ........................ 42 4.20.2 Other Payment Terms ............................................................................................... 43 4.20.3 Pre-Bid Meeting ...................................................................................................... 43 5. Evaluation Process ...................................................................................................... 44 5.1 Objective of Evaluation Process ................................................................................... 44 5.2 Technical Bid Evaluation Process................................................................................. 44 5.3 Scoring Methodology for Past Experience and Team Competence ........................................ 45 5.4 Scoring Methodology for Presentation ........................................................................... 47 5.5 Commercial Bid Evaluation ........................................................................................ 48 6 Two Stage Bidding Process ............................................................................................ 48 6.1 Instructions for Tender Submission ............................................................................... 48 6.2 E-Tendering Registration and Bid Submission ................................................................. 49 6.3 General Guidelines ................................................................................................... 49 6.4 Clarification on the Tender Document ........................................................................... 50 6.5 Amendments to Tender Document ............................................................................... 51 6.6 Language of Bids ..................................................................................................... 51 6.7 Period of Bid Validity ............................................................................................... 51 6.8 Format and Signing of Bid ......................................................................................... 51 6.9 Correction of Errors .................................................................................................. 51 6.10 Acceptance or Rejection of Bid ................................................................................... 51 6.11 Duration and Condition of Engagement ......................................................................... 52 6.12 General Terms and Conditions .................................................................................... 52 6.13 Other Terms and Conditions ....................................................................................... 53 6.14 Expenses incurred by successful bidder on the project ....................................................... 54 6.15 Evaluation and Comparison of Bids .............................................................................. 54 6.16 Notification of Award ............................................................................................... 54 6.17 Authorized Signatory for signing the contract .................................................................. 54 6.18 Signing of Contract .................................................................................................. 55 6.19 Right to Reject Bids ................................................................................................. 55 6.20 Vicarious Liability ................................................................................................... 55 6.21 Non Payment of Professional Fees ................................................................................ 55 6.22 Assignment ............................................................................................................ 56 6.23 Non-Solicitation ...................................................................................................... 56 6.24 No Employer-Employee Relationship ............................................................................ 56 6.25 Subcontracting ........................................................................................................ 56 6.26 Integrity Pact .......................................................................................................... 56
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Abbreviations
ADF Automated Data Flow AMC Annual Maintenance Contract API Application Programming Interface ASCII American Standard Code for Information Interchange ATS Annual Technical Support BI Business Intelligence BIS Bank for International Settlements BKC Bandra Kurla Complex BO Business Objects BSE Bombay Stock Exchange BSR Basic Statistical Returns CAS Centralized Analytics Server CCIL Clearing Corporation of India Ltd. CDL Centralized Data Laboratory CEFA Cell for Effective Implementation of FEMA CFR Central Fraud Register CIMS Centralized Information Management System CO Central Office COD Central Office Department CPI Consumer Price Index CR Centralized Repository CRILC Centralised Repository for Information on Large Credits CSD Control Specification Documents CSO Central Statistical Organization DAL Dissemination and Analytics Layer DBA Database Administrator DBIE Database on Indian Economy DBR Department of Banking Regulation DBS Department of Banking Supervision DC Data Centre DCBR Department of Co-operative Bank Regulation DCBS Department of Co-operative Bank Supervision DCL Data Collection Layer DCP Data Collection Portal DCSP Data Collection and Staging Portal DD Demand Draft DEIO Department of External Investments and Operations DEPR Department of Economic and Policy Research DES Data Encryption Standard DIT Department of Information Technology DL Data Lake DNBS Department of Non-Banking Supervision DoC Department of Communication
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DPL Data Processing Layer DPSS Department of Payment and Settlement Systems DR Disaster Recovery DSD Data Structure Definition DSGE Dynamic Stochastic General Equilibrium DSIM Department of Statistics and Information Management DW Data Warehouse DWD Data Warehousing Division EDI Electronic Data Interchange EDW Enterprise Data Warehouse EG Expert Group EIDPMS Export Import Data Processing and Monitoring System ELR Element Based Repository ELT Extract, Load and Transform EMD Ernest Money Deposit EOI Expression of Interest ETL Extract, Transform and Load FAQ Frequently Asked Questions FDRL Final Data Repository Layer FED Foreign Exchange Department FID Foreign Investment Division FIDD Financial Inclusion and Development Department FMOD Financial Markets Operation Department FMRD Financial Markets Regulation Department FSB Financial Stability Board FTP File Transfer Protocol GARCH Generalized Autoregressive Conditional Heteroscedasticity GB Giga Byte HBS Handbook of Statistics HDFS Hadoop Distributed File System IBS International Banking Statistics ICA Indian Certifying Agency ID International Department IDMD Internal Debt Management Department IMF International Monetary Fund INFINET Indian Financial Network IPR Intellectual Property Rights IRDAI Insurance Regulatory and Development Authority of India IS Information Security IT Information Technology JSON JavaScript Object Notation LDAP Lightweight Directory Access Protocol MB Mega Byte MCA Ministry of Corporate Affairs
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MIS Management Information System MOF Master Office File MPD Monetary Policy Department Message Queue MSD Metadata Structure Definition NABARD National Bank for Agriculture & Rural Development NACH National Automated Clearing House NDA Non-Disclosure Agreement NEFT National Electronic Funds Transfer NHB National Housing Bank NLP Natural Language Processing NPCI National Payments Corporation of India OEM Original Equipment Manufacturers OID Overseas Investment Division OLAP Online Analytical Processing OLTP Online Transaction Processing ORFS Online Return Filing System OTP One Time Password OWASP Open Web Application Security Project PCR Public Credit Registry PFRDA The Pension Fund Regulatory and Development Authority PK Primary Key PKI Public Key Infrastructure POC Proof of Concept PSM Production, Support and Maintenance RBI Reserve Bank of India RBR Return Based Repository RDBMS Relational Database Management System ReBIT Reserve Bank Information Technology Private Limited RFP Request for Proposal RTGS Real Time Gross Settlement SAARC South Asian Association for Regional Cooperation SADP Staging Area Data Portal SCB Scheduled Commercial Bank SDMX Statistical Data and Metadata eXchange SEBI Securities and Exchange Board of India SFDB SAARC FINANCE Database Structured Financial Messaging System SLA Service Level Agreement SP Solution Provider SQL Structured Query Language System Requirement Specification STP Straight Through Processing STRBI Statistical Tables Relating to Banks in India
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TB Tera Byte TDS Tax Deductible at Source UAT User Acceptance Testing UCM Unobserved Components Model UI User interface VAR Vector auto regression VECM Vector Error Correction Model WaSP Web Standard Project WSS Weekly Statistical Supplement XBRL eXtensible Business Reporting Language XML eXtensible Markup Language
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1. Schedule
The following is an indicative timeframe for the overall process. RBI reserves the right to vary this timeframe at its absolute and sole discretion and without providing any notice/intimation or reasons thereof. Changes to the timeframe will be relayed to the affected respondents during the process.
In 2002, the Reserve Bank of India (RBI) set up the Database on Indian Economy (DBIE), an enterprise-wide Data Warehouse (DW), with the broad objectives of (a) developing an integrated repository of current and historical data encompassing all operational and research areas; (b) testing a state-of-the-art decision support infrastructure with On-Line Analytical Processing (OLAP) and dashboard capabilities; and (c) creating a user specific data mart based on central repository. Initially, the DW was made operational for web-based access over the closed user group network for users across offices of the RBI. In 2003, the publishable part of the data was made available to the public. Since then, the DBIE has matured and become an important source of data dissemination, including for multilateral agencies, and a platform for bringing out various important publications like the Handbook of Statistics (HBS), the Weekly Statistical Supplement (WSS), the current statistics portion of the RBI Bulletin, the Statistical Tables Relating to Banks in India (STRBI), the Basic Statistical Returns (BSR) of Scheduled Commercial Banks in India, International Banking Statistics (IBS), Outstanding credit of Scheduled Commercial Banks (SCIMS) and Quarterly Statistics on deposits and credit of SCIMS in India. It has also progressively integrated data pertaining to various departments of the RBI, viz., Department of Banking Supervision (DBS), Department of Co-operative Bank Supervision (DCIMS), Department of Co-operative Bank Regulation (DCBR), Department of External Investment and Operations (DEIO), Department of Economics and Policy Research (DEPR), Department of Non-Banking Supervision (DNBS), Department of Payment and Settlement Systems (DPSS), Department of Statistics and Information Management (DSIM), Department of Communication (DoC), Foreign Exchange Department (FED), Financial Inclusion and Development Department (FIDD), Financial Markets Operations Department (FMOD), Financial Markets Regulations Department (FMRD), Internal Debt Management Department (IDMD), International Department (ID) and Monetary Policy Department (MPD). All returns from banks through eXtensible Business Reporting Language (XBRL) format are also integrated into the DW. Data from various government agencies viz., the Central Statistical Organisation (CSO), the Labour Bureau, the Office of Economic Adviser, Ministry of Corporate Affairs and financial markets data from the Clearing Corporation of India Limited (CCIL) have also been integrated to the DW. In 2016, the South Asian Association for Regional Co-operation (SAARC) Finance Database was also integrated into the DW. Also, the Central Fraud Registry (CFR) and Centralised Repository for Information on Large Credits (CRILC) were developed and integrated into the DW. With increasing demand for micro-level data hitherto processed in various departments of RBI to be integrated with the DBIE, it is increasingly being confronted with obsolesce of technology and binding constraints on the required scalability. The advent of big data, including unstructured data, has made the problem even more acute. Increasingly, the existing architecture is not able to cope up with the scalability required for handling the expanding needs of both macro and micro data and the changing pattern of data flow (Figure-2.1). The implementation of CIMS Solutions (CIMS) in commercial banks and on-line reporting has provided additional dimensions to the challenges facing the DBIE.
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Figure-2.1: Change in Data Flow in 2002 vis-à-vis 2018
Considering the changes in the environment of the Bank and its regulated entities due to (a) organisational restructuring of RBI; (b) implementation of information technology systems in various operational departments of the Bank; (c) implementation of CIMS in commercial banks; (d) growth of the data requirements (structured and unstructured); and (e) implementation of online reporting platforms such as eXtensible Business Reporting Language (XBRL), the Centralised Information Management System (CIMS) project for overhauling of the DW was taken up.
2.2 Purpose of the document
RBI is in process of selecting a vendor for development and implementation of CIMS. The project will be executed in various phases commencing from understanding the bank’s existing data warehouse, IT systems, providing software solutions and implementation and customization of the proposed solution. The purpose of this document is to appoint a vendor to conduct the User Acceptance Testing, Performance Testing and Data Migration Audit of the proposed CIMS application, before it is put to production.
CIMS project covers three broad areas-
i) Automation of data transmission from source entities (banks / regulated entities) to the CIMS
ii) Implementation of end-to-end Hadoop based Data Lake (DL) for data collection, processing and dissemination which will be sourced from internal systems of RBI, regulated entities, other regulators, market data from Clearing Corporation of India Limited (CCIL), various macro-economic data from various Government systems and
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sites, other agencies, National Payment Corporation of India (NPCI) and online big data streaming. All data in the existing DW of RBI and exploratory big data system will be migrated in the CIMS. All the existing facilities will be provided in the CIMS along with new functionalities.
iii) Development of a state-of-the-art analytical system using latest tools for data analytics and visualizations including revamping of entire existing DBIE website. This will include Data Science Laboratory, Granular Data Access Laboratory and Sandbox.
2.3 Objective of CIMS
The CIMS project has been taken up with the following objectives: • Seamless data collection by building system-to-system interface with various source
systems supporting various formats e.g., XBRL, SDMX, CSV, JSON, etc. • Data collection/ consumption using APIs, data collection from internal systems of RBI
using database-to-database connection, data collection using e-mail attachment and screen-based data collections.
• Providing end-to-end data governance by implementing system driven data validation, data tracking, data lineage and data review to improve data quality.
• Building flexible and scalable data repository including structured/ unstructured high volume/high frequency big data.
• Providing a state-of-the-art data dissemination platform for internal and external users by implementing a global search engine, interactive graph facilities with scenario building capabilities, data download facilities from dashboard and by adopting international data exchange standards like CSV, JSON, XML and SDMX.
• Creating a centralised analytics platform to facilitate research across the domain. • Implementing big data analytics based on real-time data capture and processing. • The proposed CIMS should be deployed in the existing RBI data centres. The Information
Technology (IT) infrastructure should comply with the various RBI data centre policies including Information Security (IS) policy of the Bank and business continuity. The CIMS solution should be compatible with widely used operating systems and browsers for web-based access. The CIMS application should be bilingual facilities of English and Hindi based on selection of Language in the user interface/ web portals.
2.4 CIMS Application
The following broad areas should be covered while testing the CIMS Solution. The bidder should perform user acceptance, performance and data migration audit for the below mentioned layers of CIMS system. The bidders may also refer to the Expression of Interest (EOI) document for CIMS project which is available at https://www.rbi.org.in/Scripts/BS_ViewTenders.aspx?Id=2953
• Tier-I: Data Collection Layer (DCL) (including other big data related requirements) • Tier-II: Data Processing Layer (DPL) • Tier-III: Final Data Repository Layer (FDRL) • Tier-IV: Dissemination and Analytics Layer (DAL) (including other big data related
The conceptual solution architect/ framework have been provided below:
Figure 2.2: Conceptual architecture of CIMS
2.4.1 Tier-I: Data Collection Layer (DCL)
The following are the delivery channels for data collections:
2.4.1.1 System-to-System direct data transfer The banks/ entities are having multiple Online Transaction Processing Systems (OLTP) which is connected to single system at bank end which is known as Automatic Data Flow (ADF) server. This system is basically the Data Warehouse or Master Management Information (MIS) system of the bank. The banks will make the returns/ data available (after data quality checks at their end) in a specific area at their ADF system. These return/ data will be accepted by CIMS in automatic manner with system-to-system interface. Data collection from various RBI internal IT systems viz. RTGS, NEFT, eKuber (Core Banking Solution of RBI), CISBI (bank and branch master office data along with geo locations), Public Credit Registry (PCR) https://rbidocs.rbi.org.in/rdocs/content/pdfs/EOI27102018_A1.pdf), ARS1, Cyber Security and Information Technology Examination (CSITE), iSOC, EMS and other systems of Data Center. Collection of data from IT systems of NPCI like NACH and other retail payment systems, market data from CCIL IT systems, Ministry of Company Affair (MCA), websites of various GOI departments and other agencies, data collection from websites of other regulatory institutions viz
1 Audit Regulation System (ARS) and Cyber Security and Information Technology Examination (CSITE) applications of Department of Banking Supervision (DBS) of the Bank are under development. Application for CSITE is a comprehensive audit management system which has been proposed for end-to-end workflow automation of activities of issuance and compliance monitoring/tracking of the time bound instructions/circular/advisories issued by DBR, DBS, EFD and CSITE (DBS) for effective and timely enforcement action. The application will also provide support for activities of CSITE (DBS) such as incident reporting by the bank, submission of returns, monitoring of returns, IT examination report issuance, tracking compliance etc. The ARS application will be providing functionality for selection /appointment and approval process of Statutory Branch Auditors (SBA) of PSBs. These applications will continue as separate applications outside CIMS. The selected bidder should test & confirm both these applications which will be integrated with CIMS and check that all data is moved to CIMS along with the availability of generating outputs/ reports from CIMS.
SEBI, PFRDA, NHB, IRDAI, NABARD, DICGC etc. The vendor is required to carry out the end to end testing relating to system-to-system interfacing from banks/entities to RBI.
2.4.1.2 File upload in secure web portal Data Collection and Staging Area Portal (DCSP) of CIMS will have the data upload facilities which will be accessed by data provider and various central office departments of the RBI for uploading pre-formatted file.
2.4.1.3 Data transfer using e-mail attachment Data collection using pre-formatted file vide email attachments which are processed through automated jobs developed using ETL. Data collections are fully automated from the reporting entities system (wherever exists) to CIMS.
2.4.1.4 Application Program Interface (API) technology Collection of data using API based technologies by calling the API by the data provider in a secured manner. The API’s should be customizable to serve the varying needs from time to time and should support ingestion of structured, semi-structured and unstructured data.
2.4.1.5 Screen-based data collection Collection of data using secure web forms (screen-based forms) along with the validation logic. The web forms are dynamic screens generated based on the metadata repository and tools or applications.
2.4.1.6 Big-data collection Structured and Unstructured big-data using various technologies like web scrapping, social media data streaming, news data streaming, API based data streaming etc. Interface with 9 online stores.
2.4.1.7 Details of data and data sources
Table 2.1: The details of data and data sources are provided in the following table: Serial
No Data Description Data Sources
1 Data in the form of 254 returns. Commercial banks, financial institutions, co-operative banks, regional rural banks, primary dealers, NBFC’s and other regulated entities. A comprehensive list of returns is published by RBI along with formats/ templates of the returns which are available at (https://www.rbi.org.in/Scripts/BS_Listofreturns.aspx).
