Responses of the queries from the bidders relating to Request for Proposal for User Acceptance Testing (UAT), Performance Testing (PT) and Data Migration Audit (DMA) of Centralised Information

Management System (CIMS)

Pre-bid meeting on July 1, 2019

Sr. No.

Pre-Bid Query Response

1 Section 2.4.1.1 (Page 15) System-to-System direct data transfer: If single system at bank end which is known as Automatic Data Flow (ADF) server is not implemented by any of the bank then how return/ data will accept by CIMS in automatic manner with system-to-system interface.

All Banks have been informed to maintain a Centralised Data Repository (CDR). Our team is also conducting an assessment for all banks to educate them about CIMS implementation. Also, there are alternative delivery mechanism of file upload, e-mail attachments for receipt of data in case system-to-system transfer is not ready for any bank.

2 Section 2.4.2 (Page 18) Communicating results of data quality validations/ checks to data provider and concerned department of RBI : The data quality of data provided by Bank in CIMS is not proper then what will happen.

Thorough testing should be conducted to identify data quality issues while data transfer. In such cases, the banks/ entities will revise the data and audit trails will be maintained.

3 Section 2.4.2.2 (Page 18) Where the Data content validations will be done in ADF or CIMS?

Data Content validation will also be done in CIMS. However, banks will validate at their end to ensure good quality data is provided to RBI.

4 Section 2.4.2.2 (Page 18) Where the Statistical data quality validations will be checked

Statistical data quality validations will be checked in CIMS.

5 Section 3.3.1.1 (Page 28) We need CIMS RFP and Control Specification documents

Relevant documents will be shared with the on boarded vendor.

6 Section 3.3.1.1.1 (Page 28) CIMS requirements relating to data collections, validations, metadata and data repository, data dissemination and analytic and information security aspects to prepare Test Plan

Vendor should understand CIMS requirements in detail and prepare a detail test plan.

7 Section 3.3.2.1 (Page 29) What are the all necessary interfaces are involved for implementation of CIMS.

CIMS will receive data from internal and external entities all interfaces sourcing the data should be tested thoroughly. Interface with 130 banks / entities Interface with RTGS Interface with eKuber

Interface with NEFT Interface with CCIL Interface with NPCI Systems Interface with Ministry of Company Affairs Interface with Government of India (GOI) Interface with PCR interface with Samadhan System Interface with CISBI interface with SEBI, PFRDA, NHB, IRDAI, NABARD, DICGC, etc Audit Regulation System (ARS) Cyber Security and Information Technology Examination (CSITE) Interface with 9 online stores Intergration of iSOC, EMS and other systems of DC

8 Section 3.3.1 (Page 28) For performance Testing What is the TPS to be measured? What is front end technology of CIMS? What is communication protocol of CIMS? How many concurrent user load to be tested? Please ensure that Capcha will be disabled in test environment. Please confirm that encryption will be disabled in test environment. No. of Concurrent Users to be tested for i.e. User-load ? e.g. test with a load of 500 concurrent users

CIMS is a big data implementation with various components. Data Collection using automatic mode :20 GB per minute Manual/ semi manual data upload: 20 GB per minute Data processing using ETL or similar tools for populating aggregated/ computed tables : Entire processing including all batch jobs should be completed in 60 minutes Log in and Log out time: 10 seconds log in and getting all menu options 5 seconds log out Time for accessing any services by clicking the menu option : 5 seconds Data download time : 20 GB per minute There will be portal in the front-end which will be connected with latest tools and technologies. CIMS will support multiple communications protocol like MQ messaging, File transfer protocol, secure ftp, API, etc. Disabling of Capcha and encryption can be discussed while testing 100 users for data ingestion, 300 for data access and 50 for Centralised Analytics System

9 Section 3.3.6 (Page 30) The clause indicates that bank may decide

All the tools required by the bidder are required to be quoted by them and such cost will be part of commercial

to purchase the license of automated tool. Are we supposed to quote for proposed tools? OR RBI will separately purchase the tool?

bid as per the Annex. The total cost of all line items mentioned in commercial will be considered for arriving at lowest commercial bids.

10 Section 3.3.11.2 (Page 31) The clause says 'The bidder is expected to migrate all data of the existing'. We understand that data migration activity will be responsibility of CIMS vendor. The selected bidder will be involved in auditing of migrated data after CIMS vendor completes migration in test environment.

Testing vendor will be involved with CIMS vendor to understand CIMS requirements which will help them to design test plan and test cases. On completion of migration vendor will be auditing the migrated data.

11 Section 3.3.12 (Page 31) Scope for performance testing (no. of shortlisted scenarios) ? e.g. as mentioned in RFP : 1590 reports, 27 dashboards and 15 Java applications-based reports. Will this be further shortlisted for Performance Testing scope finalisation

Performance testing will be for various aspects of CIMS which include data collection, system interfacing, performance of web portals, reports, dashboards, etc. The reports dash boards mentioned are part of scope of CIMS application.

12 Section 3.3. 11.2 (Page 37) Data migration Audit: What is approximate volume of data to be audited out of 6 TB of oracle data and 3 TB of exploratory Hadoop system?

