request for proposal (rfp) for selection …bankofbaroda.com/download/tr-00030278_rfp.pdfrequest for...

REQUEST FOR PROPOSAL (RFP)

FOR

SELECTION OF CONSULTANT FOR

IT RISK ASSESSMENT

AND

ISO27001 CONSULTANCY & CERTIFICATION

RFP Reference No. BCC: CISO: RFP:103/02

Date : 03 June 2011

Bank of Baroda,

Baroda Corporate Centre,

C-26, G Block, Bandra Kurla Complex

Bandra (East),

Mumbai - 400 051.

Confidential of 49 IT Security Cell,

Risk Management Dept., Baroda Corporate

Centre, Bank of Baroda

Mumbai-400051

RFP for Selection of Consultant for RA, ISO27001 Consultancy & Certification

RFP Ref No: BCC:CISO:RFP:103/02 Date : 03 June 2011

Important Dates:

Sr. No.

Particulars Dates and Timelines

1 Issuance of RFP document by the Bank

00:00 hours IST on 03rd June 2011

2 Last date of submission of any queries and Last date for reporting any error, omissions or faults in the RFP document

17:00 hours IST on 10th June 2011

3 Pre-bid Meeting date/venue 15:00 hours IST on 15th June 2011. Bank Of Baroda, Baroda Corporate Centre, C-26, G-Block, Bandra Kurla Complex, Mumbai – 400 051

4 Last Date of submission of RFP response


5 Technical bid opening date / time / venue

16:00 hours IST 24th June 2011 Bank Of Baroda, Baroda Corporate Centre, C-26, G-Block, Bandra Kurla Complex, Mumbai – 400 051

Important Clarifications:

Following terms are used in the document interchangeably to mean:

Bank means “Bank of Baroda (including domestic operations, overseas operations, Overseas & Indian subsidiaries & Associate Banks)”

BCC means “Baroda Corporate Centre”.

BST means “Baroda Sun Tower”.

RBI Guidelines/RBI Working group report/RBI means recommendations of Working group on Information Security, Electronic Banking, Technology Risk Management and Cyber Frauds for implementation vide circular no RBI//2010-11/494 DBS.CO.ITC.BC.No.6/31.02.008/2010-11 dated April 29,2011

Recipient, Respondent, Bidder and Vendor means “Respondent to the RFP document”.

DC means Bank‟s Data centre at Mumbai.

DR, DRS means Bank‟s Disaster Recovery centre at Hyderabad.

BFSI means Banking, Financial Services and Insurance.

RFP means this “RFP document”

Consultant(Bidder), Bank shall be individually referred to as “Party” and collectively as “Parties”.




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TABLE OF CONTENTS

SECTION – I ................................................................................................................................................................................... 4

1.1 INTRODUCTION AND DISCLAIMER ......................................................................................................................... 4

1.2 INORMATION PROVIDED ............................................................................................................................................ 4

1.3 FOR RESPONDENT ONLY ............................................................................................................................................ 4

1.4 CONFIDENTIALITY ....................................................................................................................................................... 4

1.5 DISCLAIMER ................................................................................................................................................................... 5

1.6 ELIGIBILITY CRITERIA. .............................................................................................................................................. 5

1.7 COSTS BORNE BY RESPONDENTS ............................................................................................................................ 5

1.8 NO LEGAL RELATIONSHIP ......................................................................................................................................... 6

1.9 RECIPENT OBLIGATION TO INFORM ITSELF ...................................................................................................... 6

1.10 EVALUATION OF BIDS ............................................................................................................................................. 6

1.11 ERRORS AND OMISSIONS ....................................................................................................................................... 6

1.12 ACCEPTANCE OF TERMS........................................................................................................................................ 6

1.13 RFP RESPONSE TERMS ............................................................................................................................................ 7

1.14 NOTIFICATIONS ...................................................................................................................................................... 11

1.15 DISQUALIFICATION ............................................................................................................................................... 11

1.16 ERASINGS OR ALTERATIONS .............................................................................................................................. 11

1.17 RIGHT TO REJECT BIDS ........................................................................................................................................ 12

1.18 PROCESS & TIMEFRAME ...................................................................................................................................... 12

1.19 OTHER TERMS AND CONDITIONS ..................................................................................................................... 13

SECTION – II ............................................................................................................................................................................... 14

