A Pre-bid meeting in connection to the above RFP was held on August 14, 2018 at 15.00 Hrs. at RBI DBS CO, WTC office in Mumbai. The queries raised by the perspective bidders on the captioned RFP were addressed and the details of the discussion that emanated from the meeting in this regard are as under.
| S.N. | Section / Page # | Query | RBI Clarifications / Reply |
| 1. | General | | It is to be noted that terms RBI and Bank have been used interchangeably in the RFP as well in the Corrigendum and they both mean the same i.e., the Reserve Bank of India and/or its representatives, as the case maybe. |
| 2. | 2. Overview of the Auditor Allocation System
Page 12 | Please provide number expected users for this AAS from RBI, ICAI and Public-Sector Banks. | As defined in RFP, the proposed Application should, initially, support total of 200 users and 50 concurrent users. However, the Application should be capable of scaling up to 500 users and 200 concurrent users, if required. |
| 3. | 2. Overview of the Auditor Allocation System
Page 12 | Is there any need for individual audit firms or auditors to have access to this AAS? If yes, what is the expected number of such users who should have access to AAS? | The AAS Application should be capable of adding new users/agencies (including but not limited to audit firms or auditors), if required and recommended by RBI. |
| 4. | 2.1 Overview of Branch AAS-As Is
Page 13 | Please provide technical information (OS, Application Server, Programming Language, Database) about current AAS in use at RBI. | The new Application may be independently developed irrespective of As-Is Application. |
| 5. | 2.1 Overview of Branch Auditor Allocation System-As Is
Page 13 | Please name Dept-1, Dept-2 and Dept-3 in the RBI that has access to the current AAS. | Multiple departments/agencies within or outside RBI may require access to the AAS Application. The Application should be capable enough to add new users/agencies if recommended by RBI. Details may be finalized during the requirement gathering activity. |
| 6. | 2.1. As-IS system
Page 13 | Please provide the Technical stack of the existing system e.g. Technology/Platform used, COTS/Open Source Product etc. | The New AAS Application need not have any dependency on the existing system and technology. An overview was provided during the pre- bid discussion. |
| 7. | 2.2 Proposed AAS Application
Page 14 | Please provide the template used for Central Auditors list and Denied Auditor list. | Denied Auditor List: approx. 8 to 10 fields, Central Auditors List: approx. 3 to 5 Fields. However, please note that the exact number and format of the fields should be analyzed and finalized as part of the requirement gathering activity. |
| 8. | 2.2 Proposed AAS Application
Page 14 | Are there different user roles within ICAI and PSB modules? Or Does everyone get to access same set of functionalities? | There are possibilities of having different user types as well as multiple users having access to same set of functionalities for ICAI and PSBs. Please refer to Section 2.4.1 in the RFP for more information on User Management. |
| 9. | 2.2 Proposed AAS Application
Page 14 | Please list all business rules that needs to be parameterized. | The parameters for the business rules would be shared during the requirement gathering activity. However, the RBI User should be able to modify the parameterization rules as per the business requirements. |
| 10. | 2.2 Proposed AAS Application
Page 14 | What is the format files that are uploaded and what is the maximum file for each upload? | The format of the file could be excel or csv or any appropriate solution mutually agreed by the bidder and the Bank. |
| 11. | 2.2 Proposed AAS Application
Page 14 | What is the volume of the data to be migrated? | In addition to Master data setup, approximately 100 MB of incremental data per year may be accounted. However, the bidder is expected to analyze the actual volume of the data to be migrated, during the requirement gathering activity and propose the data migration strategy accordingly. |
| 12. | 2.2 Proposed AAS Application
Page 14 | What are the type of on-demand reports? How many such on-demand reports are required? | The RBI User should have the flexibility to define the fields and filters to generate On-demand reports as per business needs. The scope can be finalized during the requirement gathering activity. |
| 13. | 2.2 Proposed AAS Application
Page 14 | Please provide complete list of master data that is in use for current AAS. | There are approximately 6 to 8 master data tables in the current AAS Application. However, the bidder is expected to identify the required number of master data tables as per the outcome of the requirement gathering activity. |
| 14. | 2.2 Proposed AAS Application
Page 14 | What are the types of audit trail reports that need to be generated? | The audit trails should be able to capture all the changes from what-to-what and by which user. The bidder may recommend the appropriate solution as per its expertise and experience. |
| 15. | 2.3 Functional Requirement of Proposed Solution
Page 15 | Please provide a complete list of all reference data that is expected to be used in AAS. | As stated in RFP, Section 2.4.1 (9), for features such as Single Sign-On or similar requirements, the integration may be required with other RBI application(s).