The entire data is to be audited

13 Section 3.3. 11.2 (Page 37) Data migration Audit: How many tables and fields are required to be tested?

The new table and data structure will be designed by CIMS vendor. The approximate information regarding existing DW system are as under: No of database table: about 1800 No of fields: about 29500

14 Section 3.3.16.1.1 (Page 34) Total Project Completion time is of 3 months (Testing) or 3 + 1 (Requirement Gathering and Analysis) = 4 Months needs to be confirmed?

Four months.

15 Section 3.1.4 (Page 27) Can RBI quantify what percentage of test cases are automable and expected as part of delivery to sign off the delivery from testing vendor as completion of work? 'Configuring and using an automated testing tool to carry out the testing'

There is no specific percentage defined. Complete testing will be required for a sign-off

16 Section 3.3.12.1 (Page 31) This clause expect testing of 2024-line items mentioned in CIMS RFP. We do not have visibility of CIMS RFP. Can RBI share

Relevant documents will be shared with the on boarded vendor

CIMS RFP? 17 Section 3.3.12.2 (Page 32)

This clause states that 'The bidder will assist RBI in conducting all Tests'. Is Bidder supposed to conduct testing? Or RBI will conduct test and bidder will support them?

Testing Vendor is expected to do the testing.

18 Section 3.3.12.12 (Page 32) Ongoing Testing: Practically such large systems will go live in piecemeal. How will RBI treat the efforts required to be spent by testing vendor in testing of patches / versions of the pieces which are made live in increments?

Testing Vendor is expected to align with the CIMS vendor on their deliverables and plan their testing accordingly.

19 Section 3.3.12.19 (Page 33) Who will purge data? CIMS Vendor? Or UAT vendor?

CIMS Vendor will purge the test data, if required.

20 Section 3.3.17.2 (Page 35) This clause expects vendor to Finalize test cases within 40 days of issuance of Letter of Intent by bank. Test cases are dependent on signed off requirement document. We request to make this SLA as 40 days from receipt of signed off requirements by testing vendor(FSD, BRD or any other document used for requirement documentation) instead of 40 days from letter of intent

Please provide as per RFP.

21 Section 3.3.17.3 (page 35) 100% success rate expected in this clause is not in control of testing vendor. Testing vendor can ensure 100% execution of test cases. 100% success rate is dependent on CIMS vendor's coding quality.

100% Success rate is to ensure satisfactory test results on all test cases with defect free application. CIMS vendor will fix the issues which will be identified by the Testing vendor.

22 Section 4.11 (Page 38) We are registered SME. We request to waive off EMD requirement. A certificate of MSME is attached here

This will be as per the law of the land.

23 Section 4.20.1 (Page 42) Payment Milestones: Please make following provision in payment milestone to accommodate variation of actual delivery schedule from planned delivery schedule.

Please provide as per RFP.

"In case the deliveries are broken into increments, peices, sprints, phases or any other logical break ups, the payment % will be proportionately broken down

24 Section 4.20.1 (Page 42) Payment Milestones: Milestone number 2 & 3: Please provide sub break up for UAT, Performance Testing and Data Migration Audit. All three are separate and can be completed with long interval between each of them

Please provide as per RFP.

25 Section 2.6 Eligibility Criteria (Page 24) Due to scheme of demerger, our eligibility proofs are in the names of our old entities. We will submit you court order for demerger to support our claim of continuity of business alogn with our response to RFP. We request RBI to allow us to bid in the name of our demerged entity along with proofs of eligibilities in our old names. The scheme of demerger is explained in next excel sheet.

Please provide as per RFP. Kindly provide document evidence which will be evaluated.

26 Section 6.25 Subcontracting (Page 56) Due to scheme of demerger, we conduct our software testing and DMA work under vendor specific solutions. We request RBI to allow us to distribute work internally between our two sister concerns.

Kindly provide document evidence while bid submission for further consideration

27 Section Number: 2.2, Page Number: 13, Point Number: 1st Para 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 RBI’s existing data warehouse, IT systems, providing software solutions and implementation and customization of the proposed solution. Query : From the RFP document we understand the following: • Understanding of the requirements and preparation of testware within 40 days of receipt of letter of intent from the Bank

Testing Vendor is required to adhere the timelines mentioned in the RFP.

• Post testware preparation, the User Acceptance Testing, Performance Testing, Data Migration Audit should be completed within the duration of three months. 1. Please confirm our understanding. 2. Also, confirm depending on the scope of work whether RBI will extend the test execution timelines (UAT, PT, DM), if required. 3. Please confirm whether the development partner / System Integrator is aligned with the above timelines

28 Section Number: 2.4, Page Number: 16, Point Number: 2.4.1.6 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 Query: Please provide more details on online stores? (Names of the stores, Data Volume, Purpose and type of content)

Further information will be shared with the selected bidder.

29 Section Number: 2.4, Page Number: 18, Point Number: 2.4.2.3 There should be a facility of big-data processing sub system wherein the unstructured and structured data collected should be processed using appropriate technologies. Query: Need elaboration around “Big Data Processing Sub System”

The Vendor is expected to work closely with CIMS vendor and test structured and unstructured data related facilities in CIMS.

30 Section Number:2.4, Page Number: 19, Point Number: 2.4.2.4 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. Query: We understand that Surveys carry

CIMS will have facilities relating to both structured and unstructured data processing.

structured an Unstructured Data. Request bank to confirm whether Text analytics on Surveys is not in the scope of UAT. Please Confirm

31 Section Number:2.4, Page Number: 19, Point Number: 2.4.2.4 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. Query: Request bank to confirm whether the internet-based portal for accessing CIMS is in scope of User Acceptance Testing, Performance Testing and Data Migration Audit?