2 Surveys data for the following surveys: • Services and Infrastructure Outlook Survey
(SIOS) • Industrial Outlook Survey • Quarterly Order Books, Inventories and
Capacity Utilization Survey (OBICUS) • Bank Lending Survey (BLS) • Consumer Confidence Survey (CCS) • Inflation Expectations Survey of
• Survey of Foreign Liabilities and Assets of Mutual Fund Companies
• Survey on Foreign Collaboration in Indian Industry
• Computer Software and Information Technology Enabled Services (ITES) Exports
• Coordinated Portfolio Investment Survey (CPIS)
• International Investment Position (IIP) • Annual census on Foreign Liabilities and
Assets and estimate of FDI reinvested earnings for BoP Compilation
• Annual Survey on India’s Foreign Liabilities and Assets of Mutual Fund Companies
• Coordinated Direct Investment Survey • Annual Survey on International Trade in
Banking Services • Survey on Foreign Collaboration in Indian
Industry • Survey on Indian Startup Sector (SISS) • Survey on Payment Habits (SPH) • Professional Forecasters Survey • Banking Services Price Index
3 Macroeconomic data on Indian Economy and SAARC countries
Systems/ websites of various Government Departments and other agencies, central banks of SAARC countries
4 Payment system data, data on central banking, public debt management, market data and operation on foreign exchange investment and management, accounting of government transactions and currency managements.
Various IT systems of RBI.
5 Structured and unstructured big data Online data collections from various web sites using big data technologies
The data collected from various delivery channels and sources support the formats including the following:
- ASCII format like CSV - XBRL - SDMX - Xml; and - JSON
2.4.2 Tier-II: Data Processing Layer (DPL) 2.4.2.1 Data Collection and Staging portal
A full-fledged Hadoop based web portal of CIMS named as Data Collection and Staging Area Portal (DCSP) is available to the data provider and various central office departments of the RBI. All data collected from banks are confidential and data security is utmost important. Also, there
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are data providers (survey participants – households and corporates) who do not have access to INFINET and therefore, will access CIMS using Internet. The DCSP is accessible over INFINET and secure Internet. The basic objectives of this portal are as follows:
• Monitoring data collections from all delivery channels in a single platform; • Communicating results of data quality validations/ checks to data provider and concerned
department of RBI; • Data revision/ data audit by the data provider; • Data collection using file upload; • Providing summarized view and dashboards to data provider and departments of RBI; • Rule based data validations; • Data lineage, monitoring usage of computing resources, archiving and restoring data and
regular data backup • Encryption of data at various stages (e.g. data in transmission, data in repository and data
sharing) • User management relating to all the facilities of CIMS;
2.4.2.2 Data validations
Following types of validations along with other features should be tested by the bidder for data quality improvements:
• Data format validations which includes file format validations, file header validations (like
check sums), file types, etc. These validations should be carried on as soon as the file/ data are received and error logs with pin pointing errors should be communicated to the data provider using system driven e-mails and the same files should be available in the DCSP.
• Data content validations should be carried out for each and every data element based on the business rule defined.
• Statistical data quality validations should be tested by checking abnormal variations. • International Financial Reporting Standards (IFRS) or Indian Accounting Standards (IND-
AS) should be tested & validated as the case may be. The solution should comply with General Data Protection Regulation (GDPR) guidelines.
• Data validations within return/ element and across returns/ elements which can be easily changed as and when required.
• Validation logic for data validation during or after data collection based on the data loads. • Statistical data validations for all new migrated data which is collected like 3-sigma (both
sides) based on latest 30 data points for each data series separately along with the generation of alerts/exceptional report for such data.
• Results of validation either success or error is communicated to user via e-mail alerts. • Availability/ accessibility of the relevant user who can view specific error and take action
accordingly and check that the error messages are appropriate and lead to action required to be taken by data provider.
• Facility of maintaining contact details of all the data providers, system connection details, status of the returns whether submitted, revised, audited, etc.
• All existing migrated taxonomies with existing data validation logic and new taxonomies.
2.4.2.3 Big-Data Processing There should be a facility of big-data processing sub system wherein the unstructured and structured data collected should be processed using appropriate technologies. The bidder should test and confirm that the system is able to clean, process and extract relevant information from unstructured data and convert it into a structured usable data according to a defined data structure and schema. The standard text-mining techniques together with natural language processing (NLP) techniques should be applied to the extracted news (especially topic modelling and sentiment
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analysis), for compilation of economic activity indicator. One example workflow: For posts related to “inflation”, “price” etc. within the geographical boundaries of India is required to be classified into three categories (rise, fall, no change – in inflation). A set of pre-classified posts (text) should be provided without the label. 2.4.2.4 End to End Survey Management There are multiple surveys conducted by RBI. The system conducts all these surveys online using portal-based facilities and mobile app-based surveys launches. For launching various surveys, CIMS solution is accessed using internet-based portal since the end users are common persons or companies. The system is user friendly and includes all the existing surveys. The system is designed in such a manner that any new surveys or data collection forms can be launched with very minor efforts. The list of the existing surveys conducted by RBI is provided in Table 2.1.
2.4.3 Tier-III: Final Data Repository Layer (FDRL)
2.4.3.1 Following capabilities with respect to data and metadata repository is available in CIMS:
• Screen based interface for meta data management • Data element configuration and storage in meta data repository • Linking data elements with harmonised definitions along with dimensions of the data,
its attributes and measures • Mapping database with elements and existing returns • Data repository to house raw data, master data, aggregated analytical data, unstructured
and semi structured data • Data repository to process and store data in real time and batch mode • Structured, semi structured and unstructured data processing in batch and real time • Scheduling jobs, creating pipelines/ workflows, configuring business rules • Monitoring or handling software/ hardware failures/ corruption
2.4.3.2 “Return Based Repository (RBR)” which stores all the return-based metadata and data. All the standard reports, dashboards, queries and publications are generated from RBR. 2.4.3.3 A parallel repository based on SDMX standard using element-based metadata and data repository is available in CIMS. This repository is named as “Element Based Repository (EBR)”. 2.4.3.4 The CIMS solution includes configuring elements, return master management, relationship between element and returns, generation of various reports e.g., base reports for each return for specific entity, group of entities, dash boards, data filtering, etc. 2.4.3.5 There is facility to broadcast/ transmit metadata as and when changed to all the banks/ entities in SDMX (XML) format for system driven (automatic) updates at their end. Proper version control of various definition and element dictionary are maintained. 2.4.4 Tier-IV: Dissemination and Analytics Layer (DAL)
The following functionalities with respect to data dissemination and centralized analytics are available in CIMS: 2.4.4.1 Web Portal for Data Dissemination
• Checking of all the reports and dashboards of CIMS. Kindly refer to Annexure 3 (Data
Collection from various government agencies and other sources) for the list of reports. • Facility for saving the data and analysis results/graphs in local PC/device and also to
export in various popular formats like docx, Excel, pdf, etc.
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• Capturing of binary feedback for reports • Interactive reports – Users should be able to give some input like date, frequency, etc.
Features like drill up, drill down, drill through • Dynamic reports – Capabilities to change objects like chart types, table types, colours,
etc. at run time. Also, capability to add/remove dimensions and measures dynamically
2.4.4.2 Web portal for Centralised Analytics
Some data series/ reports/ dashboards may be confidential meant for select users and is accessible only after secure login. The access to data elements, reports, dashboards, centralised analytics and other facilities are provided to users of the CIMS based on the access rights allotted to the user. The important features are as follows:
• Centralised data science laboratory (CDSL) facility • Analytical layer that should be capable of carrying out all advance Statistical and
Econometrics analysis • Facility for saving the data and analysis results/graphs in local PC/device and also to
export in various popular formats like docx, Excel, pdf, etc. • Ad-hoc query facility and data visualization, Map based search for locating bank
branch • Copy / install off-line data feature for further analysis in offline mode • Interactive reports – Users should be able to give some input like date, frequency, etc.
Features like drill up, drill down, drill through • Dynamic reports – Capabilities to change objects like chart types, table types, colours,
etc. at run time. Also, capability to add/remove dimensions and measures dynamically
2.4.4.3 Big Data Analytics and Reports
• Transparency Index based on the various documents/ policy announcements made in public using Text Mining technology.
• Now casting facility based on various Time series data available in CIMS and unstructured data collected using big-data collection mechanism.
• Interface to collect search index data from relevant sources which will be used for various analytical/research purposes.
• Market intelligence facilities based on news streaming data. • The facility to collect data in structured or unstructured form (e.g., test file, excel file,
pdf file etc.) from various Government websites, systems of SEBI, PFRDA, NHB, IRDAI, NABARD, any other government organisation/ institutions, international institutions and central banks.
2.4.4.4 Other Facilities
• Survey portal and survey mobile app, user management portal for access and data
governance • Responsive web design, browser compatibility • Global search facility across CIMS for structured/semi structured/ unstructured
data, reports and metadata • A comprehensive data index (meta-data) for search of data elements and facilities in
the CIMS • Search using various options like – ‘search with all these words’, ‘activate
synonyms and abbreviations’, ‘search with exact phrase’, ‘search with one or more of these words’, ‘case sensitive search’ and ‘do not include these words’
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• Search feature to do auto correction • Search engine with catalogue and hyperlink for easy navigation for end user • Facility for the user to search data elements in user-friendly manner and once the
element is selected the option is provided to view the data or dashboards with time series; viewing data series in tree (hierarchy) format with drill down and roll-up facilities and with options for selecting actual series or its select functional forms, viewing set of selected data series in tabular format/ interactive dashboard (with varying time selection), and downloading of selected series for selected time period in excel/ csv/ pdf/ xml etc. format; facility of exporting of dashboards (selected period) in image form/ otherwise.
• Off-line data cube preparations with proper security and authentication to enable users to access data when they do not have proper connectivity.
• User-friendly and dynamic interface to check the centralized analytics solutions with in-built information security layers for providing different types of access rights to data and analytics.
• Search engine with catalogue and hyperlink for easy navigation and the facility to bring the user’s own data into a temporary storage to enable data appendage.
• Facility for downloading large data, which is technically feasible with proper masking to be made available to authorized users.
• Facility for accessing data by using mobile applications and through Application Program Interface (API).
• Facilities to download data in Excel format, XML, PDF, SDMX, XBRL and ASCII. • Compatibility of CIMS solution with all latest browsers such as IE, Microsoft edge,
Chrome, Android Browser, UC Browser, Opera Mini, Dolphin browser and Safari. • Site directory which provides the location of each report and publication in a
structured and levelled manner placed on the website. • Integration of CIMS solution with Government approved maps to integrate
geographical/locational information on digitized map and pictorial representation of data with dynamic zoom facility so that information can be searched/presented from text to map and vice versa.
• Facility of carrying out all advance Statistical and Econometrics analysis (including Neural Network, Machine learning, FAN chart, predictive analysis, data mining, artificial intelligence, etc.) of the data.
• Extraction of required data directly from CIMS from final repositories (DW and DL) and from staging area data repositories based on access rights
• Facility for saving the analysis results/graphs in local PC and exporting the results in various popular formats like docx, Excel, pdf, etc
• Option to save the results of one analysis as the inputs for another analysis • Functionality where several concurrent users are doing the analysis without any
compromise on speed and connectivity • The provision/ availability of Frequently Asked Questions (FAQ), tutorials and
drag-and-drop interface 2.4.4.5 Visual Analytics Advance features of visual analytics are as follows:
• Change graph type • Add/delete variables • Change the time scale • Copy & paste in word/excel along with data and metadata
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2.4.4.6 Search option
• Search with all these words • Activate synonyms and abbreviations • Search with these exact phrase • Search with one or more of these words • Do not include these words • Frequency of report • Case sensitive search • Period based search
2.4.4.7 Shadow Banking International Department (ID) is the nodal department for collecting said data in the format as prescribed by Financial Stability Board (FSB). Presently, data from various regulators (such as SEBI, PFRDA, NHB, IRDAI, NABARD) along with RBI’s internal departments (Viz. DNBS, DBS, IDMD, FMRD, FMOD, DCBS and DEPR) are received at and consolidated by ID, which is finally reported to FSB. 2.4.4.8 Data Science Laboratory (DSL)
RBI as a full-service Central Bank, with diverse responsibilities such as inflation management, currency management, debt management, reserves management, banking regulation and supervision, financial inclusion, financial market intelligence and analysis, and overall financial stability has the facility of employing relevant data and applying the right filters for improving its forecasting, nowcasting, surveillance and early-warning detection abilities that all aid policy formulation. In the backdrop of ongoing explosion in information gathering, computing capability and analytical toolkits, policy making benefits not only from data collected through regulatory returns and surveys but also from large volumes of structured and unstructured real-time information sourced from consumer interactions in the digital world.
Accordingly, there is a facility of Data Sciences Lab module within the CIMS. This facilitates the users of the CIMS to carryout data science related activities across various business domains including structured and unstructured data.
2.4.4.9 Granular Data Access Lab (GDAL)
A separate laboratory named Granular Data Access Lab (GDAL) is created by the bank by providing required office space, Personal Computer (PC) with LAN connection and network printer. There is also a facility of secured granular data access to the researcher/ academicians who will be accessing the CIMS from the GDAL. The system allows creating such users who only can view, write and execute computer programme in a controlled manner in the GDAL. The system allows disabling of USB drive, CD drive, e-mails, data download from CIMS, etc. Once the activity of the researcher/ academicians is completed, the aggregate level data is made available for printing/download after obtaining approval from authorised officer of the bank. Once data is provided, the system disables the data download/printing facility for the user.
2.4.5 Sandbox Environment
A full-fledged sandbox environment is part of CIMS application. This environment will be used by the Bank for testing various new technologies like blockchain, FinTech and digital banking, etc.
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2.4.5.1 The Sandbox is having the following features: • The regulatory sandbox–need and purpose: A regulatory sandbox refers to live
testing of new products or services in a controlled/test regulatory environment. Regulatory and supervisory authorities may have an active role to play in sandbox arrangements as they may permit certain regulatory/supervisory relaxations to the entities testing their products in the sandbox.
• The users of a sandbox should be able to test the product’s viability without the need for a larger and more expensive roll out. Testing should be done to check that the sandbox leads to better outcomes for consumers through an increased range of products and services, reduced costs, and improved access to financial services.
• The major challenges of the regulatory sandbox are the issues arising out of customer and data protection.
2.5 Annexure Seeking Response for Evaluation
A detailed set of annexures is provided to the bidder for formulation of responses for evaluation. The bidder is expected to complete and submit these as a part of their technical and commercial bids. The list of such annexure is provided below:
Table 2.2: Annexure Seeking response for Evaluation
Annexure Reference Number
Content Name of the File
ANX1 User Acceptance Test, Performance Test & Data Migration Audit Test Plan
ANX_TestPlan.doc
ANX2 Audit Tools, Methodology and Approach
ANX2_Audit_Tools_Methodology_Approach
ANX3 Confirmation of Terms and Conditions
ANX3_ConfirmationOfTermsAndConditions.doc
ANX4 Confirmation to Deliver ANX4_ConfirmationToDeliver.doc ANX5 Confirmation of Eligibility ANX5_ConfirmationOfEligibility.doc ANX6 Submission Checklist ANX6_SubmissionCheckList.doc ANX7 Technical Bid Form ANX7_TechnicalBidForm.doc ANX8 Commercial Bid Form ANX8_CommercialBidForm.doc ANX9 Pre-bid Query Form ANX9_PreBidQueryFormat.doc ANX10 Commercial BOM for Project ANX10_Commercial BOM.doc
As mentioned in the table above, the bidder is expected to provide, as a part of the technical bid, a detailed document that explains the User Acceptance Testing, Performance Testing and Data Migration Audit plan, test process standards, test methodology and approach, entry and exit criteria proposed by the bidder for the proposed User Acceptance Testing, Performance Testing and Data Migration Audit.
The “Approach and Methodology” adopted for the User Acceptance Testing, Performance Testing and Data Migration Audit would be evaluated by RBI and should minimum include below:
• Testing tool and capabilities • Test methodology and approach • Data migration audit tools and capabilities • Data migration approach • Project Plan • Sample Deliverable Format
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2.6 Eligibility Criteria
The bidder must fulfil the criteria mentioned in the table below in order to bid for the CIMS User Acceptance Testing, Performance Testing and Data Migration Audit tender.
1. The company should be a dedicated testing and data migration audit firm or a firm having a dedicated business line / practice for testing of software products and data migration audit experience for minimum 3 years as on March 31st, 2019
Past Experience in conducting User Acceptance Testing, Performance Testing and Data Migration Audit of DW/DL in BFSI or Telecom sector
Attested documents of MoA or similar documents. Self-attested documents stating the details of the company and the business line / practice executing testing activities and acknowledgement letters of past credentials for the past 3 years from bidder’s clients.