2.1 BANK OF BARODA-INTRODUCTION ...................................................................................................................... 14

2.2 PROJECT OBJECTIVE ................................................................................................................................................. 14

2.3 PROJECT SCOPE .......................................................................................................................................................... 15

2.4 DETAILS OF INFRASTRUCTURE AT BANK’S DC/DR ......................................................................................... 20

SECTION – III .............................................................................................................................................................................. 22

3.1 GENERAL TERMS AND CONDITIONS .................................................................................................................... 22

SECTION – IV .............................................................................................................................................................................. 31

ANNEXURE-A : ELIGIBILITY CRITERIA ............................................................................................................................ 31

ANNEXURE-B : CONSULTANT’S SELECTION/EVALUATION PROCESS .................................................................... 34

ANNEXURE-C : COMPLIANCE CERTIFICATE .................................................................................................................. 38

ANNEXURE-D : TECHNICAL BID FORMAT ........................................................................................................................ 39

ANNEXURE-E : EXPERIENCE DETAILS .............................................................................................................................. 43

ANNEXURE-F : ESTIMATED EFFORT AND ELAPLSED TIME ....................................................................................... 44

ANNEXURE-G : LIST OF CERTIFIED EMPLOYEES .......................................................................................................... 45

ANNEXURE-H : PROPOSED TEAM PROFILE ..................................................................................................................... 46

ANNEXURE-I : COMMENTS ON TERMS & CONDITIONS & SERVICES/PRE BID QUERY FORMAT ................... 47

ANNEXURE-J : COMMERCIAL BID FORMAT .................................................................................................................... 48




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SECTION – I

1.1 INTRODUCTION AND DISCLAIMER

This Request for Proposal document (“RFP”) has been prepared solely to enable Bank of Baroda (“Bank”) in the selection of suitable Consultant through tender for regular IT Risk Assessment and ISO27001 Consultancy & Certification services for the Bank.

The RFP document is not a recommendation, offer or invitation to enter into a contract, agreement or other arrangement in respect of the services. The provision of the services is subject to observance of selection process and appropriate documentation being agreed between the Bank and any successful Bidder as identified after completion of the selection process as detailed in Annexure-B on Consultant‟s Selection/Evaluation Process.

1.2 INORMATION PROVIDED

The RFP document contains statements derived from information that is believed to be true and reliable at the date obtained but does not purport to provide all of the information that may be necessary or desirable to enable an intending contracting party to determine whether or not to enter into a contract or arrangement with Bank in relation to the provision of services. Neither Bank nor any of its directors, officers, employees, agents, representative, contractors, or advisers gives any representation or warranty (whether oral or written), express or implied as to the accuracy, updating or completeness of any writings, information or statement given or made in this RFP document. Neither Bank nor any of its directors, officers, employees, agents, representative, contractors, or advisers has carried out or will carry out an independent audit or verification or investigation or due diligence exercise in relation to the contents of any part of the RFP document.

1.3 FOR RESPONDENT ONLY

The RFP document is intended solely for the information of the party to whom it is issued (“the Recipient” or “the Respondent”) i.e. Government Organization/PSU/ limited Company, partnership firm.

1.4 CONFIDENTIALITY

This document is meant for the specific use by the Respondents interested to participate in the current tendering process. This document in its entirety is subject to Copyright laws. Bank expects the Bidders or any person acting on behalf of the Bidders to strictly adhere to the instructions given in the document and maintain confidentiality of information. The Bidders will be held responsible for any misuse of the information contained in the document and liable to be prosecuted by the Bank in the event of such a circumstance is




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brought to the notice of the Bank. By downloading the document, the interested party is subject to confidentiality clauses. Bank may update or revise the RFP document or any part of it. The Recipient acknowledges that any such revised or amended document shall be received subject to the same confidentiality terms.

The Recipient will not disclose or discuss the contents of the RFP document with any officer, employee, consultant, director, agent, or other person associated or affiliated in any way with the Bank or any of its customers or suppliers without prior written consent of the Bank.