Additionally, the new Application should be designed to have this capability for any future integration, as required and recommended by RBI. |
| 16. | 2.3 Functional Requirement of Proposed Solution
Page 15 | Please provide sample of Auditor Panel List. | Please refer the Statutory Branch Auditor Allocation Report available on the RBI website. More details about the auditors can be found on ICAI website. The sample of Auditors Panel List would be provided during the requirement gathering activity. |
| 17. | 2.3 Functional Requirement of Proposed Solution
Page 15 | Please provide list of validation rules that should be applied by the validation module. | Please refer the circulars released by RBI, on Statutory Branch Auditor Allocation, to have a brief idea about the validation rules and relevant details. All the validation rules would be discussed and finalized during the requirement gathering activity. |
| 18. | 2.4.1 User Management
Page 16 | Please provide sample copy of authorization matrix. | The authorization matrix should follow the concept of Maker-Checker. Additionally, the users should be able to forward the requests (approval etc.) to higher authority, if required. The RBI super user should be able to define the authorization matrix. |
| 19. | 2.4.1 User Management
Page 16 | 2.4.1 (4) should be read as → | PSBs and ICAI, both, should be allocated at least 2 User IDs for maker and checker roles. The RBI Super user should be able to define the no. of such users for PSBs and ICAI as per the business needs. |
| 20. | 2.4.4 Architectural Requirements
Page 19 | The file upload or fetching of report up to 20MB is less than 5 seconds is dependent on factors like hardware, network and available bandwidth. Can RBI provide condition under which this throughput was achieved? Can this requirement be decided mutually based on hardware and software recommendations? | The architecture of the proposed AAS Application should be capable of fulfilling this requirement. The other influencing factors may be decided mutually during the requirement gathering activity. |
| 21. | 2.4.4 Architectural Requirements
Page 20 | The response time while navigating through different sections should be less than a second. Can RBI provide condition under which this throughput was achieved? Can this requirement be decided mutually based on hardware and software recommendations? | The architecture of the proposed AAS Application should be capable of fulfilling this requirement. The other influencing factors may be decided mutually during the requirement gathering activity. |
| 22. | 2.4.5 General Technical Requirements
Page 20 | Apart of ICAI - are there any external entities that are likely to have access to AAS? How does RBI want to handle authentication for such external entities? | The Application should permit the addition of new users/agencies, as required and recommended by RBI. Two-factor authentication may be used to access the Application. However, the bidder is expected to propose the most appropriate solution to the Bank. |
| 23. | 2.4.5 General Technical Requirements
Page 20 | Whether the cost of HTTP certification is to be borne by RBI? | Yes, the cost of HTTP certification would be borne by the Bank. However, the bidder is expected to take complete ownership of implementing the solution. |
| 24. | 2.4.6 Hardware Requirements
Page 21 | We need to know the existing infrastructure to propose compatible hardware sizing for the AAS application. | The bidder is expected to propose the hardware sizing for the new AAS Application as per the requirements specified in the RFP. However, the bidder is advised NOT to include the hardware cost in the commercial bid. |
| 25. | 3.4 Data Migration
Page 27 | Is the scope limited to Flat file data as mentioned in RFP? (Or) Are there any documents to be migrated? If so, what is the format of the existing documents? | As per the section 3.4 (4) of the RFP, the bidder would be provided with the copy of the existing application data in flat/ plain text file, simple RDBMS tables or any other mutually agreed appropriate format during the requirement gathering activity. However, the bidder is expected to propose a suitable data migration strategy, which is a part of the technical evaluation. |
| 26. | 3.8 Training
Page 30 | Please mention the expected number of users to be trained? Will all the users attending the training be from RBI? | The classroom training would be required for the RBI User Team only, which may be trained twice as per the Bank’s request. The users from ICAI and PSBs may not be required to undergo live classroom trainings. However, the bidder should prepare training modules for all categories of users. The training modules/materials should be in-built or accessible through the Application |
| 27. | 3.8 Training
Page 30 | Should the e-learning material be provided in the form or word documents / PowerPoint presentations or should they be in audio / video formats? | This is part of the technical evaluation and the training strategy proposed by the bidder will be scored. |
| 28. | 3.11.1 Warranty