2. All companies must have a permanent establishment with adequate technical staff (minimum 100 on-roll staff members) for testing work in India. Note: All bidders must ensure that the name of the legal entity on the technical proposal must correspond to the name on the financial statements.
1. The company should have a presence in India for at least 5 years as on 31st March’19 2. The company must be profit making company for the last three years and its net worth should be positive 3. The company must have a dedicated testing team of minimum 100 personnel 4. The company or any of its subsidiaries / related legal entities should have never been blacklisted / barred (temporary or permanent) / disqualified by
Attested copies of the Certificate of Incorporation and Financial Statements for last three financial years; 2016-17, 2017-18 and 2018-19. For staff strength, attested copies indicating the breakup of staff is required.
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any regulator / statutory body in India or internationally 5. Company must have an average annual financial turnover of at least Rs 1 Crore during the last three years ending 31st March, 2019
3 The company should not have participated in the bidding process (includes RFP only) for the “Implementation of CIMS Solution for RBI” RFP released by the Bank.
All CIMS Solution OEM / Product Vendors are debarred from bidding for this tender
4 Past experience in conducting on-site, User Acceptance Testing, Performance Testing, Data Migration Audit of similar solution in BFSI or Telecom sector
Experience should be in User Acceptance Testing, Performance Testing, Data Migration Audit
Acknowledgement Letter on the client’s letterhead indicating, but not limited to, the scope of work for which the User Acceptance Testing, Performance Testing, Data Migration Audit was performed. The letter should clearly indicate satisfactory completion of the above scope of work by the bidder.
5 Team Competence The bidder must propose a detailed team composition for the defined scope in the document There should be a minimum of 4 Team Leaders proposed for testing the functionalities for Modules pertaining in solution with respect to 1. Data collection Layer 2. Data Validation, Processing and Governance Layer 3. Data Repository Layer 4. Data Dissemination Layer
RBI envisages a structure headed by a project manager supported by professionals and/or subject matter experts qualified and experienced in the areas of the User Acceptance testing, Performance Testing, Data Migration Audit and Big Data. The Project Manager should
CVs of the team proposed clearly outlining their respective areas of experience The past experience details of the team proposed should be in sync with the past experience details of company provided in response to this RFP
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The above team leaders proposed should have experiences in the User Acceptance testing, Performance Testing and Data Migration Audit of the above functionalities. The bidder must propose a testing team of minimum 16 personnel.
have minimum 5 years of project management experience including a minimum 2 years of User Acceptance testing, Performance Testing, Data Migration Audit and Big Data experience. Each team member should have banking domain knowledge and should have minimum 1 year of the User Acceptance testing, Performance Testing and Data Migration Audit experience
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3. Scope of Work
3.1 Definitions
3.1.1 "CIMS Application"/ “Centralised Information Management System” for RBI shall primarily include modules like system-to-system direct data transfer, file uploads, API’s, screen based data collection, return and element based data collection; macro and micro/ granular data collection, structured and unstructured big data collection; data validation and processing; return based and element based data repository; data converter from return based to element based; data dissemination and distribution; data analytics; user management; reports; dashboards, sandbox environment; data science laboratory; granular data access lab etc. as mentioned in this document. 3.1.2 “Application Software” refers to the CIMS Application implemented by the CIMS Vendor at RBI. 3.1.3 “CIMS RFP” refers to the RFP floated by Reserve Bank of India to select a CIMS Vendor to implement CIMS application at RBI. The CIMS RFP would be provided by the Bank to the successful bidder. 3.1.4 " “User Acceptance Testing " is defined as verifying that the CIMS Application fulfils the requirements of RBI by performing software testing activities, but not limited to, the below activities:
• Understanding the business and functional requirements specified in the documentations provided by the bank and preparing a comprehensive Test Plan.
• Formulating the test cases for the test scenarios identified in the Test Plan, in order to provide conformity to all the requirements mentioned in the documentation provided by the bank.
• Configuring and using an automated testing tool to carry out the testing. • Executing all the test cases and recording the outcomes. • Reporting all the defects encountered during the test and working with the CIMS
vendor for their resolution. • Submitting all the testing documentations to the bank along with a Final Test
Summary report with an assurance of meeting the bank's acceptance criteria. 3.1.5 “Performance Testing” is defined as verifying that the CIMS application is stable and can perform well under its expected workload, anticipated workload, when workload is given continuously and when the load is suddenly and substantially increased including but not limited to, the below activities:
• Identifying the desired performance acceptance criteria. • Planning performance tests with different workload scenarios. • Testing environment configuration. • Testing design implementation as per the test plan and design. • Testing execution and analysing the resultant data. • Generating performance analysis report with all performance attributes like
response time. • Retesting in case if any bugs found/ reported are fixed.
3.1.6 “Data Migration Audit” is defined as auditing the data migration from source systems to the CIMS, including but not limited to, the below activities:
• Understanding and validating the data mapping provided by CIMS vendor. • Configuring automated data audit tool for auditing the migrated data. • Obtaining the data from the source systems.
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• Obtaining the migrated data from CIMS solution. • Performing an audit of migrated data vis-à-vis source data to provide a ‘Data
Migration Audit Report’ highlighting errors in the data migrated to CIMS. • Working with CIMS vendor to correct data migration errors and providing an
assurance for efficiency of the data migration process and stability of the data environment (data relationship maintenance) and, providing a ‘Final Compliance Report’.
3.1.7 “Bidder” is defined as the vendor who performs all activities as mentioned above. 3.1.8 “CIMS Vendor” is defined as vendor for the Centralised Information Management System
3.2 Introduction
3.2.1 Description of the envisaged scope is enumerated in the subsequent sections. However, RBI reserves its right to change the scope of the RFP considering the size, complexity of the project, variety of requirements and the changing business conditions being the rule setter for banking and non-banking financial sectors. 3.2.2 RBI is in process of selecting vendor for development and implementation of CIMS. Through this RFP, RBI is seeking the services of a professional testing vendor, to assist the Bank in carrying out the User Acceptance Testing, Performance Testing and Data Migration Audit of the CIMS application. 3.2.3 Based on the contents of the RFP, the bidder shall be required to provide the proposal for User Acceptance Testing, Performance Testing and Data Migration Audit, which is suitable for RBI, after taking into consideration the effort estimated for execution of the same and the resource and the equipment requirements. RBI expressly stipulates the Bidder’s selection under this RFP is on the express understanding that this RFP contains only the principal provisions for the entire assignment and that delivery of the deliverables and the services in connection therewith are only a part of the assignment. The Bidder shall be required to undertake to perform all such tasks, render requisite services and make available all such resources as may be required for the successful completion of the entire assignment at no additional cost to RBI notwithstanding what is stated here and what is not stated but underlying intent. 3.2.4 The bidder has to envisage all necessary services to be provided and ensure the same is delivered to RBI. 3.2.5 RBI will not accept any plea of the bidder at a later date for omission of critical services on the pretext that the same was not explicitly mentioned in the RFP. 3.3 Objectives of User Acceptance Testing, Performance Testing and Data Migration
Audit
3.3.1 User Acceptance Testing & Performance Testing Objectives
3.3.1.1 The bidder is expected to provide an assurance for the testing of CIMS application conforming to all the requirements mentioned in the CIMS RFP and Control Specification documents provided by the Bank. In order to achieve this objective, the following are required to be taken care by the selected vendor: 3.3.1.1.1 Must understand the CIMS requirements relating to data collections, validations, metadata and data repository, data dissemination and analytic and information security aspects to prepare Test Plan 3.3.1.1.2 Must prepare detailed test script and tool-based tracking 3.3.1.1.3 Must discuss the test scripts with RBI and finalise 3.3.1.1.4 Execution of test scripts, sharing information with CIMS vendor for logical conclusion
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3.3.1.1.5 Providing regular report to RBI for monitoring and tracking the activities 3.3.2 User Acceptance Testing & Performance Testing Process 3.3.2.1 The selected bidder is required to conduct end-to-end User Acceptance Testing, Performance Testing, Data Migration Audit for the implemented CIMS solution including all necessary interfaces, customizations & other applications required for the successful rollout of the CIMS solution across identified locations across the Bank. 3.3.2.2 The bidder is expected to go through all the business requirements as mentioned in the document to gain an understanding of the CIMS modules and existing applications. 3.3.2.3 The bidder is expected to go through the functional requirements specified in the CIMS RFP to be provided by the Bank, to ensure that the test scenarios identified by the bidder provides comprehensive coverage of all aspects of functionalities of the CIMS application. 3.3.2.4 Regression Testing: The bidder is expected to carry out the regression testing to ensure that the code changing in the CIMS application while fixing the issue by CIMS Vendor should not impact the existing functionality of the product. 3.3.2.5 The User Acceptance Testing, Performance Testing and Data Migration Audit process should incorporate, but not limited to, the below indicative stages:
• Test Planning & preparation of test cases • Testing • Regression testing • Performance testing • Reporting • Reviewing • Sign-off
3.3.3 Data Migration Audit Objectives
3.3.3.1 The selected bidder to provide an assurance that data requirements for CIMS have been appropriately identified and documented. 3.3.3.2 To provide an assurance that sources for data have been appropriately identified and documented by understanding and validating information such as system source files, manual forms (if any used), new data collected for CIMS, data mapping document etc. 3.3.3.3 To provide an assurance, that the existing source data is accurately and completely migrated by understanding and validating migration controls such as record counts / check sums etc used for the process and performing automated tool-based audit of the migrated data vis-à-vis source data.
3.3.4 Data Migration 3.3.4.1 The selected bidder should be responsible for data migration audit of all the existing data during migration process. All necessary tools/ queries required for extraction/ transformation and migration should be provided by the selected bidder. It is the selected bidder’s responsibility to ensure quality, accuracy, integrity and completeness of the data migration from legacy applications to CIMS application. 3.3.4.2 To facilitate understanding of the data in the existing applications, Bank shall make available necessary support (manpower and knowledge of formats) of the existing vendor. The necessary access to the database and systems will be provided by RBI for bidder to test. The selected bidder should engage a separate team to decide on data migration test strategy and carryout actual data migration concurrently with other phases of the project.
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3.3.4.3 The bidder should test/ensure that all required fields available in the existing system and required for the CIMS are properly migrated. The bidder is required to assure and certify completeness and accuracy of migrated data. 3.3.4.4 It is clarified that the ownership of data will at all times remain with RBI and the Bidder should be responsible to maintain complete confidentiality of the same.
3.3.5 Data Migration Audit Process 3.3.5.1 RBI is in a process of appointing a vendor for development and implementation of CIMS. The bidder is expected to go through this document and gain an understanding of the CIMS project. 3.3.5.2 The bidder should formulate and share a data migration audit plan with the Bank incorporating activities to be covered as a part of data migration audit. 3.3.5.3 The bidder should understand and validate the data migration which involves the data migration from Source Systems to CIMS, including but not limited to:
• Data migration strategy and methodology • Data migration scope • Data migration work plan • Data testing approach
3.3.5.4 The bidder should also analyze and validate the tools/queries/scripts for extraction, transformation and migration of data.
3.3.6 Configure/develop data migration audit tool All the necessary tools required for the data migration testing and audit can be proposed by the bidder. If the bidder proposes an automated tool, the Bank may decide to purchase the license of the automated tool post successful evaluation / demonstration of the tool by the bidder. 3.3.7 Understand and Validate Data mapping The bidder is expected to understand and validate the mapping of source data fields to CIMS data fields. The bidder should also validate the method used to create any fresh data fed into CIMS. 3.3.8 Validate data extraction and cleaning The bidder is expected to understand and verify the integrity of data extracted from the Source Systems and the data cleansing rules/methodologies. 3.3.9 Validate migrated data
The bidder is expected to verify the integrity and correctness of the source data reconciled and uploaded into CIMS, identify the gaps in the data migration and provide a ‘Migration audit report’ stating the gaps identified in the data migration audit. The bidder should use an automated tool for verification of data uploaded to CIMS.
3.3.10 Perform recurring gap analysis 3.3.10.1 The bidder is expected to work with the vendor to perform a recurring gap analysis and ensure that all the gaps/discrepancies identified in the ‘Migration Audit Report’ are rectified by the vendor. The gap analysis may require to be repeated until all errors identified are closed. The bidder is expected to provide a ‘Final Compliance Report’ to certify the quality of data, efficiency of data migration process, and stability of the data environment.
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3.3.10.2 The bidder is expected to audit the data migration carried out by the vendor and provide an assurance for the accuracy, integrity, conformity and completeness of the data migrated from Source Systems to CIMS. 3.3.10.3 The ‘Final Compliance Report’ submitted by the bidder should also provide assurance on the completeness and accuracy of critical data elements. 3.3.10.4 Tool proposed/used for the data migration audit should be licensed in the name of the Bank and should be made available to the Bank for future use, if Bank exercises the option to do so. The bidder is also expected to train the end users (core users of the project as identified by the Bank). 3.3.11 Test Planning and preparation of test cases 3.3.11.1 The bidder is expected to understand the Centralised Information Management System that has been selected by the Bank. 3.3.11.2 The bidder is expected to migrate all data of the existing DW system which is in Oracle database of size is about 6 TB to CIMS which is based on Hadoop Ecosystem (HDFS). Also, there is about 3 TB data in the existing exploratory Hadoop System which will be migrated to CIMS. 3.3.11.3 The selected bidder should work in coordination with the central office departments of RBI. The selected bidder should gather knowledge and understanding from CIMS RFP and interactions with the user departments. The selected bidder is required to record all the comments of the RBI users and track them for resolution in coordination with CIMS vendor. The selected bidder is expected to understand all the requirements mentioned in the documents (CIMS RFP document and functional requirements, control specifications documents, etc) provided by the Bank and based on interactions with the RBI users and prepare a comprehensive detailed test plan exhibiting test strategy to be used for testing. This should include the test scenarios, details about the test environment, test scheduling and resourcing and the defect tracking and reporting approach to be followed to log the defects and to get them resolved. The plan should also incorporate the details about the tools proposed for carrying out/managing the testing 3.3.11.4 The selected bidder will prepare the test cases and share these test cases with the CIMS vendor and RBI users. Also, the selected bidder will be required to prepare the strategy for testing and data migration activities. The selected bidder will share the same with RBI for review and validation. 3.3.11.5 The bidder must submit the proposed test plan based on an indicative format specified in the annexure ANX1_TestPlan.doc, which would be used by RBI, along with other documents, to select a test vendor. The Test plan would however be finalized by RBI in conjunction with the successful bidder on commencement of the project 3.3.11.6 The bidder is expected to prepare the test cases by understanding all the requirements and details mentioned in the RFP document 3.3.11.7 The bidder is expected to conduct various tests using automated testing tools 3.3.12 UAT and Performance Testing
3.3.12.1 The bidder is expected to execute the test plan devised under the planning stage and formulate test cases for the test scenarios identified in the Test Plan, to validate the end-to - end business processes. The test cases should include both negative as well as affirmative cases. The bidder should consider the testing of all functionalities mentioned in this RFP including 1590 reports, 27 dashboards and 15 Java applications-based reports available on the existing DBIE. The bidders should also consider the testing of and 2024-line items mentioned in the CIMS RFP. RBI and the bidder would commence User Acceptance Testing and Performance Testing. The bidder would do the first-round clearance of the testing solution.