Yes in scope

32 Section Number:2.4, Page Number: 20, Point Number: 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 Query: We understand Transparency Index is based on Corruption Perception Index from Transparency International. Please confirm our understanding. If no, please suggest pointers to documents/policy announcements.

The selected bidder is required to study the facility mentioned in CIMS and test the same accordingly.

33 Section Number:2.4, Page Number: 20, Point Number: 2.4.4.3 Big Data Analytics and Reports - Now casting facility based on various Time series data available in CIMS and unstructured data collected using big-data collection mechanism Query: We understand that the time series data available in CIMS is from multiple departments (PFRDA, IRDAI, Banks etc.,) containing text and numeric formats. Please confirm our understanding Also, Please elaborate on 'various

Yes the understanding is correct. List of government websites will be shared with the selected bidder.

Government websites' cases

34 Section Number:2.4, Page Number: 20, Point Number: 2.4.4.3 Big Data Analytics and Reports - Market intelligence facilities based on news streaming data. Query: We understand that Market Intelligence - is specific to Financial Market Intelligence from News streaming data about Inflation, currencies, banks etc. Please provide the details of sources and the details of the news feeds.

This will be provided to the selected bidder.

35 Section Number:2.4, Page Number: 20, Point Number: 2.4.4.3 Big Data Analytics and Reports - Market intelligence facilities based on news streaming data. Query: We understand that regulatory information, news information and information available in data stores are fed into CIMS. Request bank to provide the frequency of such feed.

This will be provided to the selected bidder.

36 Section Number: 3.3.11, Page Number: 31, Point Number: 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. Query: We understand that the source systems involved in this data migration audit are Oracle and Hadoop. Are there any additional source systems (for batch and real time) involved apart from these?

These are the only systems

37 Section Number: 2.4.1, Page Number: 17 Point Number: 2.4.1.7 The data collected from various delivery channels and sources support the formats including the following: - ASCII format like CSV - XBRL - SDMX - Xml; and - JSON Query: We assume that formatting the source file will be done by selected bidder. Also since RBI is dealing with structured, semi-structured and unstructured data for this Data Migration audit, can you please confirm our assumption that 20% of overall data is unstructured data? Also please provide the % of data involved as part of structured and semi-structured as well.

The selected bidder will be required to study CIMS requirements in this context.

38 Section Number: 2.4.4, Page Number: 20 Point Number: 2.4.4.1 and 2.4.4.3 Query: Please provide the number of BI reports to be tested as part of 'Web Portal for Data Dissemination and 'Big Data Analytics and Reports'. Also please mention the frequency of each reports to be tested.

Please refer to para 3.3.12.1 of the RFP. RFP including 1590 reports, 27 dashboards and 15 Java applications-based reports available on the existing DBIE.

39 Section Number: 2.4.2, Page Number: 18 Point Number: 2.4.2.2 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

Yes.

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. Query: As the data is coming from multiple source systems to CIMS, can you please confirm if we need to perform the Master Data Management check as well, as part of Data Migration audit?

40 Section Number: 2.4.3, Page Number: 19 Point Number: 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 Query: As we have come across the Data Lineage and Metadata Management related information in the RBI RFP.PDF document, can you please confirm whether we need to perform Metadata Management/Data Lineage testing as well as part of Data Migration audit?

Yes.

41 Section Number: 2.4, Page Number: 14 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)

There will be a staging area portal which will include data collection, validation and monitoring, data dissemination portal and centralised analytic web portal. List of functionalities will be provided during requirements gathering

• Tier-IV: Dissemination and Analytics Layer (DAL) (including other big data related requirements) Query: 1. Each tier has a separate web portal. Please confirm 2. Please list down the number of functions for performance testing in each tier

42 Section Number: 2.4.1, Page Number: 16 Point Number : 2.4.1.4 Application Program Interface (API) technology Query: How many API calls would be involved for Performance Testing?

The API is one of the delivery channel for data receipt and dissemination. The selected bidder will be required to study the same.

43 What is the Hadoop platform being used in RBI? e.g. Cloudera, Hortonworks, MapR, IBM Infosphere Insight etc

Cloudera

44 We understand that the RBI is not using any of the Public cloud services such as Microsoft Azure, Amazon Web Services, Google Cloud etc and using only the Private cloud service. Please confirm.

There is no Cloud architecture for this project

45 What are the different set of ETL tools/Ingestion tools considered for this activity? Also, provide the details of the tools available with RBI for testing e.g. Oracle Data Integrator, Informatica, Abnitio, Data Stage, Kafka, Storm, Flume, Sqoop, Spark, Flink, NiFi etc.,

Informatica and Talend are the ETL tools rest details will be provided to the on boarded vendor.

46 We understand that the Data Mapping specification document would be available during the Data Migration audit Test planning. Likewise is the overall Data Migration strategy document be also available to draft the Data Migration Testing strategy?

The selected bidder is required to study all the related documents which will be provided by the CIMS vendor in this context.

47 What is the migration strategy followed for the current engagement? - One time migration approach (Big Bang) - Migration in multiple phases (Iterative)

The mixture of data migration approach.