1.5 DISCLAIMER

Subject to any law to the contrary, and to the maximum extent permitted by law, Bank and its directors, officers, employees, contractors, representatives,

agents, and advisers disclaim all liability from any loss, claim, expense (including, without limitation, any legal fees, costs, charges, demands, actions, liabilities expenses or disbursements incurred therein or incidental thereto) or damage (whether foreseeable or not) (“Losses”) suffered by any person acting on or refraining from acting because of any presumptions or information (whether oral or written and whether express or implied), including forecasts, statements, estimates, or projections contained in this RFP document or conduct ancillary to it whether or not the Losses arises in connection with any ignorance, negligence, inattention, casualness, disregard, omission, default, lack of care, immature information, falsification or misrepresentation on the part of Bank or any of its directors, officers, employees, contractors, representatives, agents, or advisers.

1.6 ELIGIBILITY CRITERIA.

Consultants who wish to bid should conform to the Eligibility Criteria as per Annexure-A : Eligibility Criteria except for clause nos 3 & 4. For meeting the eligibility criteria, 31.05.2011 would be considered as the date on which the Bidder should be eligible.

1.7 COSTS BORNE BY RESPONDENTS

All costs and expenses (whether in terms of time or money) incurred by the Recipient / Respondent in any way associated with the development, preparation and submission of responses, including but not limited to attendance at meetings, discussions, demonstrations, presentation etc. and providing any additional information required by Bank, will be borne entirely and exclusively by the Recipient / Respondent. Stamp duty that may be incurred towards entering in to agreement with the successful Bidder for awarding the contract will be shared by the Bank and the successful Bidder in equal proportion.




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1.8 NO LEGAL RELATIONSHIP

No binding legal relationship will exist between any of the Recipients / Respondents and the Bank until execution of a contractual agreement to the full satisfaction of the Bank.

1.9 RECIPENT OBLIGATION TO INFORM ITSELF

The Recipient must apply its own care and conduct its own investigation and analysis regarding any information contained in the RFP document and the meaning and impact of that information.

1.10 EVALUATION OF BIDS

The evaluation of the bids will be done as per evaluation criteria mentioned in Annexure-B “CONSULTANT‟S SELECTION/EVALUATION PROCESS” of this RFP document. The Bidders who do not qualify the eligibility criteria as stipulated under Annexure-A will not be considered for technical evaluation. A Bidder not eligible under Technical Bid will not be considered for opening of Commercial Bid.

However each Recipient acknowledges and accepts that the Bank may, in its sole and absolute discretion, apply whatever criteria it deems appropriate in the selection of organizations, not limited to those selection criteria set out in this RFP document.

The issuance of RFP document is merely an invitation to offer and must not be construed as any agreement or contract or arrangement nor would it be construed as material for any investigation or review to be carried out by a Recipient. The Recipient unconditionally acknowledges by submitting its response to this RFP document that it has not relied on any idea, information, statement, representation, or warranty given in this RFP document.

For meeting the requirements of eligibility criteria, 31.05.2011 would be considered as the date on which the Bidder should be eligible. For Technical Evaluation criteria the date on the basis of which marks would be given would be 31.05.2011.

1.11 ERRORS AND OMISSIONS

Each Recipient should notify the Bank of any error, fault, omission, or discrepancy found in this RFP document upto 17:00 hrs IST 10th June 2011 as per the enclosed Annexure „I‟.

1.12 ACCEPTANCE OF TERMS

The Recipient will, by responding to the Bank‟s RFP document, be deemed to have accepted the terms as stated in this RFP document.




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1.13 RFP RESPONSE TERMS

1.13.1 Application Money & Earnest Money

The Bidder will be required to submit Application Money of Rs.5,000/-(Rupees Five Thousand) by way of Bankers Cheque/Demand Draft/Pay Order favoring Bank of Baroda, Payable in Mumbai, which is non refundable, must be submitted separately along with RFP response.

Earnest Money Deposit of Rs 100,000/- (Rupees One Lakh only) has to be submitted by way of Demand Draft / Banker's Cheque / Pay Order drawn in favor of "Bank of Baroda” payable in Mumbai. Earnest Money Deposit will not carry any interest. The Earnest Money Deposit of unsuccessful Bidders will be refunded while intimating the rejection of the bid. The Earnest Money Deposit of the successful Bidder will be adjusted towards security deposit.

Application Money and Earnest Money Deposit should be delivered separately along with the sealed envelopes containing RFP responses and the Application Money and Earnest Money documents should not be put inside the sealed envelope containing RFP Response documents.