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3.3.12.2 The test cases formulated by the bidder would be finalized in conjunction with RBI. The bidder will assist RBI in conducting all the tests and comparing/analysing the results. Any deviations/ discrepancies/ errors observed during the testing phase will have to be resolved by the CIMS vendor. RBI shall review the plan of the acceptance testing methodology. RBI after review may suggest changes for incorporating in the testing methodology. 3.3.12.3 The bidder is expected to use an automated tool to carry out the testing and develop test scripts. The tool must facilitate the testing by providing a user interface such as a web-based interface. It should allow to specify test procedures and to modify the objects and controls of the CIMS application suite. 3.3.12.4 The tool should allow adding checkpoints to verify actual application behaviour against the expected application behaviour. 3.3.12.5 The tool should be able to handle unexpected application behaviours that may happen while running the tests and should be able to continue with the testing in case of any such event. 3.3.12.6 The tool must be able to fetch data from external data sources for the purpose of creating the test data. 3.3.12.7 The tool must have an inbuilt reporting functionality using which it should be able to report the results along with the support information (provided in different formats like screenshots, images) that may be used to identify the underlying cause of test failure. 3.3.12.8 The bidder is expected to procure all the required testing tools. However, the Bank would provide the hardware and infrastructure required for carrying out the testing. The bidder needs to indicate the hardware configuration required for the automated testing tool. 3.3.12.9 The bidder should formulate the test scripts to be run using the automated tool to ensure the conformity to the requirements mentioned in all the documentation provided by the Bank. 3.3.12.10 The bidder must execute all the test cases and record the outcomes and if necessary re-test cases where failure has been identified. The bidder should document each test execution (along with screenshots) including the affirmative test cases. 3.3.12.11 The bidder must test the patches/version delivered by the CIMS vendor in order to fix the bugs pointed out as a part of User Acceptance Testing, Performance Testing, Data Migration Audit, to ensure that there is no regression in the software 3.3.12.12 Ongoing testing: The bidder may be required to test the patches/version for the defects resolution or additional functionalities delivered by the CIMS vendor post the CIMS implementation till one-year Post Go-Live. The testing executed by bidder will also include testing to ascertain whether the response time, the bandwidth usage and performance of the solution are as per the expectations of RBI and would involve an error free dry run of the customized solution for a period of 6 days, which includes one month-end run simulation. 3.3.12.13 Testing shall be conducted at data centre. During the testing, RBI shall notify the bidder at regular intervals the bugs/ findings in writing. 3.3.12.14 The CIMS vendor shall fix the bugs and carry out the necessary rectifications wherever necessary and deliver patches/ version towards changes effected within the agreed time frame depending on the severity of the bug and its impact on RBIs business. 3.3.12.15 The CIMS vendor is expected to fix the identified remaining bugs within 15 days of identification by RBI. The acceptance rate is 100% for most preferred and preferred requirements. The acceptance rate is 95% for minor bugs. 3.3.12.16 The user acceptance testing shall commence within 15 days of achieving the acceptance rate i.e. 100%. 3.3.12.17 RBI shall accept the application software only after the critical or major bugs are fixed. 3.3.12.18 RBI shall not be obliged to make partial acceptance or accept the solution unless the solution meets the specifications and persons as per agreed service levels. 3.3.12.19 The UAT will be conducted on the full data after migration at test environment of CIMS. The selected bidder should ensure that the UAT data governance will be taken care by keeping the necessary data in the UAT environment and any unwanted data will be purged from
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the UAT environment as and when required. For securing the data access at the UAT environment, the UAT data access will be provided to the authenticated users only. After UAT activities are completed and CIMS application is made live, the UAT data should be purged. The old data agreed by RBI may be kept for ongoing testing activities of CIMS.
3.3.13 Reporting
3.3.13.1 The bidder should use a test management tool to test the case management, requirement traceability matrix, defect management and test reporting.
3.3.13.2 The test management tool should be able to provide graphs and reports that may help the Bank to judge CIMS application readiness at any point of testing.
3.3.13.3 The tool should also provide a dashboard on daily basis, that would assist the Bank in gauging the progress of the testing, provide information about the test schedules, requirement coverage, and defect statistics at any point of the testing.
3.3.13.4 The bidder shall provide a separate test/defect report each on testing each CIMS module and a test/defect report on testing all the CIMS customizations.
3.3.13.5 The bidder must maintain a track of the defects identified and assist CIMS vendor in understanding those defects. Once the defects are rectified by the CIMS Vendor, the bidder shall re-test the CIMS application to ensure that the CIMS application is defect-free and meets the desired objectives of the bank.
3.3.13.6 The bidder shall provide a consolidated test summary report at the end of the testing, providing any important information uncovered by the tests accomplished, and including assessments of the quality of the testing effort, the quality of the CIMS application under test, and statistics derived from the defect reports. The bidder should sign off the consolidated test summary report to indicate that the CIMS application fits the requirements of the bank and meets the required acceptance criteria of 95%. 3.3.14 Review 3.3.14.1 The bidder should submit the aforementioned test reports to the Bank for review.
3.3.14.2 The desired acceptance rate of the Bank for Knock Out and Business Critical functional requirements, as stated in the CIMS RFP, is 95%. The bidder should assess if the final test report exhibits the success rate of 95%. In an event of the testing not meeting the desired acceptance rate, the bidder should submit a report to the bank outlining the areas where the pitfalls have occurred.
3.3.14.3 The CIMS Vendor would fix the bugs identified by the bidder and carry out the necessary rectifications wherever necessary and deliver patches/version towards changes effected within the agreed time frame, depending on the severity of the bug and its impact on RBI’s business.
3.3.15 Sign off
3.3.15.1 After all the required instances of the bidder identifying the defects and CIMS vendor providing necessary patches/versions incorporating the resolution of the defects identified by the
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bidder, the bidder must submit a consolidated test summary report that fulfils the desired acceptance criteria of the Bank, i.e. 95%.
3.3.15.2 The bidder must provide an assurance of meeting the 95% acceptance criteria by providing the sign off on the consolidated test summary report, which would then be signed off by the Bank.
3.3.15.3 The selected bidder should provide the technical sign off confirming that all the functionalities are working as per requirements of the RFP of CIMS. The actual UAT sign off will be provided by the respective central office department after their review and verifications of functionalities for which technical signed off done by the selected bidder. 3.3.16 Deliverables and Timelines 3.3.16.1 Timelines 3.3.16.1.1 The User Acceptance Testing, Performance Testing, Data Migration Audit shall be carried out in accordance with the roll out plan laid out by Selected Vendor in conjunction with RBI. The selected bidder should carry out study of CIMS requirements within one month. The User Acceptance Testing, Performance Testing, Data Migration Audit should be completed within the duration of three months.
3.3.16.1.3 The User Acceptance Testing, Performance Testing and Data Migration Audit shall be performed after the release of CIMS Solution by the CIMS vendor post completion of the configuration, customization and all necessary interfaces.
3.3.16.1.4 The bidder is expected to detail out the Test Plan submitted as a part of the bid, by incorporating all these milestones within 15 days of receipt of letter of intent from the Bank.
3.3.16.1.5 The test cases and test scripts, for all the milestones, should be submitted within 40 days of receipt of letter of intent from the Bank. Before commencement of testing, the test cases would be finalized in conjunction with RBI and its IT subsidiary (ReBIT).
3.3.16.1.6 The test cases related to testing of reports, dashboards and other facilities of CIMS should include the comparison of existing reports, dashboards and other facilities of DBIE.
3.3.16.2 Apart from the detailed Test plan, the bidder is expected to submit the below list of deliverables, for each of the above-mentioned milestones, to RBI:
3.3.16.2.1 Test Cases: The bidder shall submit the documented test cases used to carry out the User Acceptance Testing, Performance Testing and Data Migration Audit of CIMS Application. Test case documentation should incorporate the test case description, priority, detailed execution steps, the test data used, the expected result, the actual result and execution status (pass/fail) for each test. 3.3.16.2.2 Test Scripts: The bidder should submit the documented test scripts used to carry out the automated testing. 3.3.16.2.3 Test log: The bidder shall record the entire test execution in a test management tool, exhibiting which test cases were run, who ran them, in what order, and whether each test passed or failed and submit the same to the bank. 3.3.16.2.4 Defect log: The bidder should submit the defect log generated from the test management tool. The log should report all the tests that failed during the UAT in detail, including but not limited to, the detailed problem description, defect severity (High, Medium, Low), Defect Status (Open, Closed, Deferred), Date Reported, Date Fixed.
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3.3.16.2.5 Consolidated Test Summary Report: The bidder shall provide a consolidated test summary report at the end of the testing, providing any important information uncovered by the tests accomplished, and including assessments of the quality of the testing effort, the quality of the CIMS application tested, and statistics derived from the defect reports. The report should also provide information about what testing was done and how long it took, in order to aid in improving any future test planning. The bidder should sign off this report to indicate that the CIMS application fits the requirements of the bank and meets the required acceptance criteria of 95%. 3.3.16.2.6 Weekly Status Report: The bidder is expected to submit a weekly status report to the Bank informing about the progress of the ongoing work-streams and new work-streams planned to kick-off in the coming week. The status report should also provide a summary of planned timelines vs. actual timelines and wherever possible provide detailed reasons for delays or realignment of timelines.
3.3.17 Service Levels The service levels of the User Acceptance Testing, Performance Testing and Data Migration Audit vendor shall be defined as below: 3.3.17.1 A finalised User Acceptance Testing, Performance Testing and Data Migration Audit plan covering all the implementation milestones should be submitted by the successful vendor to the Bank within 15 days of receipt of letter of intent from the Bank 3.3.17.2 Finalised ‘Test Cases’ for the User Acceptance Testing, Performance Testing and Data Migration Audit of the CIMS implementation should be submitted to the bank within 40 days of receipt of letter of intent from the Bank as the UAT vendor. 3.3.17.3 The ‘Test Log’ for the given module and customisations of CIMS needs to be submitted within 1 week of the confirming that all the defects raised, mentioned in the “Defect Log” have been corrected and tested with 100% success rate. 3.3.17.4 The ‘Defect Log’ for a given module and customisations of CIMS needs to be submitted for each round of testing. 3.3.17.5 ‘Consolidated Test Summary Report’ needs to be submitted within 1 week of the CIMS Vendor confirming that all the defects raised, mentioned in the ‘Defect Log’ have been corrected. 3.3.17.6 For a defect raised in the ‘Defect Log’, the vendor is expected to test the functionality of affected module along with the end to end flow, wherever applicable.
4. Terms and Conditions
4.1 Broad Terms and Conditions
4.1.1 The following are the general terms and conditions proposed to be included in the Contract. RBI reserves the right to add, delete, modify or alter all or any of these terms and conditions in any manner, as deemed necessary before signing the final agreement. 4.1.2 The Bidder selected for conducting User Acceptance Testing, Performance Testing and Data Migration Audit of CIMS project, will have to enter into a contract directly with RBI. The contract will contain various terms and conditions relating to payment, penalty due to delay in performance etc. All the deliverables provided by the bidder for the as the part of the CIMS User Acceptance Testing, Performance Testing and Data Migration Audit and agreed to by RBI, will also form a part of the agreement. 4.1.3 The successful bidder must initiate work on the project within seven (7) days of receipt of letter of intent from the Bank
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4.1.4 The bidder at his own expense will execute the contract by paying the appropriate amount of stamp duty. The first page of the contract shall be on a stamp paper of appropriate value. 4.1.5 The bill for the services rendered must be furnished along with the prices thereof, as per the terms and conditions contained in this document. The Bidder will undertake to ensure that the prices are reasonable and in the range of prices for similar / same services available in the market. If any irregularity is detected anytime in respect of the above, RBI will have the right to take appropriate action against the Consultant/Bidder, as deemed fit by RBI. 4.1.6 Payment shall be made upon the delivery of services and RBI would not be responsible for any delays in payment owing to delay in provision of services. 4.1.7 The Bidder is expected to cover all test cases and all functionalities as required by the Bank. In case, if any scenarios are breached (either major or minor) which were tested earlier and certified by the selected bidder, the Bank will impose a penalty of INR 5,000 per incident and the same will be deducted from the Performance Bank Guarantee. In case, if the total penalty amount exceeds the Performance Bank Guarantee amount, the Bank will encash the entire Performance Bank Guarantee amount and the bidder must submit a fresh Performance Bank Guarantee to the Bank, failing which Bank will terminate the contract. The Bank reserves the right to terminate the contract if scenarios are repeated during the rollout. 4.1.8 The inability of the Bidder to provide the requirements as per the scope or to meet the deadlines as specified would be treated as breach of contract and invoke the Penalty Clause. 4.1.9 In case of rollout delays by the Bidder due to delay in all the testing activities, a financial penalty will be imposed on the Bidder of 1% of the total project cost per month of delay, to the maximum of 20% of the total contract value.
4.1.10 The maximum limit on the penalties during the period of contract shall be 20 % of the total contract value.
4.2 Application
4.2.1 These conditions shall apply to the User Acceptance Testing, Performance Testing and Data Migration Audit of CIMS to be implemented in RBI. 4.2.2 For the purpose of the Purchase Agreement as well as for the purpose of the Tender Document, the Purchaser is: The Adviser-in-Charge, Reserve Bank of India Department of Statistics and Information Management (DSIM), Data Warehousing Division, C-9, 3rd Floor, Bandra Kurla Complex, Bandra (East), Mumbai – 400 001, Maharashtra, India 4.3 Standards
The services and other materials including all deliverables and reports under the contract shall conform to the standards mentioned in the Technical Bid submitted by the bidder and/or agreed between RBI and the bidder, and when no applicable standard is mentioned, the services/deliverables shall be supplied under the authoritative and appropriate international standards of the such services/deliverables and such standards shall be the latest issued by the concerned institutions. 4.4 Governing Language
All correspondences and other documents pertaining to the contract shall be in English.
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4.5 Applicable Law
The Contract shall be governed and interpreted in accordance with the Indian Laws. 4.6 Notices
4.6.1 Any notice given by one party to the other pursuant to the contract shall be sent to the other party (as per the address mentioned in the contract) in writing either by hand delivery or by registered post or by courier and shall be deemed to be complete only on obtaining acknowledgement thereof; or by telegram or by telex or by facsimile or by other electronic media and in which case, the notice will be complete only on confirmation of receipt by the receiver. 4.6.2 A notice shall be effective when delivered or on the notice’s effective date, whichever is later.
4.7 Contract Amendments
Any change made in any clause of the contract which shall modify the purview of the contract within the validity and currency of the contract shall be deemed as an amendment. Such an amendment can and will be made and be deemed legal only when the parties to the contract provide their written consent about the amendment, after which the amendment is duly signed by the parties and shall be construed as a part of the contract. The details of the procedure for amendment shall be as specified in the contract. 4.8 Use of Contract Documents and Information
4.8.1 The bidder shall not, without RBI’s prior written consent, disclose the Contract or any provision thereof, or any specification or information furnished by or on behalf of RBI in connection therewith, to any person other than a person employed by the Bidder in the performance of the Contract. Disclosure to any such employed person shall be made in confidence against Non-disclosure agreements completed prior to disclosure and disclosure shall extend only so far, as may be necessary for the purposes of such performance. 4.8.2 Any document, other than the Contract itself, shall remain the property of RBI and all copies thereof shall be returned to RBI on termination of the Contract. 4.8.3 The bidder shall not, without RBI’s prior written consent, make use of any document or information above except for the purposes of performing the Contract.
4.9 Indemnification
4.9.1 The bidder shall, at its own cost and expenses, defend and indemnify RBI against all third-party claims including those of the infringement of Intellectual Property Rights, including patent, trademark, copyright, trade secret or industrial design rights, arising from use of the Products or any part thereof in India. 4.9.2 The bidder shall expeditiously meet any such claims and shall have full rights to defend it there from. If RBI is required to pay compensation to a third party resulting from such infringement, the Bidder shall be fully responsible therefore, including all expenses and court and legal fees. 4.9.3 RBI will give notice to the bidder of any such claim and shall provide reasonable assistance to the Bidder in disposing of the claim. 4.9.4 The bidder shall also be liable to indemnify RBI, at its own cost and expenses, against all losses/ damages, which RBI may suffer on account of violation by the Bidder of any or all national/ international trade laws, norms, standards, procedures, etc.
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4.10 Cancellation of Contract and Compensation
4.10.1 RBI reserves the right to cancel the contract, without incurring any liability or obligations, of the selected bidder and recover expenditure incurred by RBI on the following circumstances:
• The selected bidder commits a breach of any of the terms and conditions of the bid/contract.
• The bidder goes into liquidation voluntarily or otherwise. • An attachment is levied or continues to be levied for a period of 7 days upon effects
of the bid. • The progress regarding execution of the contract, made by the selected bidder is
found to be unsatisfactory. • If deductions on account of liquidated Damages exceeds more than 10% of the total contract price. • The successful bidder is acquired/merged by another company within the contract
duration 4.10.2 After the award of the contract, if the selected bidder does not perform satisfactorily or delays execution of the contract, RBI reserves the right to get the balance contract executed by another party of its choice by giving one month’s notice for the same. In this event, the selected bidder is bound to make good the additional expenditure, which RBI may have to incur to carry out bidding process for the execution of the balance of the contract. This clause is applicable, if for any reason, the contract is cancelled. 4.10.3 RBI reserves the right to recover any dues payable by the selected bidder from any amount outstanding to the credit of the selected bidder, including the pending bills if any, under this contract or any other contract/order. Work, Reports, documents, etc. prepared under this contract will become the property of the Reserve Bank of India. Intellectual Property Rights for all documents and outputs developed specifically for the RBI will rest solely with the RBI. 4.11 Earnest Money Deposit and Performance Bank Guarantee
4.11.1 Bidders should submit the Earnest Money Deposit (EMD) value in INR currency through a Bank Guarantee. The value of the EMD is INR 2,00,000/- (Rupees Two Lakh only). The BG should be in favour of Principal Adviser, Department of Statistics and Information Management, Reserve Bank of India, Mumbai.
a) The EMD/BG should be valid for the period of one year from the last date of submission of bid. The non-submission of EMD/BG will lead to rejection of the bid. The irrevocable BG issued by a scheduled commercial bank only, shall be acceptable to the RBI.
b) The physical copy of Bank Guarantee must be submitted before the technical bid opening.