48 Please confirm whether all data are being migrated to new system or only specific data set compatible for new system are migrated.

All data.

49 Please provide the total No of Source tables/files, Staging tables and Target tables considered for data migration scope

Source table: (i) No of database table: about 1800 (ii) No of fields: about 29500

The Target tables structures will be designed by the CIMS Vendor and the third party vendor will be required to study the same.

50 What is the complexity of the transformation logic involved during data migration? Please specify the % of transformation logic involved e.g. Simple - 20%, Complexity - 60%, Medium - 20%

The selected bidder need to do this analysis while study of CIMS.

51 Please provide the Average number of fields per table (Staging and Target) considered for Migration.

Source Tables: (i) No of database table: about 1800 (ii) No of fields: about 29500

The Target tables structures will be designed by the CIMS Vendor and the third party vendor will be required to study the same.

52 Since the commercial tool named 'Query Surge' is leading in the market for doing Data reconciliation automation in Big Data Environment, it is suggested that the same for doing data reconciliation automation during Data Migration Audit. Please confirm if the same is fine with Bank.

RBI is open for such solution.

53 What reporting / analytics tool are being used? Also, please confirm whether testing team will also have access to the tools available with the bank e.g. IBM Cognos BI, BI Access Tier, Mahout, Tableau, MS Power BI, ELK Also please mention the kind of analytics to be generated from Hadoop platform

BI Tool: SAP BO. The selected bidder to study CIMS requirements for kind of analytics to be generated from Hadoop Platform.

54 What type of SDLC Model is going to be used for Data Migration activity? e.g. V Model, Waterfall Model, Agile Model, Hybrid etc..

CIMS vendor as recommended Agile but this will be discussed while detail project planning.

55 Are there any additional compliance/guidelines apart from GDPR to validate? If so, please specify the details

Vendor is expected to adhere to all the data governance guidelines.

56 Please provide the list of source system / modules that are in-scope for performance testing

Performance testing will be for various aspects of CIMS which include data collection, system interfacing, performance of web portals, reports, dashboards, etc. The selected bidder is required to study the same.

57 Please provide the list of ETL use cases that should be tested for performance e.g. 1. Customer data feed 2. Prospect data feed

Performance testing will be for various aspects of CIMS which include data collection, system interfacing, performance of web portals, reports, dashboards, etc. All the ETLs which will be developed by CIMS vendor are required to be tested.

58 Kindly share the expected number of peak jobs that are to be executed concurrently along with the volume of data / files

The selected bidder is required to study the CIMS application for this purpose.

59 If you have any SLAs for batch job completion, Please provide details of the same

Data Collection using automatic mode :20 GB per minute Manual/ semi manual data upload: 20 GB per minute Data processing using ETL or similar tools for populating aggregated/ computed tables : Entire processing including all batch jobs should be completed in 60 minutes Log in and Log out time: 10 seconds log in and getting all menu options 5 seconds log out Time for accessing any services by clicking the menu option : 5 seconds Data download time : 20 GB per minute

60 Will the test data / feed files required for execution of the ETL Jobs be provided to the selected bidder?

Test data will be provided to the selected bidder.

61 Is capacity planning required for futuristic growth? If yes, please provide Y-O-Y growth requirements for the years in terms of: - Base DB Volume - Number of files / data per Job

CIMS data size will be 300 TB without replication. The system will be highly scalable.

62 Do you have base data volume for the database or does this need to be generated by the selected bidder

Existing volume of data is about 6 TB as mentioned in the RFP.

63 Do you expect the selected bidder to generate data volumes in database for future volume growth requirements? If yes, list down the entities and the volume requirements

CIMS data size will be 300 TB without replication. The system will be highly scalable.

64 Confirm if the environment for performance test is dedicated or shared. If its shared, are there any availability constraints for performance tests? Provide detailed information

There will be dedicated test environment

65 Kindly share server details for each of the servers that are there in the network diagram - Memory - CPU - Operating System - Storage details - Software details (WebSphere, WebLogic, Tomcat, Oracle etc.)

Will be shared with the On boarded vendor

66 Please provide the list of applications/modules that are in-scope for performance testing

All modules of CIMS will be in-scope.

67 Please provide the list of business use cases (Web and WebService calls) that should be tested for performance e.g. Dashboard view

Performance testing will be for various aspects of CIMS which include data collection, system interfacing, performance of web portals, reports, dashboards, etc.

68 What is the authentication mode used by the Application?

CIMS Vendor will provide this details with the on boarded vendor

69 Kindly share the expected number of users for which the application should be performance tested (Nominal, Peak, Stress and Soak)

100 users for data ingestion, 300 for data access and 50 for Centralised Analytics System

70 If you have any SLAs for response time of transactions. Please provide details of the same

Data Collection using automatic mode :20 GB per minute Manual/ semi manual data upload: 20 GB per minute Data processing using ETL or similar tools for populating aggregated/ computed tables : Entire processing including all batch jobs should be completed in 60 minutes Log in and Log out time: 10 seconds log in and getting all menu options 5 seconds log out Time for accessing any services by clicking the menu option : 5 seconds Data download time : 20 GB per minute

71 Is capacity planning required for futuristic growth? If yes, please provide Y-O-Y growth requirements for the years in terms of: - Transactional volumes - Concurrent users

CIMS data size will be 300 TB without replication. The system will be highly scalable

72 Do you have base data volume for the database or does this need to be generated by the selected bidder?

Existing volume of data is about 6 TB as mentioned in the RFP.