RFP document should be downloaded from the Tenders Section of the Bank‟s website, http://www.bankofbaroda.com.

The Earnest Money Deposit will be forfeited if:

The Bidder withdraws his tender before processing of the same.

The Bidder withdraws his tender after processing but before acceptance of “Work Order” to be issued by the Bank, in case the Bidder is selected by the Bank.

The selected Bidder withdraws his tender before furnishing Bank Guarantee/Security Deposit as required under this RFP.

The Bidder violates any of the provisions of the terms and conditions of this RFP specification.

If the selected Bidder fails to enter into the contract agreement with the Bank within 15 days of issuing the Work Order.

1.13.2 RFP Closing Date

RFP Response should be submitted to the officials indicated below not later than 15:00 hrs IST (Indian Standard Time) on 24th June 2011.

1.13.3 Format of Bids

The Bidders should use the formats prescribed by the Bank in the RFP

for submitting both technical and commercial bids. Any deviation in this regard entails the Bidder for disqualification.




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1.13.4 Submission of Bid

-2- Sets of Technical and -2- sets of Commercial Bids in separate sealed envelopes (Total -4- sealed envelopes – two sealed envelops for technical bid and 2 sealed envelopes for commercial bid) should be submitted along with Application money and Earnest Money Demand Drafts / Pay Orders which should be in a separate unsealed envelope, before the RFP closing date and time. The sealed envelopes containing technical proposal should be superscribed as “TECHNICAL PROPOSAL for Selection of Consultant for IT Risk Assessment and ISO27001 Consultancy & Certification” and the sealed envelopes containing the commercial proposal should be superscribed as “COMMERCIAL PROPOSAL for Selection of Consultant for IT Risk Assessment and ISO27001 Consultancy & Certification”. The e-mail address and phone/fax numbers of the Bidder should also be indicated on the sealed envelopes.

The soft copy of the technical proposal in MS-Word / Excel format should also be submitted in a CD along with hard copy of the technical proposal. It should be noted that in case of any discrepancy observed in information submitted by the Bidder in hard-copy and soft-copy, the hard-copy will be given precedence. However, in case of non-submission of any hard copy document, if the same is found submitted in the soft-copy and vice-versa, Bank reserves right to accept the same at its discretion.

The Bidder shall submit the proposals properly filed so that the papers are not loose. The Bidder shall submit the proposal in suitable file such that the papers do not bulge out and tear during scrutiny. All the pages of the proposal including documentary proofs should be numbered as “Page ____ (current page) of _____ (Total pages)" and be signed by authorized signatory. The current page number should be a unique running serial number across the entire proposal.

List of Contents for Technical Bid:

The Technical Proposal should be as per the requirement of the Bank in prescribed formats as follows:

a. Index of contents submitted.

b. Compliance Certificate as per Annexure-C.

c. Technical Bid Format as per Annexure-D

d. Experience details as per Annexure-E

e. Estimated Effort and Elapsed time as per Annexure-F

f. List of Certified Employees as per Annexure-G

g. Proposed Team Profile as per Annexure-H

h. Comments on Terms and Conditions & Services as per Annexure-I




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i. Masked Copy of Commercial Bid as per Annexure-J (i.e. a copy of the Commercial Bid without price figures)

j. All the copies of certificates, documentary proofs, work orders, brochures etc should be clearly marked.

k. A CD containing soft copy of the proposal

List of Contents for Commercial Bid

a. Commercial Bid as per Annexure-J.

RFP Response should be addressed to:

The Chief Information Security Officer 2nd Floor, Risk Management Department Bank of Baroda, Baroda Corporate Centre, C-26, G-Block, Bandra Kurla Complex, Bandra (East), Mumbai 400 051.

RFP Response/Bids in the sealed envelopes as detailed above must be hand delivered to the Bank at the following address :

P.S.Rashtrawar(CISO) or Punit Kumar (Senior Manager-IT Security), IT Security Cell, Risk Management Dept, Bank of Baroda, 2nd Floor, Baroda Corporate Centre, C-26, G Block, Bandra Kurla Complex, Mumbai-400051.

Submission of bids by any mode other than hand delivery to the officials mentioned above is not allowed and will be considered invalid.

Bids submitted not as per the process and terms specified above will be rejected.