4.11.2 The selected bidders should note the following regarding EMD:
i. If the EMD is received after the designated date and time for submission of the Bid, the Bank, at its discretion, may reject the bid.
ii. EMD of unsuccessful Bidders shall be returned within 30 days from the final result of the bidding process and declaration of the Successful Bidder.
iii. EMD of the successful bidder will be returned on submission of the Performance Bank Guarantee of 10% of the contract price.
iv. The EMD will not carry any interest. Offers made without the Earnest money deposit will be rejected.
v. The amount of Earnest money deposit would be forfeited in the following scenarios: a. In case the Bidder withdraws the bid prior to validity period of the bid without
providing any satisfactory reason;
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b. In case the successful Bidder fails to accept and sign the contract as specified in this document without any satisfactory reason;
c. In case the selected Bidder fails to provide the performance bank guarantee within 30 working days from the date of signing of the agreement without any satisfactory reason.
4.11.3 The selected bidder shall at his own expense deposit with the Principal Adviser, Department of Statistics and Information Management, Reserve Bank of India, Mumbai, within thirty (30) working days of the date of notice of award of the tender, a Performance Bank Guarantee from a scheduled commercial bank, payable on demand which may be obtained, for an amount equivalent to ten percent (10%) of the contract price for the due performance and fulfilment of the contract by the bidder. 4.11.4 Without prejudice to the other rights of the Purchaser under the Contract in the matter, the proceeds of the performance security shall be payable to RBI as compensation for any loss resulting from the selected Bidder’s failure to complete its obligations under the Contract. Bank will notify the selected bidder in writing of the invocation of its right to receive such compensation, indicating the contractual obligation(s) for which the selected Bidder is in default. 4.11.5 The Performance Bank Guarantee may be discharged upon being satisfied that there has been due performance of the obligations of the selected bidder under the contract. The Performance Bank Guarantee shall be valid till the end of the contract. 4.11.6 The performance security shall be denominated in INR and shall be by bank guarantee. 4.11.7 The performance bank guarantee will be valid till the end of the contract. The failure of the selected bidder to comply with the above requirement, or failure of the bidder to enter into a contract within 15 days or within such extended period, as may be specified by the Principal Adviser, Department of Statistics and Information Management, Reserve Bank of India, Mumbai, shall constitute sufficient grounds, among others, if any, for the annulment of the award of the tender. 4.11.8 In case of breach, there shall be a cure period of 5 calendar days. In case, if the issues are not resolved, the Performance Bank Guarantee would be invoked anytime thereafter as per the discretion of the Bank 4.12 Resolution of Disputes
4.12.1 The bids and any contract resulting there from shall be governed by and construed according to the Indian Laws. 4.12.2 All dispute or differences whatsoever arising between the selected bidder and RBI out of or in relation to the construction, meaning and operation or effect of the Contract, with the selected bidder, or breach thereof shall be settled amicably. If, however, the parties are not able to resolve any dispute or difference aforementioned amicably, after issuance of 30 days’ notice in writing to the other, clearly mentioning the nature of the dispute / differences, the dispute shall be referred to a single arbitrator, acceptable to both the parties, for initiation of arbitration proceedings and settlement of the dispute/s and difference, strictly under the terms and conditions of the purchase contract, executed between RBI and the bidder. In case, the decision of the sole arbitrator is not acceptable to either party, the disputes / differences shall be referred to joint arbitrators, one arbitrator to be nominated by each party and the two arbitrators shall also appoint a presiding arbitrator before the commencement of the arbitration proceedings. The arbitration shall be governed by the provisions of the Rules of Arbitration of the Indian Council of Arbitration under the exclusive jurisdiction of the courts at Mumbai, India. 4.12.3 The award shall be final and binding on both the parties and shall apply to the purchase contract. 4.12.4 Work under the Contract shall be continued by the selected bidder during the arbitration proceedings unless otherwise directed in writing by RBI unless the matter is such that the work cannot possibly be continued until the decision of the arbitrator or of the umpire, as the case may
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be, is obtained and save as those which are otherwise explicitly provided in the Contract, no payment due or payable by RBI, to the bidder shall be withheld on account of the ongoing arbitration proceedings, if any, unless it is the subject matter or one of the subject matters thereof. 4.12.5 The venue of the arbitration shall be at Mumbai, India under the exclusive jurisdiction of the courts at Mumbai, India.
4.13 Delays in the Bidder’s Performance
The bidder must strictly adhere to the project schedule, as specified in the purchase contract, executed between the Parties for performance of the obligations, arising out of the purchase contract and any delay in completion of the obligations by the Bidder will enable RBI to resort to any or both of the following:
• Claiming Liquidated Damages • Termination of the purchase agreement fully or partly and claim liquidated
damages.
4.14 Liquidated Damages
4.14.1 The liquidated damages are an estimate of the loss or damage that RBI may have suffered due to delay in performance or non-performance of any or all the obligations (under the terms and conditions of the purchase contract) and the bidder shall be liable to pay RBI a fixed amount for each day of delay / non- performance of the obligations by way of liquidated damages, details of which will be specified in the purchase contract. Without any prejudice to RBI’s other rights under the law, RBI shall recover the liquidated damages, if any, accruing to RBI, as above, from any amount payable to the bidder either as per the purchase contract, executed between the parties or under any other purchase agreement/ contract, RBI may have executed / shall be executing with the bidder. 4.14.2 Liquidated Damages is not applicable for reasons attributable to RBI and Force Majeure. However, it is the responsibility/ onus of the bidder to prove that the delay is attributed to RBI and Force Majeure. The bidder shall submit the proof authenticated by the bidder and Bank’s official that the delay is attributed to RBI and Force Majeure along with the bills requesting payment.
4.15 Force Majeure
4.15.1 The Bidder or RBI shall not be responsible for delays or non-performance of any or all contractual obligations, caused by war, revolution, insurrection, civil commotion, riots, mobilizations, strikes, blockade, acts of God, Plague or other epidemics, fire, flood, obstructions of navigation by ice of Port of dispatch, acts of government or public enemy or any other event beyond the control of either party, which directly, materially and adversely affect the performance of any or all such contractual obligations. 4.15.2 If a Force Majeure situation arises, the Bidder shall promptly notify RBI in writing of such conditions and any change thereof. Unless otherwise directed by the Purchaser in writing, the Bidder shall continue to perform his obligations under the contract as far as possible and shall seek all means for performance of all other obligations, not prevented by the Force Majeure event.
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4.16 Ancillary Services
The bidder shall provide any additional necessary services required for facilitating the satisfactory delivery of the promised deliverables.
4.17 Prices
4.17.1 The price charged by the bidder for the services performed for the User Acceptance Testing, Performance Testing and Data Migration Audit of CIMS Project shall not vary from the contracted prices. 4.17.2 No adjustment of the contract price shall be made on account of variation of costs of labour and materials or any other cost component affecting the total cost in fulfilling the obligations under the contract. The Contract price shall be the only payment, payable by the Purchaser to the bidder for completion of the contractual obligations by the bidder under the Contract, subject to the terms of payment specified in the Contract. 4.17.3 The price would be inclusive of all applicable taxes under the Indian law. 4.17.4 The prices, once offered, must remain firm and must not be subject to escalation for any reason within the period of validity. The entire benefits/advantages, arising out of fall in prices, taxes, duties or any other reason, must be passed on to RBI. 4.18 Taxes and Duties
4.18.1 The selected bidder is expected to submit the Commercial bid inclusive of the applicable taxes for each line item. Accordingly, a format is designed and included in RFP. 4.18.2 The fees payable by RBI to selected bidder shall be inclusive of all applicable taxes, levies, duties, fee etc. imposed by the Central or state Governments or local authorities as applicable on the date of contract. In case of any variation (upward or downward) in Government levies/ taxes/ VAT/ cess/ excise/ custom duty/GST etc. which has been included as part of the price it will be borne by the RBI. Such variation would also include the introduction of any new tax/ cess/ excise, etc. The benefit or burden of other taxes quoted separately as part of the commercial bid like VAT, service tax, local entry tax and GST shall be passed on or adjusted to RBI. If the selected bidder makes any conditional or vague offers, without conforming to these guidelines, Bank will treat the prices quoted as in conformity with these guidelines and proceed accordingly. Local entry taxes or GST whichever is applicable, if any, will be paid by RBI on production of relative payment receipts/ documents. Necessary documentary evidence should be produced for having paid the customs/ excise duty, sales tax, if applicable, and or other applicable levies. Bank will pay the fees due under this RFP and subsequent agreement after deducting any tax deductible at source (“TDS”), as applicable. The selected bidder will need to provide the details for the tax rates as considered in the pricing. This will be used for subsequent tax changes. Bank will pay each undisputed invoice raised in accordance with this RFP and subsequent agreement, within thirty (30) Working Days after its receipt unless otherwise mutually agreed in writing, provided that such invoice is dated after such fees have become due and payable under this RFP and subsequent agreement. 4.19 Non-Negotiability on RFP
4.19.1 RBI is not responsible for any assumptions or judgments made by the Bidders for arriving at any type of costing. In the event of any deviations from the requirements of the Bank, the Bidder must make good the same at no extra costs to RBI, in order to achieve the desired outcome as well as meeting the requirements of these documents. 4.19.2 All terms and conditions, payments schedules, time frame for project execution, as per this Tender will remain unchanged unless explicitly communicated by RBI in writing to the
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Bidder. The Bidder shall at no point be entitled to excuse themselves from any claims by RBI whatsoever for their deviations in conforming to the terms and conditions, payments schedules, time frame for project execution etc. as mentioned in this RFP. 4.19.3 The bidders shall adhere to the terms of this RFP and shall not deviate from the same.
4.20 Payment Terms
The bidder will have to provide the quote as per the Annexure-ANX 8_CommercialBidForm.doc. The applicable payment terms are as mentioned below:
4.20.1 User Acceptance Testing, Performance Testing and Data Migration Audit Cost
4.20.1.1 No advance payment would be made to the bidder. 4.20.1.2 The bidder is required to perform the User Acceptance Testing, Performance Testing and Data Migration Audit and provide sign off on the test database before CIMS is rolled out for any regional office of the bank. 4.20.1.3 The payment would be disbursed on sign- off and submission of Defect log and Consolidated Test Summary report for each of the test milestone. The milestone based payout percentages are defined in the table below:
Table 4.1: Payment Milestones
Milestone Deliverables % Payout Number
1 Test cases signed-off by Bank
(User Acceptance Testing, Performance Testing and Data Migration Audit)
25%
2 Test cases executed at 100% 25%
success rate (This may include
multiple iterations of the testing for each test type, User Acceptance Testing, Performance Testing and Data Migration Audit
3 Consolidated Test Summary 30%
Report signed-off by Bank for User Acceptance Testing, Performance Testing and Data Migration Audit
4 Interface testing sign off with RBI IT
systems. 10%
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Milestone Deliverables % Payout Number
5 System-to-system interface testing for each bank (Payment will be done on proportionate basis for all 130 banks)
10%
4.20.2 Other Payment Terms
4.20.1.1 Any objection/ dispute to the amounts invoiced in the bill shall be raised by RBI within reasonable time from the date of receipt of the invoice. Upon settlement of disputes with respect to any disputed invoice(s), RBI will make payment within thirty (30) Working Days of the settlement of such disputes. All out of pocket expenses, travelling, boarding and lodging expenses for the entire Term of this RFP and subsequent agreement is included in the amounts and the Bidder shall not be entitled to charge any additional costs on account of any items or services or by way of any out of pocket expenses, including travel, boarding and lodging etc. 4.20.1.2 RBI shall pay each undisputed invoice raised in accordance with this RFP and subsequent agreement, within thirty (30) Working Days after its receipt unless otherwise mutually agreed in writing, provided that such invoice is dated after such Fees have become due and payable under this RFP and subsequent agreement. 4.20.1.3 Terms of payment indicated in the Contract that will be issued by RBI to the selected Bidder will be final and binding on the Bidder and no interest will be payable by RBI on outstanding amounts under any circumstances. If there are any clauses in the Invoice contrary to the terms of the Contract, the Bidder should give a declaration on the face of the Invoice or by a separate letter explicitly stating as follows “Clauses, if any contained in the Invoice which are contrary to the terms contained in the Contract will not hold good against RBI and that the Invoice would be governed by the terms contained in the Contract concluded between RBI and the Bidder”. 4.20.1.4 Bidder should ensure that the project should not suffer for this reason. 4.20.1.5 The Bidders should note that the contract entered with the successful Bidder will hold valid till the completion of full CIMS project. However, RBI will have the right, in its sole discretion to renegotiate the prices/ terms and conditions at the end of the contract period.
4.20.3 Pre-Bid Meeting
The Bank will schedule a pre-bid meeting after the RFP is issued. 4.20.3.1 Any pre-bid queries which are sent to the designated email id up to 2 days prior to the date of pre-bid meeting will be formally responded to and questions/points of clarification and the responses will be circulated to all participating bidders, if required. The source (identity) of the bidder seeking points of clarification will not be revealed. Alternatively, RBI may at its discretion, answer all such queries in the Pre-bid meeting. It may be noted that all queries, clarifications, questions, relating to this RFP, technical or otherwise, should be only to the designated email id as stated earlier. For this purpose, communication to any other email id or through any other mode will not be entertained. 4.20.3.2 The Bank reserves the right to pre‐pone or post‐pone the pre‐bid meeting date and/or change its venue. The Bidders will be informed of any changes to the date / venue of pre-bid meeting on the RBI website in advance to submit their queries to the Bank seeking clarification.
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4.20.3.3 All points discussed during the pre-bid meeting, if need be, may be posted on the RBI website along with their responses. 4.20.3.4 For the pre-bid meeting, bidders are required to inform the Bank at least a day in advance with participant details such as name, details of electronic devices if any, company name and mobile number 4.20.3.5 No queries will be entertained after the Pre-Bid meeting
5. Evaluation Process
5.1 Objective of Evaluation Process 5.1.1. The objective of the evaluation process is to evaluate the bids to select a capable and best fit vendor at a competitive price. The evaluation by RBI will be undertaken by Technical Advisory Committee (TAG) (internal as well as external experts). The bidder will make presentation to the TAG. The decision of the committee shall be considered final.
5.1.2 For the purpose of the evaluation and selection of bidder for the User Acceptance Testing, Performance Testing and Data Migration Audit, a two-stage bidding process will be followed. The Bidder has to submit (1) Technical Bid and (2) Commercial Bid separately on the same day before the stipulated date.
5.1.3 The ‘Technical Bid’ will contain the exhaustive and comprehensive technical details whereas the ‘Commercial Bid’ will contain the pricing information. The Technical Bid shall NOT contain any pricing or commercial information at all and if the Technical Bid contains any price related information, then that Technical Bid would be disqualified and would NOT be processed further.
5.1.4 In the first stage, only the ‘Technical Bids’ will be opened and evaluated. All technical bids will be evaluated, and a technical score would be arrived at. The bidder scoring more than 70 per cent will be qualified for commercial bid opening.
5.1.6 In the second stage, the Commercial Bids of only those bidders shall be evaluated who have qualified in the technical evaluation. The remaining commercial bids, if any, shall not be opened. 5.1.7 Bank may call for any clarifications/additional required, if any, on the bids submitted. The bidder has to submit the clarifications/ additional particulars in writing within the specified date and time. The bidder’s offer may be disqualified, if the clarifications/ additional sought by the Bank are not submitted within the specified date and time. 5.1.8 Bank reserves the right to call for presentation/s etc., from the bidders based on technical bids submitted by them. RBI also reserves the right to enquire with references provided by the bidders regarding previous engagements undertaken by the bidder. Based upon the final technical scoring, the eligible bidders shall be short listed for final Commercial bidding.