73 Kindly confirm, if there is any batch scenarios that needs to be tested

There will be batch scenarios for testing. The selected bidder will be required to study the same.

74 We understand that data scraped from Social Web contains English and other Indian Languages. For the current engagement scope we assume Text analytics and processing will be for English only, Please confirm

English

75 Request bank to provide the list of the external interfaces with constrained or limited data source (like UIDAI etc..) which will form part of the current test scope

Interface with 130 banks / entities Interface with RTGS Interface with eKuber Interface with NEFT Interface with CCIL Interface with NPCI Systems Interface with Ministry of Company Affairs Interface with Government of India (GOI) Interface with PCR interface with Samadhan System Interface with CISBI interface with SEBI, PFRDA, NHB, IRDAI, NABARD, DICGC, etc Audit Regulation System (ARS) Cyber Security and Information Technology Examination (CSITE) Interface with 9 online stores Intergration of iSOC, EMS and other systems of DC

76 Section Number: 6.2, Page Number: 49 Point Number: 6.2.4 As per MSTC website, it has been mentioned INR 10,000 plus applicable taxes to be paid through online as one-time non-refundable registration fee ( which we have paid already through online ) . However, as per RFP document, it has mentioned as INR 15,000 to be paid by the bidder. We would like to know if this INR 15,000 is additional to INR 10,000 ? If yes, can you please confirm the mode

Please get it clarified from MSTC.

of payment and when to make the payment for this INR15,000?

77 Section Number: 4.11, Page Number: 38 Point Number: 4.11.1 (b) Earnest Money Deposit •The Physical copy of Bank Guarantee must be submitted before the technical bid Opening Query: Do we need to courier the Physical copy of Bank Guarantee at the address mentioned in the RFP or can be submitted through Supplier's representative before opening of technical Bid?

Please provide by hand delivery. This may be provided before the technical bid opening event.

78 Section Number: 6.1, Page Number: 49 Point Number: 6.1.8 Instructions for Tender Submission •NDA and Integrate Pact Physical copies Do we need to courier the Physical copy of NDA at the address mentioned in the RFP or can be submitted through Supplier's representative before opening of technical Bid?

Please provide by hand delivery. This may be provided before the technical bid opening event.

79 Integrity pact format is not available in the RFP. Could you please share us the format?

Will be provided during pre-bid meeting.

80 Section Number: Annexure 3, Page Number: 68 Point Number: 2 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

No deviations shall be accepted. Please provide documents as per RFP.

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. Query: The form has reference to submission of an Appendix form, where the deviations (if any) may be proposed by the bidders. Are the bidders expected to provide the same in a tabular form, as there is no format appended to the RFP document?

81 Combined representation for Testing of application and verification of Data in Data Migration Audit are inconsistent with the project requirements and its basic nature of work. We propose to separate the facts related to each of above project and provide separate acceptance criteria.

The UAT and Data Migration Audit will be different activity. It was not mentioned in the RFP that these two activities are combined together. Since the CIMS is data sensitive application, UAT will be conducted after data migration.

82 Whether data migration verification from source data to final target only to be verified or verification at different stages too need to be verified and validated?

The bidder may propose the approach based on their standard practice.

83 Section Number: 2, Page Number: 18-19 Point Number: 2.4.2.3 Big data processing: -Testing of cleaning, processing and extraction for data mining – whether to be covered in data migration work-flow (if interim stages are to be verified) (This is in continuation of above query)

The bidder may propose the approach based on their standard practice.

84 Whether validation rules, such as formulas, threshold limits, type of data etc will be provided by bank

The selected bidder is required to study and prepare test scripts accordingly.

85 Whether data maps and timely technical assistance will be provided by bank?

The selected bidder is required to study and prepare test scripts accordingly. The bidder is expected to be technically sound.

86 Section Number: 3, Page Number: 29 Point Number: 3.3.3 Whether required information about the source of data, its methodology along with purpose etc. will be provided to bidder? If any part is not available, which causes infeasibility to comment on ‘Assurance’, will the bank accept qualified report?

The selected bidder is required to study and prepare test scripts accordingly. The acceptance will be based on the successful testing of CIMS functionalities.

87 What will be cut off point for acceptance of report, in case if assurance status is not achieved in first round of activity and submission of report by auditor?

Satisfactory testing of all test cases with defect free application

88 Section Number: 3 , Page Number: 29 Point Number: 3.3.4.1 What is the time plan for development, testing and Going live for entire system, where data migration audit is required concurrently to be followed?

Please refer RFP for the timelines.

89 What if infeasibility situation or compromise of development and release process deters the assurance status of deliverables to be certified by bidder? What will be the project sign off criteria in this situation?

Satisfactory testing of all test cases with defect free application

90 Section Number: 3, Page Number: 30 Point Number: 3.3.5.4 For analyzing the tools/queries/scripts for migration of data, is bank giving undertakes or assurance of cooperation by SI?

The CIMS vendor will fix the bugs which will be identified while testing the application. CIMS vendor and third party vendor are required to work in collaboration as team.