Page 32 | Please give list of tasks that are likely to be part of warranty period. How many onsite resources are required during onsite warranty support period? | Based on its understanding and estimation of the Application and the maintenance & support activities, the bidder may quote the number of onsite resource(s) required to be deployed. The vendor is expected to ensure that all the responsibilities, as stated in the RFP, are carried out by the onsite resource(s). It may be noted that the ‘Onsite’ refers to Data Centre. |
| 29. | 3.11.1 Warranty
Page 32 | What are the additional responsibilities during the off-site support period? | In addition to the Application Maintenance & Support activities referred in the RFP, the bidder is expected to provide support to Application-specific database back-up and Disaster Recovery activities during the entire warranty & support period of 7 years. The resource(s) may be required to travel to Data Centre as and when requested by the BANK. |
| 30. | 3.11.3 Incident Management
Page 33 | Does the bank have an incident management or ticketing system to handle incidents? Or Does the Bank expect the vendor to use their ticketing system to handle requests from warranty and AMC period? | Yes, the Bank has an Incident Management system and the same has to be used as ticketing system to handle requests during the warranty and AMC period. The Incident Management process would be shared with the selected vender during the requirement gathering activity. |
| 31. | 4.1 Software Cost – Payment Mile stones
Page 36 | Section 4.1 Software Cost
Payment Milestones Sr. No. (1) may be read as → | Completion of Requirements & Design Phase, customization / development of solution and installation in UAT. |
| 32. | 4.1 Software Cost – Payment Miles tones
Page 36 | What are the acceptance criteria for marking a milestone complete and for processing the payment? | For each milestone to be marked completed, the bidder should ensure that all the acceptance criteria are met and approved by the Bank, as mentioned in various applicable sections in the RFP. |
| 33. | 4.1 Software Cost – Payment Mile stones Page 36 4.1 Software Cost – Payment Mile stones
Page 36 | We suggest following changes for consideration: | S.N. | Milestones | Pay-
ment | | 1 | Completion of Requirements & Design Phase. (SRS Sign off) | 20% | | 2 | customization/ development of solution and implementation | 20% | | 3 | Completion of User Acceptance Testing, Data Migration. | 20% | | 4 | Creation of training content, Train The Trainer and customer education content | 20% | | 5 | Complete Implementation and “Go-live” of the project. (Receipt of Acceptance of Completion from the Bank) | 20% | | The payment milestones remain as defined in the RFP. |
| 34. | 5.3 Scope of Work
Page 40 | Could you please provide the details of list of systems to be integrated & expected interfaces? | As stated in RFP, Section 2.4.1 (9), for features such as Single Sign-On or similar requirements, the integration may be required with other RBI applications. Additionally, the new Application should be designed to have this capability for any future integration, as required and recommended by RBI. |
| 35. | 6.1 Objective of Evaluation Process & 10.14 Annexure N: Minimum Eligibility Criteria
Page 44 & 102 | Can RBI provide list of Level 1, Level 2 and Level 3 items? | The list of these items could be finalized during the requirement gathering activity. |
| 36. | 6.1 Objective of Evaluation Process
Page 44 | Whether the reference to Chapter 2 & 3 refers to clause 1 & 2 of RFP or are there any separate chapters 1 & 2? | Yes, the chapters 2 and 3 refer to the sections 2 and 3 respectively in the RFP. |
| 37. | 6. Objective of Evaluation Process
Page 44 | Objective of Evaluation Process (para 4) should be read as → | The bidder is advised to submit ‘Technical Bid’ keeping in view the information / criteria mentioned in sections 2 and 3 of RFP by the date and time stipulated as in Table 1 of Section 1. |
| 38. | 6.2 Minimum Eligibility Criteria
Page 45 | We request you to kindly exempt exceptional events such as merger/acquisition/takeover from the profit after tax considerations, subject to any other reasonable assurance about the financial health/viability of the bidder. | The bidder should submit all the relevant documents for any exemption/deviation that it requests the Bank to consider. The Bank’s evaluation committee will take a call on the same. |
| 39. | 8.4 Indemnification
Page 63 | "Bidder should have completed at least 5 projects worth at least 2 Crore INR each for Indian Clients in BFSI or Central Banking or Capital Markets (in India) in last 5 years"
We request you to please make it global experience instead of India specific experience and also request you to please allow us to submit self-declaration undertaking for same instead of credential letter / contract copy due to confidentiality related clauses with client. | The bidder should submit all the relevant documents for any exemption/deviation that it requests the Bank to consider. The Bank’s evaluation committee will take a call on the same. |
| 40. | 8.3 Escrow
Page 62 | "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."