5.2 Technical Bid Evaluation Process 5.2.1 The scoring methodology for technical bid components is explained in the following paragraphs of this section. The proposal submitted by the Bidders shall be evaluated on the following parameters:
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• Past Experience (PE) • Team Competence (TC) • Evaluation of proposed Tools • Presentation (PT)
5.2.2 Scores for the above individual parameters shall be added to determine the technical scores of the bidders. The bidder with the highest technical score shall be ranked as T1
5.3 Scoring Methodology for Past Experience and Team Competence 5.3.1 The bidder’s past experience and team competence would be evaluated as below:
Table 5.1: Past Experience and Team Competence
Past Experience (PE)
S. No. Parameter Marks
1 DW/DL User Acceptance Testing, Performance Testing and Data Migration Audit experience in one entity in BFSI/ Telecom
100
2 Or, DW/DL User Acceptance Testing, Performance Testing and Data Migration Audit experience in two entities in BFSI / Telecom
200
3 Or, DW/DL User Acceptance Testing, Performance Testing and Data Migration Audit experience in three entities in BFSI / Telecom
250
4 Or, DW/DL User Acceptance Testing, Performance Testing and Data Migration Audit experience in four or more entities BFSI/ Telecom
300
Team Competence (TC)
1 Project Manager with 3-5 years DW/ DL User Acceptance Testing, Performance Testing Data Migration Audit experience
50
2 Project Manager with more than 5 years of DW/ DL Solution, User Acceptance Testing, Performance Testing, Data Migration Audit experience
100
3
Team Leader with DW/ DL Solution, User Acceptance Testing, Performance Testing, Data Migration Audit experience
2 years of specified experience 30
More than 2 years of specified experience 50
4 Team Member with 1 to 2 years of DW/ DL User Acceptance Testing, Performance Testing, Data Migration Audit experience and banking domain knowledge
10
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Past Experience (PE)
S. No. Parameter Marks
5 Team Member with more than 2 years of DW/ DL User Acceptance Testing, Performance Testing, Data Migration Audit experience and banking domain knowledge
20
Note: The evaluation for team composition will be carried out based on maximum one Project Manager, 4 Team Leader and 16 Team members. Maximum Marks for Project Manager is 100, Team Leader is 200 and Team members is 320. The minimum marks for Past Experience and Team Composition is 70 per cent i.e., 210 for Past Experience and 434 for Team Composition. The selected bidder should ensure that the implementation team are as qualified as the bidder would propose in their bid responses.
5.3.2 The score obtained by the bidder for Past Experience shall be considered as PE and score obtained for Team Competence shall be considered as TC for evaluation.
5.3.3 The Bidder should provide Acknowledgement Letter on the customer’s letterhead indicating the experience details including but not limited to, the details of Scope of work, region coverage, number of branches, name of the CIMS Product and details of modules for which the User Acceptance Testing, Performance Testing and Data Migration Audit was conducted for the evaluation as given in the table above. The letter should clearly indicate satisfactory completion of the above scope of work by the bidder. Non-submission of acknowledgement letter(s) as specified above will result in non-evaluation of such experience by the bank.
5.3.4 The bidder must propose a detailed team composition for the testing of the defined scope in ANX7_TechnicalBidForm.doc.
5.3.5 The experience details of the team proposed should be in sync with the past experience details of company provided in response to this RFP.
5.3.6 The bidder should provide the details of all the tools which will be used for UAT, PT and DMA activities. The tools will be evaluated as per the below mentioned matrix.
Layer Tools
Proposed Type
of Tools*
Licensing Policy**
Level of support
on Tool***
Market Share
#
Experience of Testing
(No. of Years)
Unique features of the Tool
Latest version release date (in Brief)
Any other information about the
Tool
UAT 1. 2. 3.
PT 1. 2. 3.
DMA 1. 2. 3.
Any Other 1. 2. 3.
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Note: # Please provide the source for verification of the market share * Type of Tools (4 Categories) – Open Source with Support; Proprietary & Open Source Based with Support; Proprietary with Support; Open Source or Proprietary without Support ** Licensing Policy (9 Categories) – Perpetual - Server Based; Perpetual - Node Based; Perpetual – User Based (Concurrent User); Perpetual – User Based (Named User); Non-Perpetual – Server Based; Non-Perpetual – Node Based; Non-Perpetual – User Based (Concurrent User); Non-Perpetual – User Based (Named User); Any Other ***Level of Support on Tool (3 Categories) – Onsite; Offsite - Online Ticketing System, Telephone & Email; Offsite – Telephone & Email
5.3.7 Based on the technical bid response and presentation by the bidder to the TAG, the TAG will finalise the technical score.
5.4 Scoring Methodology for Presentation 5.4.1 Overview
5.4.1.1 The Bidder is required to make a presentation relating to the services offered in response to RFP to the TAG. Technical presentation by the bidder to the TAG will have at least 25 per cent weightage in the bid evaluation process in the RFP
5.4.1.2 The presentation should include, but not be limited to: 5.4.1.3 The “Approach and Methodology” adopted for the Implementation including:
• Test tool and capabilities
• User Acceptance Testing, Performance Testing and Data Migration Audit Methodology
• Project Management Methodology and project timelines
5.4.1.4 The Bank at its discretion may increase the scope of the presentation. The increased scope shall be communicated to all the bidders during the evaluation process.
5.4.1.5 Elaborated Project Management Plan covering each of the activities and proposed timelines as per the rollout/implementation details provided in this document.
5.4.1.6 During the presentation, RBI may seek explanations on various technical and other requirements and may also conduct a reference check for the experience credentials submitted by the bidder.
5.4.1.7 RBI at its discretion may reject the proposal of the bidder without giving any reason whatsoever, if in RBI’s opinion, the bidder could not present or demonstrate User Acceptance Testing, Performance Testing and Data Migration Audit capability as described in the proposal.
5.4.1.8 The presentation duration and timeline would be notified by the Bank at a later stage.
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5.5 Commercial Bid Evaluation 5.7.1 Commercial bids of only those bidders who qualify the technical evaluation process shall be opened. Commercial bids of the other bidders shall not be opened. 5.7.2 The bidders will have to submit the Commercial bid for which format should be prepared per the Annexure. The bidder is expected to submit the Commercial bid inclusive of the applicable taxes. The sum of the entire amount mentioned in the Annexure will be considered as TCO. 5.7.3 The technical scores/final marks of the bidders who qualify technical evaluation shall be disclosed to the qualified bidders. 5.7.4 The Technically Qualified bidder with the lowest Commercial Bid after scrutiny and normalization would be declared as Successful Bidder. Bank will notify the name of the Successful Bidder. Commercial bid evaluation shall be considered as below in case of any kind of discrepancy:
• If there is a discrepancy between words and figures, the amount in words shall prevail
• If there is a discrepancy between percentage and amount, the amount calculated as per the stipulated percentage basis shall prevail
• If there is discrepancy between unit price and total price, the unit price shall prevail
• If there is a discrepancy in the total, the correct total shall be arrived at by the Bank
• In case the bidder does not accept the correction of the errors as stated above, the bid shall be rejected.
6 Two Stage Bidding Process
6.1 Instructions for Tender Submission
6.1.1 In case the Commercial Bid amount is indicated in any manner or form in the Technical Bid, the Bank reserves the right to summarily reject the bid. The bid amount should only be indicated in the relevant annexure in the Commercial Bid.
6.1.2 Bidders are permitted to submit only one Technical Bid and relevant Commercial Bid. More than one Technical and Commercial Bid should not be submitted.
6.1.3 The entire bidding process would be conducted through the e-tendering portal of MSTC Ltd. The URL for the same is http://www.mstcecommerce.com/eprochome/rbi. 6.1.4 All respective technical and commercial bids need to be submitted through this portal only. 6.1.5 The opening of bids (technical & commercial) for this RFP will be through the MSTC Ltd. ecommerce web portal. 6.1.6 The bids will be submitted in three parts on the MSTC web portal:
a. Pre-requisites: Compliance to Integrity Pact
b. Technical Bid: This bid comprises of the technical evaluation response
c. Commercial Bid: This bid comprises of the commercial evaluation response
6.1.7 The authorized signatory for the bid (technical and commercial) needs to have a digital certificate with signing and encryption rights. 6.1.8 The Bidders must ensure that the Non-disclosure agreement (NDA) and Integrity Pact needs to be signed by the Bidder’s Authorized Signatory. Relevant documentary evidence authorizing the authorized signatory to sign must be uploaded along with the technical bid. The signed integrity pact needs to be uploaded on the portal. The hardcopy of the NDA and Integrity Pact will be retained by the Bank.
6.1.9 The bidder is expected to submit the Commercial bid inclusive of the applicable taxes in the Annexure – ANX8_CommercialBidForm.doc 6.1.10 The cost of bidding and submission of the bids is entirely the responsibility of the bidders, regardless of the conduct or outcome of the tendering process. 6.1.12 Receipt of the bids shall be closed as mentioned in the bid schedule. Bids received after the scheduled closing time will not be accepted by RBI under any circumstances. Bank will not accept bids delivered late for any reason whatsoever including any delay in the postal service, courier service or delayed bids sent by any other means. 6.1.13 The technical bids will be opened as mentioned in bid schedule.
6.1.14 Commercial bids of only the technically qualified bidders will be opened. Commercial Bid opening schedule will be intimated to the Technical Qualified Bidders.
6.1.15 The bidders or their authorized representatives may be present at the time of the opening of the technical bid. Only two persons per bidder will be allowed to be present at the time of the opening the technical bids. No bid shall be rejected at bid opening stage, except for bids received late.
6.2 E-Tendering Registration and Bid Submission
6.2.1 The Bank has entered into an agreement with MSTC Ltd. for e-tendering services. The bidder is expected to register themselves on the MSTC Ltd. Ecommerce Web portal. The bidder is expected to have a Digital certificate with encryption and signing rights. The bidder registration on the MSTC Ltd. Ecommerce Web portal is present on the MSTC website. 6.2.2 It is the bidders’ responsibility to register on the MSTC Ltd. Ecommerce Web portal and obtain the necessary digital certificate. 6.2.3 The bank shall upload the entire RFP with annexures on the MSTC Ltd. Ecommerce Web portal (http://www.mstcecommerce.com/eprochome/rbi). 6.2.4 As per MSTC rules an amount of INR 15, 000 will have to be paid by the bidder.
6.3 General Guidelines 6.3.1 The offers should be made strictly as per the formats specified. 6.3.2 A declaration may be given by the bidder stating that "No relative of the bidders is working in the Reserve Bank of India". If anyone working in the RBI is related to the bidders, the name, designation and the department where the person is posted may be given. Please provide the same in the format provided in annexure ANX5_ConfirmationOfEligibility.doc
6.3.3 The bid should contain no interlineations, erasures or over-writings except as necessary to correct errors made by the bidder. In such cases, the person/s signing the bid should initial such corrections. 6.3.4 The bidder is expected to examine all instructions, forms, terms and conditions and technical specifications in the Bidding Documents. Failure to furnish all information required by the Bidding Documents or submission of a bid not substantially responsive to the Bidding Documents in every respect will be at the Bidder’s risk and may result in rejection of the bid. 6.3.5 No rows or columns of the tender should be left blank. Offers with insufficient information and Offers which do not strictly comply with the stipulations given above, are liable for rejection. 6.3.6 Bank may at its discretion abandon the process of the selection of Bidder any time before notification of award. 6.3.8 RBI reserves the right to advance or post-pone the pre-bid conference date. However, bidders will be informed the date of pre-bid conference in advance to submit their queries to RBI seeking clarification. 6.3.9 The bids will be opened in the presence of authorized representatives of the bidders. However, the representative of the bidder has to produce an authorization letter from the bidder to represent them at the time of opening of Technical/Commercial bids. Only two representatives will be allowed to represent any bidder. In case the bidder’s representative is not present at the time of opening of bids, the quotations/bids will still be opened at the scheduled time at the sole discretion of RBI.
6.4 Clarification on the Tender Document 6.4.1 For any clarification with respect to this RFP, the bidder may send an email to [email protected] and [email protected]. The format to be used for seeking clarification is mentioned in Annexure “ANX9_PreBidQueryFormat.doc”. It may be noted that all queries, clarifications, questions etc., relating to this RFP, technical or otherwise, must be in writing only and should be to the designated email id as stated earlier. 6.4.2 Written requests for clarification may be submitted to RBI at least 2 days prior to Pre-bid meeting and clarifications for such queries shall be provided by RBI or its representative in the pre-bid meeting. 6.4.3 The Pre-Bid Query Form should preferably be emailed to RBI or provided by softcopy – in either event hardcopy confirmation is to be submitted in the beginning of pre bid meeting. 6.4.4 Bidders should provide their email address in their queries without fail since replies from Bank will be by emails only. 6.4.5 Responses to queries and clarifications wherever necessary shall be placed in Bank’s website (www.rbi.org.in) 6.4.6 The Bank shall not answer any communication initiated by Respondents after 2 business days prior to the date of Pre-bid meeting. At the end of the Pre-bid meeting but not later than 2 business days from the close of Pre-bid meetings, the respondents shall confirm to Bank in writing to the effect that all their queries have been answered to enable them to make a complete and valid response to the RFP. However, the Bank may in its absolute discretion seek additional
information or material from any Respondents after the RFP closes and all such information and material provided must be taken to form part of that Respondent’s response.
6.5 Amendments to Tender Document 6.5.1 Amendments to the Tender Document may be issued by RBI for any reason, whether at its own initiative or in response to a clarification requested by a prospective bidder, prior to the deadline for the submission of bids, which will be placed on the RBI website. 6.5.2 The amendments so placed on RBI’s website will be binding on all the bidders. From the date of issue, amendments to Terms and Conditions shall be deemed to form an integral part of the RFP. Further, in order to provide, prospective bidders, reasonable time to take the amendment into account in preparing their bid, RBI may, at its discretion extend the deadline for submission of bids.
6.6 Language of Bids 6.6.1 All bids and supporting documentation shall be submitted in English.
6.7 Period of Bid Validity 6.6.1 The Bids will be treated as valid for a period of 180 days from the closing date for submission of the bid
6.8 Format and Signing of Bid 6.8.1 The bid should be signed by the bidder or any person duly authorized to bind the bidder to the contract. The signatory should give a declaration and through authenticated documentary evidence establish that he/she is empowered to sign the tender documents and bind the bidder. All pages of the tender documents except brochures if any are to be signed by the authorized signatory. 6.8.2 Forms with respective annexures must be submitted and signed by the authorized signatory. Unsigned bids would entail rejection of the bid.
6.9 Correction of Errors 6.9.1 Arithmetic errors in bids will be treated as follows:
• Where there is a discrepancy between the amounts in figures and in words, the amount in words shall govern; and
• The amount stated in the tender form shall be considered as binding, unless it causes
the overall tender price to rise, in which case the bid amount mentioned in the ANX8_CommercialBidForm.doc shall govern.
6.10 Acceptance or Rejection of Bid
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6.10.1 RBI reserves the right not to accept any bid, or to accept or reject a particular bid at its sole discretion without assigning any reason whatsoever. The Bank’s decision in the matter will be final.
6.11 Duration and Condition of Engagement 6.11.1 Reserve Bank of India shall engage and appoint the successful Bidder till the completion and stabilization of full CIMS implementation to provide services as detailed in this document. 6.11.2 The Bidder is expected to provide services for the User Acceptance Testing, Performance Testing and Data Migration Audit of all the subsequent patches and new releases for the defects resolution and additional requirements. 6.11.3 All the changes/patches tested by the bidder will be released into the production post sign-off. Bidder shall co-ordinate with the development vendor team in agreement with RBI for the successful production rollout. 6.11.4 Tool proposed for the automated testing should be licensed in the name of the Bank and should be made available to the Bank for future use. The bidder is also expected to train the end users (core users of the project as identified by the Bank) till the Bank’s personnel gain sufficient expertise in using the automated testing tool. 6.11.5 RBI will reserve the right to terminate the services of the bidder at any point of the Project without assigning any reasons. In such case payment would be made commensurate with the last completed phase. 6.11.6 RBI will reserve the right to terminate the services of the bidder post completion of the User Acceptance Testing, Performance Testing and Data Migration Audit of the CIMS implementation. In such case, payment would be made for the completion of the testing phase. 6.11.7 Information collected or provided to the bidder would be confidential and shall not be used by him for any other purpose. The work/study carried out by the bidder would be the sole property of RBI. 6.11.8 At no point should bidder use the name of RBI without prior written permission to advertise itself.
6.12 General Terms and Conditions 6.12.1 The term of this bidder assignment is for the period of CIMS implementation till Go-Live by the CIMS vendor from the date of acceptance of appointment order or such extended period as may be mutually agreed up on. 6.12.2 Adherence to terms and conditions: The bidders who wish to submit responses to this RFP should note that they should abide by all the terms and conditions contained in the RFP. If the responses contain any extraneous conditions put in by the respondents, such responses will be disqualified and will not be considered for the selection process. 6.12.3 DISCLAIMER: RBI and/or its officers, employees disclaim all liability from any loss or damage, whether foreseeable or not, suffered by any bidder/ person acting on or refraining from acting because of any information including statements, information, forecasts, estimates or
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projections contained in this document or conduct ancillary to it whether or not the loss or damage arises in connection with any omission, negligence, default, lack of care or misrepresentation on the part of Bank and/or any of its officers, employees.