91 Section Number: 3, Page Number: 30-31 Point Number: 3.3.6 / 3.3.10.4 We do not operate the model of licensing our data migration audit tool. Hence cannot agree to give the license to the bank and training there on. However, all licenses will be authorized to be used at banks site for the said project.

Should be ok

92 Section Number: 3, Page Number: 34, Point Number: 3.3.16.1 Timelines – What is the roll out plan of CIMS? Completion of Data Migration Audit is not feasible in three months. What is the outer limit that bank envisages for completion of CIMS?

Please refer RFP for the timelines.

93 Section Number: 3, Page Number: 34, Point Number: 3.3.16.2.1 Data migration audit is strategy review and data value verification exercise. What kind of test cases are expected in Data migration? It is not relevant

The bidder may propose their methodology of data migration audit and verification mechanism.

94 Section Number: 3, Page Number: 35, Point Number: 3.3.17.3 100% Defects correction in case of data migration is controlled by bank and system integrator. Time involved is not predictable. Bank’s expectation of delivery in three (3) months looks difficult. How many iterations are envisaged for corrected verification and within what time frame? What if the same remains open from bank’s end, i.e defects are not corrected for any reason?

The CIMS vendor would fix the bug timely and it is expected that all the activities will be completed by collaboration of CIMS vendor and third party vendor.

95 We are MSME and have exemption towards submission of EMD. Will the same be acceptable to bank?

As per the law of the land.

96 The hardware servers, System software and required technology environment will be provided by bank? What will be the location of project execution for data migration?

Mumbai and Navi Mumbai

97 What is the subsystem / module / release-wise volume or size of data to be verified in Migration audit?

About 6 TB as mentioned in the RFP.

98 Payment terms lack clarity on sign offs and milestones

RFP is quite clear.

99 Section Number: 4, Page Number: 36, Point Number: 4.1.5 The prices of such service for data lake environment and related data migration audit are not standard. The market does not have many instances. What is the benchmark that bank would follow for treating the price as “reasonable” compared to market?

Please provide as per RFP.

100 Section Number: 4, Page Number: 36, Point Number: 4.1.6 Delay in payment due to delay in services. Please appreciate that these services are follow-on activities after completion of milestone(s) by development team of bank (SI). Our deliveries are dependent on their timely release; hence the resultant delay hampers the payments too. Please clarify, how bank will treat this.

Testing Vendor need to work in collaboration with CIMS vendor to assure timely deliverables. The delay which may arise on account of the third party vendor will be considered in this context.

101 What will be the compensation criteria and mechanism for delay on part of the bank for its dependent deliveries for migration audit?

Not applicable to the RBI.

102 With given representation by bank, lack of appropriate visibility of environment, number of applications, number of databases, formats of the data to be extracted and its readability vis a vis IP rights of the vendor, any need for liaison with the legacy system vendor, respective deliveries, estimations of project time line, cost and meeting timeline is highly unpredictable. Will the bank agree to accept the services on Time and material basis with targeted timelines and collaborative monitoring?

It is expected that the bidder will be completing the activities on time. The third party vendor and CIMS vendor should collaborate in this context. RBI will provide all necessary support.

103 Section Number: 4, Page Number: 41, Point Number: 4.18 We propose for bidders IP rights over framework and methodology. This excludes other documents like data mappings, work papers, etc

IP rights will be as per RFP.

104 Section Number: 4, Page Number: 36, Point Number: 4.1.8 We propose for absorption of change in tax rate by the bank.

The bidder is required to provide commercial including the current applicable taxes. The tax changes are mentioned in the RFP para 4.18.2

105 Section Number: 4, Page Number: 42, Point Number: 4.1 Payment Milestone The proposed payment terms are not acceptable and should be on time and material basis

Please provide as per the RFP.

106 How can licenses towards Data Migration Audit work be optional? Without the same the said exercise cannot be carried out

The bidder is expected to include commercial of the tools, if applicable, as mentioned in the RFP.

107 Should the portal solution be in Gartner magic leader quadrant, hence providing a benchmark for such prestigious project

The portal solutions will be provided by the CIMS vendor which will be required to be tested.

108 Should all the three portals be in same architecture, hence using multi-tenancy feature of the product

The portal solutions will be provided by the CIMS vendor which will be required to be tested.

109

Please change it to Solution provider shall have support centre in India and office in Mumbai or Nagpur

The solution will be tested at Mumbai and Navi-Mumbai.

110 Please specify expected concurrency across the CIMS

100 users for data ingestion, 300 for data access and 50 for Centralised Analytics System

111 Should the portal solution be in standard with OWASP 10 principles?

Portal will be based on the Industry standard.

112 What are the tools available in CIMS system?

ETL: Talend Big Data Platform, Talend Data Preparation and Talend Data Catalog Advanced Edition; Temporary data storage: MySQL Enterprise Edition Subscription; Data Storage: Cloudera Enterprise Data Hub Edition and Cloudera Navigator Optimizer and EDB Postgres Enterprise Subscription; Data Collection Monitoring: IRIS iFile; Metadata Management: IRIS NOAH Reporting Tool: Red Hat JBoss Enterprise Application Platform and Red Hat AMQ Map: MapmyIndia Analytics: Cloudera Data Science Workbench, EViews 10 Enterprise Edition; BI: SAP BO 4.2; PKI: emAS DSC, emSigner 2C and emSafe-1A Backup: NetVault Backup Enterprise Capacity Edition

113 Whether Talend of CIMS and existing Defect Log Management System tool of RBI (Enterprise Management System) can be used by third party vendor for testing?