1.13.5 Registration of RFP

Registration of RFP response will be effected by the Bank by making an entry in a separate register kept for the purpose, upon receiving the RFP response in the above manner as detailed in this RFP. The RFP response must contain all documents, information, and details required by this RFP. If the submission to this RFP does not include all the documents and information required or is incomplete or submission is through Fax mode or e-mail or any mode other than hand delivery, the RFP is liable to be summarily rejected.

All submissions, including any accompanying documents, will become

the property of Bank. The Recipient shall be deemed to have licensed, and granted all rights to the Bank to reproduce the whole or any portion of their submission for the purpose of evaluation, to disclose the contents of the submission to other Recipients who have registered a submission and to disclose and/or use the contents of the submission as the basis for any resulting RFP process, notwithstanding any copyright or other intellectual property right of the Recipient in the submission or accompanying documents.




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1.13.6 Late RFP Policy

RFPs lodged after the deadline for lodgment of RFPs may be registered by the Bank and may be considered and evaluated by the evaluation team at the absolute discretion of the Bank. Respondents are to provide detailed evidence to substantiate the reasons for a late RFP submission. It should be clearly noted that Bank has no obligation to accept or act on any reason for a late submitted response to RFP.

1.13.7 RFP Validity Period

RFP responses will remain valid and open for evaluation according to their terms for a period of at least six (6) months from the RFP closing date.

The Bank shall have the right at its sole and absolute discretion to continue the assignment/contract with the selected Bidder for future requirement on the rates finalized in this processing for various items/activities as described in the Annexure-„J‟ Commercial Bid after expiry of current assignment period.

1.13.8 Requests for Information

All queries relating to the RFP, technical or otherwise, must be either in writing or by email only and will be entertained by the Bank only in respect of the queries received up to 17:00 hrs IST 10th June 2011. All queries should be addressed to the nominated point of contact as mentioned below.

Chief Information Security Officer (CISO) Bank of Baroda, 2nd Floor, Baroda Corporate Centre,

C26, G Block, Bandra Kurla Complex, Mumbai, 400 051 Tel No: 022-66985230/ 66985227 E-mail ID: [email protected]

The Bank will try to reply, without any obligation in respect thereof, every reasonable query raised by the Recipients in the manner specified.

However, the Bank will not answer any communication initiated by Respondents later than the date of pre bid meeting. Bank may in its

absolute discretion seek, but being under no obligation to seek, additional information or material from any Respondent after the RFP closes and all such information and material provided will be taken to form part of that Respondent‟s response.

Respondents should invariably provide details of their email address as responses to queries will only be provided to the Respondent via email.




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If Bank in its sole and absolute discretion deems that the originator of the query will gain an advantage by a response to a question, then Bank reserves the right to communicate such response to all Respondents.

Bank may in its sole and absolute discretion engage in discussion or negotiation with any Respondent (or simultaneously with more than one Respondents) after the RFP closes to improve or clarify any response.

1.13.9 Charges Terms

By submitting the bid, the Bidder will be deemed to have accepted all the terms and conditions mentioned in the RFP document and the rates quoted by the Bidder will be adequate to complete such work according to the specifications and conditions attached thereto and the Consultant has taken into account all conditions and difficulties that may be

encountered during the period of assignment and to have quoted all the commercial rates, which shall include agreed price/ contract amount with taxes, royalties, VAT and other duties and all other facilities and services necessary for proper completion of the assignment, except such as may be otherwise provided in the contract document for completion of the assignment. The service tax would be paid by the Bank at actuals.

The TDS amount on prevailing rate and work contract tax etc. shall be deducted from selected Bidder‟s running account/final bills. Necessary certificates shall be issued to the selected Bidder by the Bank.

All taxes, levies, cess and duties in respect of this contract except service tax shall be payable by the selected Bidder and the Bank will not be liable for any claim whatsoever in this respect during the period of contract. Service tax payable on the payment of contract amount will be borne by the Bank.

1.14 NOTIFICATIONS

Bank will notify the Respondents in writing as soon as practicable, about the outcome of the RFP evaluation process, including whether the Respondent‟s RFP response has been accepted or rejected. Bank is not obliged to provide any reasons for any such acceptance or rejection.

1.15 DISQUALIFICATION

Any form of canvassing/lobbying/influence/query regarding short listing,

status etc will result in disqualification.