6.13 Other Terms and Conditions Reserve Bank of India reserves the right to: 6.13.1 Reject any and all responses received in response to the RFP without assigning any reason whatsoever 6.13.2 Cancel the RFP/Tender at any stage, without assigning any reason whatsoever and without incurring any liability or obligations. 6.13.3 Waive or Change any formalities, irregularities, or inconsistencies in this proposal (format and delivery). Such a change/waiver would be duly and publicly notified on RBI's website before the closure of the bid date 6.13.4 Extend the time for submission of all proposals and such an extension would be duly and publicly notified on RBI's website 6.13.5 Select the next most responsive bidder if the first most responsive bidder evaluated for selection fails to result in an agreement within a specified time frame 6.13.6 Share the information/ clarifications provided in response to RFP by any bidder, with all other bidder(s) /others, in the same form as clarified to the bidder raising the query. 6.13.7 The key persons identified by the bidder for the project should carry out their activities from the premises of Reserve Bank of India, Mumbai and Reserve Bank of India, Navi Mumbai. 6.13.8 Substitution of Project Team Members: During the assignment, the substitution of key staff such as Project Manager, Team Leader etc identified for the assignment will not be allowed unless such substitution becomes unavoidable to overcome the undue delay or that such changes are critical to meet the obligation. In such circumstances, the bidder can do so only with the concurrence of RBI by providing other staff of same level of qualifications and expertise. If RBI is not satisfied with the substitution, RBI reserves the right to terminate the contract and recover whatever payments have been made by RBI to the bidder during the course of this assignment besides claiming an amount, equal to the contract value as liquidated damages. However, RBI reserves the right to insist the bidder to replace any team member with another (with the qualifications and expertise as required by RBI) during the course of assignment. 6.13.9 Professionalism: The bidder should provide professional, objective and impartial services at all times and hold RBI’s interests’ paramount and should observe the highest standard of ethics while executing the assignment. 6.13.10 Adherence to Standards: The bidder should adhere to laws of land and ‘rules, regulations and guidelines’ prescribed by various regulatory, statutory and Government authorities. 6.13.11 No legal binding relationship: It may be noted that no binding legal relationship will exist between any of the Respondents of this RFP and RBI, until execution of a contractual agreement. 6.13.12 RBI reserves the right to conduct an audit/ongoing audit of the services provided by the bidder.
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6.13.13 RBI reserves the right to ascertain information from the banks and other institutions to which the bidders have rendered their services for execution of similar projects. 6.13.14 The bidders who involve in any form of lobbying/ influencing/ canvassing etc., in selection process will be disqualified.
6.14 Expenses incurred by successful bidder on the project 6.14.1 Expenses: It may be noted that the project office from where the project shall be managed and implemented shall be established in Mumbai and Navi Mumbai. RBI will not pay any amount /expenses /charges /fees /travelling expense /boarding expenses /lodging expenses /conveyance expenses /out of pocket expenses other than the “Agreed Professional Fee”. 6.14.2 However, travelling, boarding and lodging expenses, if any, for site visits outside Mumbai and Navi Mumbai for project related work will be discussed with RBI as to the need, duration, number of personnel involved, etc., and will have to be cleared by RBI in advance in writing. Settlement of bills in such cases will be at rates applicable to Grade B/C officers of RBI against production of tickets and bills depending upon the designation of the staff of the bidder firm who undertakes the journey. Mumbai will be considered as the base station for the purpose of travelling.
6.15 Evaluation and Comparison of Bids Only bids from Bidders meeting the defined requirements and submitting complete and responsive bids will be processed to the stage of being fully evaluated and compared. The evaluation criteria shall be based on the requirements, stated elsewhere in this document.
6.16 Notification of Award 6.16.1 The acceptance of a tender, subject to contract, will be communicated in writing at the address supplied by the Bidder in the tender response. Any change of address of the Bidder, should therefore be promptly notified to The Adviser-in-Charge, Reserve Bank of India Department of Statistics and Information Management (DSIM), Data Warehousing Division, C-9, 3rd Floor, Bandra Kurla Complex, Bandra (East), Mumbai – 400 001, Maharashtra, India
6.17 Authorized Signatory for signing the contract
The selected bidder shall indicate the authorized signatories who can discuss and correspond with RBI, with regard to the obligations under the contract. The selected bidder shall submit at the time of signing the contract, a certified copy of the resolution of their Board, authenticated by Company Secretary, authorizing an official or officials of the company or a Power of Attorney copy to discuss, sign agreements/contracts with RBI. The bidder shall furnish proof of signature identification for above purposes as required by RBI.
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6.18 Signing of Contract
The Bidder shall be required to enter into a contract with Reserve Bank of India, within 15 days of the award of the tender or within such extended period.
6.19 Right to Reject Bids 6.19.1 RBI reserves the absolute right to reject the response/proposal if it is not in accordance with its requirements and no correspondence will be entertained by RBI in the matter. The bid is liable to be rejected if,
• It is not in conformity with the instructions mentioned in this tender document.
• If it is not strictly as per prescribed form and format
• It is not properly/duly signed.
• It is received through Fax, Telex or Telegram.
• It is received after expiry of the due date and time
• It is incomplete including non-furnishing of the required documents.
• It is evasive or contains incorrect information.
• There is canvassing of any kind.
• It is submitted anywhere other than the address provided in section 6.2.1.2.
6.20 Vicarious Liability The bidder shall be the principal employer of the employees, agents, contractors, subcontractors etc., engaged by the bidder and shall be vicariously liable for all the acts, deeds or things, whether the same is within the scope of power or outside the scope of power, vested under the contract. No right of any employment shall accrue or arise, by virtue of engagement of employees, agents, contractors, subcontractors etc., by the bidder, for any assignment under the contract. All remuneration, claims, wages dues etc., of such employees, agents, contractors, subcontractors etc., of the bidder shall be paid by the bidder alone and RBI shall not have any direct or indirect liability or obligation, to pay any charges, claims or wages of any of the bidder’s employees, agents, contractors, subcontractors etc. The bidder shall agree to hold RBI, its successors, assigns and administrators fully indemnified, and harmless against loss or liability, claims, actions or proceedings, if any, that may arise from whatsoever nature caused to RBI through the action of bidder’s employees, agents, contractors, subcontractors etc.
6.21 Non Payment of Professional Fees
If any of the items/activities as mentioned in the price bid and as mentioned in ANX8_CommercialBidForm.doc are not taken up by RBI during the course of this assignment, RBI will not pay the professional fees quoted by the bidder in the Price Bid against such activity/item.
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6.22 Assignment
Neither the contract nor any rights granted under the contract may be sold, leased, assigned, or otherwise transferred, in whole or in part, by the bidder, and any such attempted sale, lease, assignment or otherwise transfer shall be void and of no effect without the advance written consent of RBI.
6.23 Non-Solicitation
6.23.1 The bidder, during the term of the contract and for a period of two years thereafter shall not without the express written consent of RBI, directly or indirectly: 6.23.2 Recruit, hire, appoint or engage or attempt to recruit, hire, appoint or engage or discuss employment with or otherwise utilize the services of any person who has been an employee or associate or engaged in any capacity, by RBI in rendering services under the contract; or 6.23.3 Induce any person who shall have been an employee or associate of RBI at any time to
terminate his/ her relationship with RBI.
6.24 No Employer-Employee Relationship
The bidder or any of its holding/subsidiary/joint-venture/ affiliate / group / client companies or any of their employees / officers / staff / personnel / representatives/ agents shall not, under any circumstances, be deemed to have any employer-employee relationship with RBI or any of its employees/officers/ staff/representatives/ personnel/agents.
6.25 Subcontracting
The bidder shall not subcontract or permit anyone other than its personnel and the parties enlisted in the response to perform any of the work, service or other performance required of the bidder under the contract without the prior written consent of RBI.
6.26 Integrity Pact
6.26.1 As a part of the implementation of Integrity Pact programme in the Bank all bids will be covered under the integrity programme and the bidders are required to sign the Integrity Pact document and submit the same to the Bank along with the bids.
• All bidders need to sign the Integrity Pact before the bids are opened by the Bank. Bids without the signed Integrity pact are liable to be rejected.
• Only those bidders who have signed the Integrity document and submitted the bid can send their queries, if any, to designated e-mail id specified in the RFP.
• Bidders are requested to sign the Integrity pact as per the relevant Annex. 6.26.2 The Integrity Pact envisages, if required, the appointment of an Independent External Monitor (IEM) who would independently review the extent to which the two parties to the contract (the bidder and the Bank) have complied with their obligations under the Integrity Pact. As approved by the Central Vigilance Commission Shri Jayant Kumar Banthia, IAS (Retd.) has been appointed as an Independent External Monitor (IEM) in RBI.
END OF DOCUMENT
Annex 1
1
Reserve Bank of India
Test Plan
This document contains 6 pages
Annex 1
2
Contents
1 Test Plan Identifier 3
2 References 3
3 Introduction 3
4 Test Items 3
5 Software Risk Issues 3
6 Features to be tested 3
7 Features not to be tested 3
8 Methodology and Approach 3
9 Item Pass/Fail Criteria 4
10 Entry & Exit Criteria 4
11 Suspension Criteria and Resumption Requirements 4
12 Test Deliverables 4
13 Environmental Needs 4
14 Schedule 5
15 Responsibilities 6
16 Planning Risks and Contingencies 6
17 Approvals 6
Annex 1
3
1 Test Plan Identifier
The section should include a unique identifier to identify the test plan, its version and the version of the software that are related to the test plan.
2 References
This section should include references to the documents that support this plan. Documents that can
be referenced, but not limited to the following, include:
CIMS Project Plan
Requirement Specification documents
Design documents
Development and Test process standards
Test methodology guidelines
3 Introduction
This section forms the executive summary of the test plan and should include the purpose of the test plan and the brief testing scope.
4 Test Items
This section should include a list of items that you intend to test within the scope of this plan. This information includes version numbers, configuration requirements where needed. It may also include key delivery schedule issues for critical elements. This section can be oriented to the level of the test plan. For higher levels it may be by application or functional area, for lower levels it may be by program, unit, module or build.
5 Software Risk Issues
This section should list down the risks associated with testing the CIMS Application.
6 Features to be tested
This section should include a list of what is to be tested from the USERS’ viewpoint of what the system does. This is not a technical description of the software, but a USERS’ view of the
functions. The level of risk for each feature should also be specified using a simple rating scale such as (H, M, L): High, Medium and Low.
7 Features not to be tested
This section should include a list of features and significant combinations of features, not to be tested. It should also incorporate the reasons behind not testing the said features.
8 Methodology and Approach
8.1 This section includes the overall test strategy, the project testing approach and methodology. It should include detailed information about, but not limited to, the following:
Annex 1
4
8.1.1 Details about the coverage of requirements
8.1.2 Test preparation and order of test execution
8.1.3 Tools and techniques proposed for the testing and their capabilities. This should also include information about any defect tracking tools being proposed.
8.1.4 Test hardware and test software. This should include the minimum hardware requirement for the test software.
8.1.5 Details about regression testing, what levels of regression testing would be done, what will it be based on.
8.1.6 Test metrics identified for this testing.
8.1.7 Frequency and approach for periodic reporting on the progress of the project and actual status vis-à-vis scheduled status.
9 Item Pass/Fail Criteria
This section should describe the pass/fail criteria to be used to determine whether a test item has passed or failed.
10 Entry & Exit Criteria
This should describe the criteria to be used to decide when to start the testing and when to stop it.
11 Suspension Criteria and Resumption Requirements
11.1 This section should include the criteria for deciding when to pause in a series of tests.
11.2 The Suspension criteria specify the criteria to be used to suspend all or a portion of the testing
activities. The resumption criteria specify when the testing can resume after it has been suspended.
12 Test Deliverables
12.1 This section should provide a list of deliverables to be submitted as a part of the Testing.
12.2 Samples should be provided for, but not limited to, the following deliverables/documents:
Test Cases
Test Scripts
Testing and Defect tracking tools’ outputs
Dashboards
Defect Log
Test log
Consolidated Test Summary Report
Weekly status report
Annex 1
5
13 Environmental Needs
13.1 This section should provide details about the test environment: the hardware and software to be used to perform the testing. The test environment also includes the defect tracking tools used
to track all the defects and project issues.
13.2 It should also incorporate details about network configuration, interfaces and security.
14 Schedule
15.1 This section should define test milestones and estimate the time and effort required to perform each testing task. 15.2 A detailed testing schedule should be provided in MS Project/.mpp file format.
Project Schedule Serial
No Phase
Month Wise Work Plan (in Gantt Chart)
1 2 3 4 5 6 7 8 9 …..
….. N
1 Project specifications gathering and studying the detailed requirements:
• The task listing shown above is illustrative. The bidders may add tasks/ sub-tasks to the above as appropriate.
Annex 1
6
• The bidders are also required to state critical milestones under each phase in the work plan. • In all above areas, it is essential for the vendor to propose a team of professionals who will carry out
the job and necessary to identify the requirements from the bank’s side and expected resources availability. A clear and concise roles and responsibility matrix would be of extreme use to convey the requirements at each stage.
15 Responsibilities
16.1 This section should specify the team members and their responsibilities in the test project. The
groups responsible for designing, preparing, managing, executing, resolving test activities, setting up the test environment etc. should be identified and specified. 16.2 The structure of the team proposed for carrying out the CIMS Testing at RBI must be
provided.
16 Planning Risks and Contingencies
The overall risks to the testing project should be identified and mentioned along with the respective contingency steps in this section.
17 Approvals
This section should include the names and designations of the stakeholders who would be responsible/authorized for providing approvals for each test milestone defined in the test
schedule.
Annex 2: Request for Proposal for Third Party Audit for the
implementation of CIMS Solution
1
Reserve Bank of India
Audit Tools, Methodology and Approach
This document contains 4 pages
Annex 2 Request for Proposal for Third Party Audit
for the implementation of CIMS Solution
2
Contents
1 Audit tool and capabilities 3
2 Data Migration Audit Methodology 3
3 Project Management Methodology 3
4 Sample Deliverable Format 3
5 Proposed Team Structure 3
6 Team Profile and CVs 4
Annex 2 Request for Proposal for Third Party Audit
for the implementation of CIMS Solution
3
1 Audit tool and capabilities
This Section should include the capabilities of the audit tool proposed by the bidder to carry out CIMS Data Migration Audit at RBI.
2 Data Migration Audit Methodology
This Section should include the bidder’s CIMS UAT/ Performance Testing/ Data Migration Audit methodology.
3 Project Management Methodology
This Section should include the project management methodology employed by the bidder for the CIMS UAT/ Performance Testing/Data Migration Audit project. The bidder should mention details about the below points:
• Details of Methodology/approach • Frequency and approach for periodic reporting on the progress of the
project and actual status vis-à-vis scheduled status • Project management activities • Roles and responsibilities of proposed personnel both from the vendor
and bank end • Any other details of project management methodology that you want
the bank to know 4 Sample Deliverable Format
4.1 The bidder should provide proposed deliverable format for the ‘Migration Audit Report’, ‘Final Compliance Report’ and ‘Weekly Status Report’. 4.2 The bidder should provide explanation on these deliverable formats including details of how the same were utilized in a similar project. 4.3 However, the final format of the deliverables shall be finalized with the successful bidder upon mutual discussion and agreement. 5 Proposed Team Structure
This section should include structure of the team proposed by the bidder for carrying out the CIMS UAT/ Performance Testing /Data Migration Audit at RBI.
4
Annex 2 Request for Proposal for Third Party Audit
for the implementation of CIMS Solution
6 Team Profile and CVs
This section should provide details about the profile of team members proposed for carrying out the CIMS UAT/ Performance Testing /Data Migration Audit at RBI in the below format:
In addition to the above, documentary proofs along with individual CVs are to be enclosed to substantiate the claims made.
Employee Name & Designati
on
Role in Project
Task Assigned
Total years of
experience
End to End audit and testing
experience of DW/DL (Mention
if he/she has audited DW/DL
Data Migration in Banks earlier) in terms of years and areas of
expertise
Years with the
Bidder
Professional & Educational
Qualifications
Certifications/ Accreditations
Details of DW/DL UAT/Performance
Testing/Data Migration Audit
assignments – Key Clients, Nature of project and role in
the project
1 Bank X - Project Manager (UAT/Performance Testing /Data Migration Audit)
2 Bank Y - Project Manager (UAT/Performance Testing /Data Migration Audit)
Annex 3
Confirmation of Terms and Conditions
(On letterhead of all the bidder) To
Adviser-in-Charge Reserve Bank of India Department of Statistics and Information Management RBI, BKC, Mumbai – 400 051, Maharashtra, India
Dear Sir,
Sub: Request for Proposal for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System at Reserve Bank of India.
Further to our proposal dated in response to the Request for Proposal for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System (hereinafter referred to as “RFP”) issued by Reserve Bank of India (“RBI”) we hereby covenant, warrant and confirm as follows:
We hereby agree to comply with all the terms and conditions / stipulations as contained in the RFP and the related addendums and other documents including the changes made to the original tender documents issued by RBI, provided however that only the list of deviations furnished by us in Appendix Form of the main RFP document which are expressly accepted by RBI and communicated to us in writing, shall form a valid and binding part of the aforesaid RFP document. RBI is not bound by any other extraneous matters or deviations, even if mentioned by us elsewhere either in our proposal or any subsequent deviations sought by us, whether orally or in writing, and RBI’s decision not to accept any such extraneous conditions and deviations will be final and binding on us.