Yes.

114 Number of ETLs in existing DW system? 1800

115 Could you provide the format of Integrity pack that needs to be signed and provided on bid submission?

The format is enclosed.

Integrity Pact for Implementation of Centralised Information and Management System (CIMS) 1

Integrity Pact

between

Reserve Bank of India (RBI) hereinafter referred to as ‘The Principal’

and

___________________________ hereinafter referred to as ‘The Bidder / Contractor’

Preamble

The Principal intends to award, under laid down organizational procedures, contract/s for

‘Implementation of end-to-end solution for Centralised Information Management

System (CIMS)’. The Principal values full compliance with all relevant laws of the land,

rules, regulations, economic use of resources and of fairness / transparency in its relations

with its Bidder(s) and / or Contractor(s).

In order to achieve these goals, the Principal has appointed Independent External Monitors

(IEMs) who will monitor the tender process and the execution of the contract for compliance

with the principles mentioned above.

Section 1. Commitments of the Principal

1.1. The Principal commits itself to take all measures necessary to prevent corruption and to

observe the following principles:

1.1.a. No employee of the Principal, personally or through family members, will in

connection with the tender for, or the execution of a contract, demand, take a promise for or

accept, for self or third person, any material or immaterial benefit which the person is not

legally entitled to.

1.1.b. The Principal will, during the tender process treat all Bidder(s) with equity and reason.

The Principal will in particular, before and during the tender process, provide to all Bidder(s)

the same information and will not provide to any Bidder(s) confidential / additional

information through which the Bidder(s) could obtain an advantage in relation to the tender

process or the contract execution.

1.1.c. The Principal will exclude from the process all known prejudiced persons.

Integrity Pact for Implementation of Centralised Information and Management System (CIMS) 2

1.2. If the Principal obtains information on the conduct of any of its employees which is

criminal offence under the IPC/PC Act, or if there be a substantive suspicion in this regard,

the Principal will inform the Chief Vigilance Officer and in addition can initiate disciplinary

actions.

Section 2. Commitments of the Bidder(s) / Contractor(s)

2.1. The Bidder(s) / Contractor(s) commit themselves to take all measures necessary to

prevent corruption. The Bidder(s) / Contractor(s) commit themselves to observe the following

principles during participation in the tender process and during the contract execution.

2.1.a. The Bidder(s) / Contractor(s) will not, directly or through any other person or firm,

offer, promise or give to any of the Principal’s employees involved in the tender process or

the execution of the contract or to any third person any material or other benefit which he /

she is not legally entitled to, in order to obtain in exchange any advantage of any kind

whatsoever during the tender process or during the execution of the contract.

2.1.b. The Bidder(s) / Contractor(s) will not enter with other Bidders into any undisclosed

agreement or understanding, whether formal or informal. This applies in particular to prices,

specifications, certifications, subsidiary contracts, submission or non-submission of bids or

any other actions to restrict competitiveness or to introduce cartelisation in the bidding

process.

2.1.c. The Bidder(s) / Contractor(s) will not commit any offence under the relevant IPC/PC

Act; further the Bidder(s) / Contractor(s) will not use improperly, for purposes of competition

or personal gain, or pass on to others, any information or document provided by the Principal

as part of the business relationship, regarding plans, technical proposals and business details,

including information contained or transmitted electronically.

2.1.d. The Bidder(s) / Contractor(s) of foreign origin shall disclose the name and address of

the Agents / representatives in India, if any. Similarly, the Bidder(s) / Contractor(s) of Indian

Nationality shall furnish the name and address of the foreign principals, if any.

2.1.e. The Bidder(s) / Contractor(s) will, when presenting their bid, disclose any and all

payments made, is committed to or intends to make to agents, brokers or any other

intermediaries in connection with the award of the contract.

Integrity Pact for Implementation of Centralised Information and Management System (CIMS) 3

2.1.f. The Bidder(s) / Contractor(s) who have signed the Integrity Pact shall not approach the

Courts while representing the matter to IEMs and shall wait for their decision in the matter.

2.2. The Bidder(s) / Contractor(s) will not instigate third persons to commit offences outlined

above or be an accessory to such offences.

Section 3. Disqualification from tender process and exclusion from future contracts

3.1. If the Bidder(s) / Contractor(s), before award or during execution has committed a

transgression through a violation of Section 2, above or in any other form such as to put their

reliability or credibility in question, the Principal is entitled to disqualify the Bidder(s) /

Contractor(s) from the tender process.

Section 4. Compensation for damages

4.1. If the Principal has disqualified the Bidder(s) from the tender process prior to the award

according to Section 3, the Principal is entitled to demand and recover the damages

equivalent to Earnest Money Deposit / Bid Security.

4.2. If the Principal has terminated the contract according to Section 3, or if the Principal is

entitled to terminate the contract according to Section 3, the Principal shall be entitled to

demand from the Contractor liquidated damages of the Contract value or the amount

equivalent to Performance Bank Guarantee.

Section 5. Previous transgression

5.1. The Bidder declares that no previous transgression occurred in the last three years with

any other Company in any country conforming to the anti-corruption approach or with any

Public Sector Enterprise in India that could justify his exclusion from the tender process.