We request you to limit the indemnification till the contract value for this project. | This is a standard clause followed in RBI and the Bank expects the bidder to bear the entire cost of indemnification. |
| 41. | 8.3 Escrow
Page 62 | (i) In case SI is custom building an application for the Auditor Allocation System then will Escrow Arrangement be made for it?
(ii) For OS, Database, Portal, application etc. do you expect each code to be loaded on Escrow Arrangement? | Yes. Kindly refer to the para 8.3 in the RFP, viz., “In the case of the application being a customized product and difficult to concede the IP rights of by the bidder, an escrow arrangement should be made to deposit the source code of the proposed solution”. |
| 42. | 8.3 Escrow
& 10.7 Annexure G: Integrity Pact
Page 62 & 88 | Who will bear the Cost for Escrow arrangement? | As stated in the sections 8.3 and 10.7 of the RFP, the Bank will bear the cost except the travelling and other expenses of the service provider. |
| 43. | 8.6 Earnest Money Deposit
Page 63 | As per Clause 8.6 Bidder is required to submit demand draft/banker’s cheque/pay order drawn in favour of Reserve Bank of India payable at Mum bai towards Earnest Money Deposit (EMD) for Rs. 2,00,000/- (Rupees Two Lakhs only). As per clause 5.2 of Integrity Pact The Earnest Money shall be valid up to the complete conclusion of the contractual obligations to the complete satisfaction of both the BIDDER and the BUYER, including warranty period.
Query (1) As per clause 8.6 Bidd ers are required to submit DD/BC/PO towards EMD. The validity of DD/BC/PO issued by Banks is for 3 months only whereas clause 5.2 of integrity pact requires EMD valid up to the complete conclusion of contractual obligations. This is quite contradictory.
Query (2) BG towards EMD may please be accepted valid for 90 days in lieu of DD/BC/PO. | The EMD of unsuccessful Bidders shall be returned within 15 days from the declaration of the disqualification of the respective Bidder. No interest shall be paid on the EMD. The EMD of the successful Bidder shall be returned after the successful Bidder furnishes the Performance Bank Guarantee.
Bank Guarantee may also be accepted towards EMD. The bidder is required to upload the copy of EMD on MSTC website and submit the originals to the Bank when requested. |
| 44. | 10.19 Annexure S: Commercial Bid Format
Page 108 | Any other Software costs. | Bidder is requested to add all the Other Software Licensing Cost under the header "Any other Software Costs" on MSTC website. Bidder may be requested to submit the list of software (including Database licensing cost) to the Bank in a sealed envelope with break-down of cost mentioned on MSTC portal. The date and time for this submission will be communicated to all the qualified bidders at a later point of time. The Bank’s evaluation committee may take a call on the exclusion/inclusion of cost of software for commercial evaluation. |
| 45. | 10.1 Annexure A: Submission Checklist
Page 74 | Submission Checklist for Commercial Bid should be read as → | The following documents need to be provided by the Bidder for the Commercial Bid separately. |
| 46. | General | Do you want this application to be accessed through mobiles? | Application should be developed in such a way that it could be accessible through mobiles. However, it need not be done through any exclusive ‘app’ for the application. |
| 47. | General | Kindly provide the approximate number of reports available in the existing application & How many reports are expected in to be application? | The existing Application supports around 20 reports. However, it is expected of the new Application to support approximately 20 to 30 reports with add-on capability to generate ad-hoc reports as per the business need. The scope can be finalized during the requirement gathering activity. |
| 48. | General | Is it Ok to build this application on Open Source products/ tech/ Platform? (Or) Are you looking for COTS based solution? | The bidder should provide the solutions based on its expertise. The same would be evaluated during the technical evaluation. |
| 49. | General | Kindly provide the details about existing Database and App. Server & their licensing details. Can we use the same database & app. server for to be application? | The Bidder should propose the appropriate application platform and the database, the most suited for the proposed Application. This being a new application, Bank would be flexible and may consider any recommendation. The final architecture of the new Application can be finalized during the requirement gathering activity. |
| 50. | General | What is the retention period of transactions & documents? | All the data should be available on permanent basis. |
Note: This document shall form part and parcel of the RFP and therefore bidders are advised to take the clarifications/responses into account, as applicable, while submitting the bids.