Yours faithfully,
Authorized Signatory
Designation
Bidder’s corporate name
Date:
1
1
Annex 4
Confirmation to Deliver
(On letterhead of the Bidder) To Advisor-in-Charge Reserve Bank of India Department of Statistics and Information Management RBI, BKC, Mumbai – 400 051, Maharashtra, India
Dear Sir,
Re: Tender dated MMMM, DD, YYYY TECHNICAL BID for the User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System at the Reserve Bank of India
1 Having examined the Tender Documents including Annexure, the receipt of which is hereby duly acknowledged, we, the undersigned, offer to provide ALL the services mentioned in the ‘Request for Proposal’ and the other Tender Documents in accordance with the schedule of Prices indicated in the Price Bid and made part of this Tender.
2 If our Bid is accepted, we undertake to comply with the delivery schedule as mentioned in the Tender Document.
We attach hereto the Tender Response as required by the Tender document, which constitutes my/our bid.
We undertake, if our Tender is accepted, to adhere to the plan put forward in our Tender Response or such adjusted plan as may subsequently be mutually agreed between us and the Reserve Bank of India or its appointed representatives.
3 We agree to abide by this Tender Offer for 180 days from the last day of bid submission and our Offer shall remain binding on us and may be accepted by RBI any time before expiry of the offer.
4 This Bid, together with your written acceptance thereof and your notification of award, shall constitute a binding Contract between us.
We agree that you are not bound to accept the lowest or any Tender Response you may receive. We also agree that you reserve the right in absolute sense to reject all or any of the goods /products specified in the Tender Response without assigning any reason whatsoever.
2
Annex 4
It is hereby confirmed that I/We are entitled to act on behalf of our corporation/company/firm/organization and empowered to sign this document as well as such other documents which may be required in this connection.
5 We undertake that in competing for and if the award is made to us, in executing the subject Contract, we will strictly observe the laws against fraud and corruption in force in India namely “Prevention of Corruption Act 1988”.
6 We certify that we have provided all the information requested by RBI in the format requested for. We also understand that RBI has the exclusive right to reject this offer in case RBI is of the opinion that the required information is not provided or is provided in a different format.
Dated this …………………………. Day of …………………...2019
……………………………………………. …………………………………………….
(Signature) (In the capacity of)
Duly authorized to sign the Tender Response for and on behalf of:
(On letterhead of the bidder) To Advisor-in-Charge Reserve Bank of India Department of Statistics and Information Management RBI, BKC, Mumbai – 400 051, Maharashtra, India
Dear Sir,
Sub: Request for Proposal for, User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System at Reserve Bank of India. Further to our proposal dated in response to the Request for Proposal for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System (hereinafter referred to as “RFP”) issued by Reserve Bank of India (“RBI”) we hereby covenant, warrant and confirm as follows:
We have met all the criteria set out for our eligibility of the RFP. We have provided the references for meeting each eligibility criterion mentioned in the table below:
1. The company should be a dedicated testing and data migration audit firm or a firm having a dedicated business line / practice for testing of
Past Experience in conducting User Acceptance Testing, Performance Testing and Data Migration Audit of
Attested documents of MoA or similar documents. Self-attested documents stating the details of the company and the business line / practice executing testing activities
Annex 5
2
software products and data migration audit experience for minimum 3 years as on March 31st, 2019
DW/DL in BFSI or Telecom sector
and acknowledgement letters of past credentials for the past 3 years from bidder’s clients.
2. All companies must have a permanent establishment with adequate technical staff (minimum 100 on-roll staff members) for testing work in India. Note: All bidders must ensure that the name of the legal entity on the technical proposal must correspond to the name on the financial statements.
1. The company should have a presence in India for at least 5 years as on 31st March’19 2. The company must be profit making company for the last three years and its net worth should be positive 3. The company must have a dedicated testing team of minimum 100 personnel 4. The company or any of its subsidiaries / related legal entities should have never been blacklisted /
Attested copies of the Certificate of Incorporation and Financial Statements for last three financial years; 2016-17, 2017-18 and 2018-19. For staff strength, attested copies indicating the breakup of staff is required.
Annex 5
3
barred (temporary or permanent) / disqualified by any regulator / statutory body in India or internationally 5. Company must have an average annual financial turnover of at least Rs 1 Crore during the last three years ending 31st March, 2019
3 The company should not have participated in the bidding process (includes RFP only) for the “Implementation of CIMS Solution for RBI” RFP released by the Bank.
All CIMS Solution OEM / Product Vendors are debarred from bidding for this tender
4 Past experience in conducting on-site, User Acceptance Testing, Performance Testing, Data Migration Audit of similar solution in BFSI
Experience should be in User Acceptance Testing, Performance Testing, Data Migration Audit
Acknowledgement Letter on the client’s letterhead indicating, but not limited to, the scope of work for which the User Acceptance Testing, Performance
Annex 5
4
or Telecom sector
Testing, Data Migration Audit was performed. The letter should clearly indicate satisfactory completion of the above scope of work by the bidder.
5 Team Competence The bidder must propose a detailed team composition for the defined scope in the document There should be a minimum of 4 Team Leaders proposed for testing the functionalities for Modules pertaining in solution with respect to 1. Data collection Layer 2. Data Validation, Processing and Governance Layer 3. Data Repository Layer 4. Data Dissemination Layer
RBI envisages a structure headed by a project manager supported by professionals and/or subject matter experts qualified and experienced in the areas of the User Acceptance testing, Performance Testing, Data Migration Audit and Big Data. The Project Manager should have minimum 5 years of project management experience including a minimum 2 years of User Acceptance testing,
CVs of the team proposed clearly outlining their respective areas of experience The past experience details of the team proposed should be in sync with the past experience details of company provided in response to this RFP
Annex 5
5
The above team leaders proposed should have experiences in the User Acceptance testing, Performance Testing and Data Migration Audit of the above functionalities. The bidder must propose a testing team of minimum 16 personnel.
Performance Testing, Data Migration Audit and Big Data experience. Each team member should have banking domain knowledge and should have minimum 1 year of the User Acceptance testing, Performance Testing and Data Migration Audit experience
Annex 5
6
We hereby acknowledge and confirm that: We are not a Centralized Information Management System OEM / Product Vendor We have not participated in the bidding process (RFP only) for the “Implementation of Centralized Information Management System for RBI” RFP released by the Bank. We have not been connected to any of the bidders who have participated in the “Implementation of Centralized Information Management System for RBI” RFP released by the Bank by way of majority / minority holding either ways. We are not a business partner and do not have any financial relationship with “Selected Bidder” for past three years as on 31st March 19. No relative of the bidders is working in the Reserve Bank of India. For anyone working in the RBI who is related to the bidders, we have provided the details below:
Name: Designation: Department:
All the above details submitted by us are true and correct to the best of our knowledge and if it is proved otherwise at any stage of execution of the contract, Reserve Bank of India has the right to summarily reject the proposal and disqualify us from the process. We understand that, RBI is not bound by any other extraneous matters or deviations, even if mentioned by us elsewhere either in our proposal or any subsequent deviations sought by us, whether orally or in writing, and RBI’s decision not to accept any such extraneous conditions and deviations will be final and binding on us. Yours faithfully, Authorized Signatory Designation Bidder’s corporate name Date:
1
Annex 6
1 Submission Check List
1.1 Submission Checklist for Technical Bid
The bidder has to ensure that the following have been submitted as a part of the RFP submission process. Failure to provide any of the documents as detailed below could lead to the disqualification of the bidder from the bid.
ANX1_TestPlan and ANX2_Audit_Tools_Methodology_and_Approach
Formats
The following Letters and Formats need to be submitted
Letter/ Format Submitted (Bidder)
Verified (Bank)
ANX3_ConfirmationOfTermsAndConditions.doc
ANX4_ConfirmationToDeliver.doc
ANX5_ConfirmationOfEligibility.doc
ANX6_SubmissionChecklist.doc
ANX7_TechnicalBidForm.doc
ANX9_PrebidQueryFormat.doc
Integrity Pact
2
Annex 6
1.2 Submission Checklist for Commercial Bid
1.2.1 Commercial Bid Documents
The following documents need to be provided by the Bidder for the Commercial Bid in a separately sealed cover.
Commercial Bid Documents Submitted (Bidder)
Verified (Bank)
ANX8_CommercialBidForm.doc
ANX10_CommercialBOMForProject.doc
ANX11_CommercialBOM.xls
Annex 7
1
1 Technical Bid Form BIDDER 1 The registered name of the bidding company 1.1 Business address for correspondence 1.1.1 Location 1.1.2 Street 1.1.3 Locality 1.1.4 City 1.1.5 Pin Code 1.1.6 Country 1.1.7 Telephone 1.1.8 Facsimile 1.1.9 Email 1.1.10 Other 2 Contact Name of the Bidder 2.1 Contact’s position with Bidder 2.2 Contact address if different from above 2.2.1 Location 2.2.2 Street 2.2.3 Locality 2.2.4 City 2.2.5 Pin Code 2.2.6 Country 2.2.7 Telephone 2.2.8 Facsimile 2.2.9 Email 2.2.10 Other 3 Business Structure
Annex 7
2
4 Bid Company’s Registered Address 5 Details of company’s registration 6 Names of Directors Chairman/ President/ Manager Director/ Directors 7 Include a structure chart reflecting the organization Experience in Similar Projects: (Give details about the following with respect to the methodology followed by you in projects of
similar nature and complexity – a minimum one project please. Similar project here means User Acceptance Testing, Performance Testing and Data Migration Audit project. For more than one project please attach separate sheets.)
8 Project Name 9 Project Location 10 Client Name 11 Client Address 12 Client Contact/ Reference Name Person(s) Address – if different from
above
12.1 Telephone 12.2 Facsimile 12.3 Mobile Phone
Email Address 13 Project Started (month/year) 14 Project lapsed time – months-vis-à-vis project schedule 15 Man-months effort 16 Name of senior project staff 16.1 16.2
Project Director Project Manager
16.3 Other 17 Nature of the project 17.1 Any other information about the project that the bidder
wants the bank to know
18 Names of the project manager identified for assignment under this RFP and his professional qualifications and experience/ expertise. Details of similar assignments handled by the said project manager. Documentary proofs for all the assertions are to be enclosed
Please provide reference of the document where this has been provided
Annex 7
3
19 Names of the team leaders identified for assignment under this RFP and their professional qualifications and experience/ expertise. Details of similar assignments handled by the said team leaders. Documentary proofs for all the assertions are to be enclosed
Please provide reference of the document where this has been provided
20 Names of the team members identified for assignment under this RFP and their professional qualifications and experience/ expertise. Details of similar assignments handled by the said team members. Documentary proofs for all the assertions are to be enclosed
Please provide reference of the document where this has been provided
21 Details about the audit tools proposed for carrying out the testing scope of RFP (along with the detailed capabilities)
Please provide reference of the document where this has been provided
22 Detailed project plan along with estimated work plan and time schedules for providing testing/audit services for assignment under this RFP
Please provide reference of the document where this has been provided
23 Full details of the bidder’s proposed methodology/approach for providing user acceptance testing, performance testing and data migration audit services to the bank with specific reference to the scope of work. Details of deliverables other than “Deliverables” specified by the bank, the bidder proposes with specific reference to the scope of work.
Please provide reference of the document where this has been provided
Team Profile S No. Details Required from Vendor Vendor Response Comments 1 Current strength of employees in the vendor organization with
experience in UAT, Performance Testing, Data Migration Audit and on proposed tool.
2 Current strength of employees in the vendor organization with experience in UAT, Performance Testing and Data Migration Audit projects.
3 Certifications possessed by the bidder in connection with the
Annex 7
4
quality of internal processes and services delivered/ methodology used in delivery.
4 Number of years of UAT, Performance Testing, Data Migration Audit and Big Data experience of the project manager proposed.
Please provide reference of the document where this experience has been detailed out
5 Number of years of UAT, Performance Testing, Data Migration Audit and Big Data experience of the four team leaders proposed.
Please provide reference of the document where this experience has been detailed out
6 Number of years of UAT, Performance Testing, Data Migration Audit and Big Data experience of the team members proposed.
Please provide reference of the document where this experience has been detailed out
7 Team size proposed for this project Past Experience S No. Experience In Number of Projects No. of Years of Experience Details of Project 1 User Acceptance Testing,
Performance Testing and Data Migration Audit projects
Please provide reference of sections where this has been provided
1
Annex 8
1 Commercial Bid Form
To Advisor-in-Charge Reserve Bank of India Department of Statistics and Information Management RBI, BKC, Mumbai – 400 051, Maharashtra, India
Date
Dear Sir,
Subject: Tender dated MMMM-DD-YYYY COMMERCIAL BID for the User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System at the Reserve Bank of India
Having examined the Tender Document, we, the undersigned, offer to provide all the services mentioned in the ‘Request for Proposal’ and the other Tender Documents for a total bid price of:
Indian Rupees in words and figures.
We attach here to the Tender Commercial Response as required by the Tender document, which constitutes our bid.
We undertake, if our Tender is accepted, to adhere to the User Acceptance Testing, Performance Testing and Data Migration Audit plan put forward in our Tender Response or such adjusted plan as may subsequently be mutually agreed between us and the Reserve Bank of India or its appointed representatives.
We agree to abide by this Tender Response for a period of 180 days from the last day of bid submission and it shall remain binding upon us, until within this period a formal contract is prepared and executed, this Tender Response, together with your written acceptance thereof in your notification of award, shall constitute a binding contract between us.
We agree that you are not bound to accept the lowest or any Tender Response you may receive. We also agree that you reserve the right in absolute sense to reject all or any of the goods/products specified in the Tender Response without assigning any reason whatsoever.
It is hereby confirmed that I/We are entitled to act on behalf of our corporation/company/firm/organization and empowered to sign this document as well as such other documents which may be required in this connection.
We undertake that in competing for and if the award is made to us, in executing the subject Contract, we will strictly observe the laws against fraud and corruption in force in India namely “Prevention of CorruptionAct1988”.
Dated this…………………………. Day of………………….2019
…………………………………………….…………………………………………….
2
Annex 8
(Signature) (In the capacity of)
Duly authorized to sign the Tender Response for and on behalf of:
1.1 Bidder’s request for Clarification - to be submitted minimum of two days before pre-bid meeting
If, bidder, desiring to respond to RFP for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System, require any clarifications on the points mentioned in the RFP may communicate with Reserve Bank of India using the following format.
All questions received at least two days before the pre-bid meeting will be formally responded to and questions/points of clarification and the responses will be circulated to all participating bidder if required. The source (identity) of the bidder seeking points of clarification will not be revealed. Alternatively, RBI may at its discretion, answer all such queries in the Pre-bid meeting. Execution of Data Migration Audit Project - RFP BIDDER’S REQUEST FOR CLARIFICATION To be mailed, delivered, faxed or emailed to: to [email protected]; [email protected]; [email protected]
Adviser-in-Charge
Name of Organization submitting request
Name & position of person submitting request
Full formal address of the organization including phone, fax and email points of contact
1 In case of multiple queries, the contact details need not be repeated and only last two rows of the above format (table) are to be furnished for the subsequent queries.
2 Please indicate the preferred method and address for reply.
3 Please use email or softcopy as a preference but forward hard copy confirmations. 1.2 Query Response Format
S No. Vendor
Name Coordinating Person Name
RFP Reference
Query RBI Response
Annex 10
1
Reserve Bank of India
Commercial Bid Format for User Acceptance Testing, Performance Testing and Data Migration Audit of Centralized Information Management System
Ref. No.
This document is the property of Reserve Bank of India (RBI). It may not be copied, distributed or recorded on any medium, electronically otherwise, without the RBI’s written permission therefore. The use of the
contents of this document, even by the authorized personnel / agencies for any purpose other than the purpose specified herein, is strictly prohibited and shall amount to copyright violation and thus,
shall be punishable under the Indian Law
Annex 10
2
S.No. Particulars Cost Grand Total 0.00
1 User Acceptance Testing, Performance Testing Professional Fees (inclusive of all the charges and taxes)
2 Data Migration Audit Professional Fees (inclusive of all charges and taxes)
3 Any additional line item for which you may want to specify the cost explicitly (inclusive of all charges and taxes)
Optional
Area of Work Optional for the Bank Cost (INR)
UAT, Performance Testing
Automated Testing Tools Man Month Rate for UAT, Performance Testing
Data Migration Audit Automated Auditing Tools (inclusive of all applicable charges and taxes)