5.2. If the Bidder makes incorrect statement on this subject, he / she can be disqualified from

the tender process.

Section 6. Equal treatment of all Bidders / Contractors / Sub-contractors

6.1. In case of sub-contracting, the principal Contractor shall take the responsibility of the

adoption of Integrity Pact by the Sub-contractor.

6.2. The Principal will enter into agreements with identical conditions as this one with all

Bidders / Contractors.

Integrity Pact for Implementation of Centralised Information and Management System (CIMS) 4

6.3. The Principal will disqualify from the tender process all bidders who do not sign this

Pact or violate its provisions.

Section 7. Criminal charges against violating Bidder(s) / Contractor(s) / Sub-

contractor(s)

7.1. If the Principal obtains knowledge of conduct of a Bidder, Contractor or Sub-contractor,

or of any employee or a representative or an associate of a Bidder, Contractor or Sub-

contractor which constitutes corruption, or if the Principal has substantive suspicion in this

regard, the Principal will inform the same to the Chief Vigilance Officer.

Section 8. Independent External Monitor

8.1. The Principal appointed a competent and credible Independent External Monitor

(hereinafter referred to as ‘The Monitor’) for this Pact after approval by Central Vigilance

Commission.

Jayant Kumar Banthia, IAS (Retd.) Office of the Chairman, SICOM Solitaire Corporate Park Building No 4, 7th Floor Guru Hargovindji Road Chakala, Andheri East Mumbai 400093

The task of the Monitor is to review independently and objectively, whether and to what

extent the parties comply with the obligations under this agreement.

8.2. The Monitor is not subject to instructions by the representatives of the parties and

performs his / her functions neutrally and independently. The Monitor would have access to

all contract documents, whenever required. It will be obligatory for him / her to treat the

information and documents of the Bidders / Contractors as confidential. He / she reports to

the Principal Adviser (DSIM).

8.3. The Bidder(s) / Contractor(s) accept(s) that the Monitor has the right to access without

restriction to all project documentation of the Principal including that provided by the

Contractor. The Contractor will also grant the Monitor, upon his / her request and

demonstration of a valid interest, unrestricted and unconditional access to their project

documentation. The same is applicable to Sub-contractors.

Integrity Pact for Implementation of Centralised Information and Management System (CIMS) 5

8.4. The Monitor is under contractual obligation to treat the information and documents of the

Bidder(s) / Contractor(s) / Sub-contractor(s) with confidentiality.

8.5. The Principal will provide to the Monitor sufficient information about all meetings

among the parties related to the project provided such meetings could have an impact on the

contractual relations between the Principal and the Contractor. The parties offer to the

Monitor the option to participate in such meetings.

8.6. As soon as the Monitor notices, or believes to notice, a violation of this agreement, he /

she will so inform the management of the Principal and request the management to

discontinue or take corrective action, or to take other relevant action. The Monitor can in this

regard submit non-binding recommendations. Beyond this, the Monitor has no right to

demand from the parties that they act in a specified manner, refrain from actions or tolerate

action.

8.7. The Monitor will submit a written report to the Principal Adviser (DSIM) within 8 to 10

weeks from the date of reference or intimation to him / her by the Principal and, should the

occasion arise, submit proposals for correcting problematic situations.

8.8. If the Monitor has reported to the Principal Adviser (DSIM), a substantiated suspicion of

offence under relevant IPC/PC Act, and the Principal Adviser (DSIM) has not, within

reasonable time, taken visible action to proceed against such offence or reported it to the

Chief Vigilance Officer, the Monitor may also transmit this information directly to the

Central Vigilance Commissioner.

8.9. The word Monitor would include both singular and plural.

Section 9. Pact Duration

9.1. This Pact begins when both parties have legally signed it. It expires for the Contractor(s)

12 months after the last payment under the contract, and for all other Bidder(s) 6 months after

the contract has been awarded. Any violation of the same would entail disqualification of the

Bidder(s) and exclusion from future business dealings.

9.2. If any claim is made / lodged during this time, the same shall be binding and continue to

be valid despite the lapse of this pact as specified above, unless it is discharged / determined

by the Principal Adviser (DSIM).

Integrity Pact for Implementation of Centralised Information and Management System (CIMS) 6

Section 10. Other provisions

10.1. This agreement is subject to Indian Law. Place of performance and jurisdiction is the

Registered Office of the Principal, i.e., Mumbai.

10.2. Changes and supplements as well as termination notices need to be made in writing.

Side agreements have not been made.

10.3. If the Bidder or Contractor is a partnership or a consortium, this agreement must be

signed by all partners or consortium members.

10.4. Should one or several provisions of this agreement turn out to be invalid, the remainder

of this agreement remains valid. In this case, the parties will strive to come to an agreement

to their original intentions.

10.5. Issues like warranty / guarantee, etc., shall be outside the purview of IEMs.

____________________________ _______________________________

(For & on behalf of the Principal) (For & on behalf of Bidder / Contractor)

(Office Seal) (Office Seal)

Place:

Date:

Witness 1:

(Name & Address)

_________________________________

_________________________________

_________________________________

_________________________________

Witness 2:

(Name & Address)

___________________________________

___________________________________

___________________________________

___________________________________