1.16 ERASINGS OR ALTERATIONS

The offers containing overwriting, erasing or alterations may not be considered. There should be no hand written material corrections or alterations in the offer. Technical details must be completely filled up. Correct technical information of the services being offered must be filled in. Filling up of the information using




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terms such as OK, ACCEPTED, NOTED, AS GIVEN IN BROCHURE/MANUAL or any Special Characters such as -, “, @, _,# is not acceptable. The Bank may treat offers not adhering to these guidelines as unacceptable.

1.17 RIGHT TO REJECT BIDS

Bank reserves the absolute and unconditional right to reject the response to this RFP if it is not in accordance with its requirements and no further correspondence will be entertained by the Bank in the matter. The bid is liable to be rejected if

It is not in conformity with any of the instructions, terms and conditions mentioned in this RFP document.

It is not accompanied by the requisite Application Money and EMD.

It is not properly/duly signed.

It is received through any mode other than hand delivery to the designated officials

It is received after expiry of the due date and time.

It is incomplete including non-furnishing the required documents.

It is evasive or contains incorrect information.

There is canvassing of any kind.

It is submitted anywhere other than the place mentioned under clause 1.13.4.

1.18 PROCESS & TIMEFRAME

Selection of a successful Bidder will involve a five (5) stage approach. The approach follows the Indian Government‟s Central Vigilance Commission (CVC) guidelines.

The following is an indicative timeframe for the overall selection process. Bank

reserves the right to vary this timeframe at its absolute and sole discretion should the need arise. Changes to the timeframe will be relayed to the affected Respondents during the process.

Receipt of RFP Bids

Evaluation of Bids

Award of Contract

STAGE 1 STAGE 2 STAGE 3 STAGE 4 STAGE 5

Pre - bid Meeting

Issue Of RFP




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Sr.

No.

Particulars Dates and Timelines

1 Issuance of RFP document by the Bank

00:00 hours IST on 03rd June 2011

2 Last date of submission of any queries and Last date for reporting any error, omissions or faults in the RFP document


3 Pre-bid Meeting date/venue 15:00 hours IST on 15th June 2011. Bank Of Baroda, Baroda Corporate Centre, C-26, G-Block, Bandra Kurla Complex, Mumbai – 400 051

4 Last Date of submission of RFP response


5 Technical bid opening date / time / venue

16:00 hours IST 24th June 2011 Bank Of Baroda, Baroda Corporate Centre, C-26, G-Block, Bandra Kurla Complex, Mumbai – 400 051

The dates mentioned above are tentative dates and the Bidder acknowledges that it cannot hold the Bank responsible for breach of any of the dates.

Note: Bidders can depute their representative (only one) to attend the Technical bid opening process. No separate intimation will be given in this regard to the Bidders for deputing their representatives for technical bid opening.

1.19 OTHER TERMS AND CONDITIONS

The Bank reserves the right to:

Reject any and all responses received in response to the RFP, with or without assigning any reasons whatsoever.

Waive or change any formalities, irregularities, or inconsistencies in proposal format delivery.

To negotiate any aspect of proposal with any Bidder and negotiate with more than one Bidder at a time.

Extend the time for submission of all proposals.

Select the most responsive Bidders (in case no Bidder satisfies the eligibility criteria in totality).

Select the next most responsive Bidder if negotiations with the Bidder of choice fail to result in an agreement within a specified time frame.

Share the information/ clarifications provided in response to RFP by any Bidder, with any other Bidder(s) /others, in any form.

Cancel the RFP/Tender at any stage, without assigning any reason whatsoever.




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SECTION – II

2.1 BANK OF BARODA-INTRODUCTION

Bank is one of the largest Public Sector Banks in India with over 33 million accounts and a Branch network of 3390 branches in India and 85 branches / offices in 26 countries overseas.

The aim of Bank‟s IT Strategy is to conduct a Technology Enabled Business Transformation of current business processes. Bank has selected Hewlett Packard India Sales Private Ltd. (HP) as the System Integrator for the Technology Enabled Business Transformation Project (Project Shikhar). Bank has implemented Core Banking Solution (CBS) in all the branches in India and in most of the overseas territories. Bank has its own Data Centre at Mumbai and Disaster Recovery Centre at Hyderabad.

Bank has expanded the installation of ATMs and issuance of Debit Cards in India and overseas territories. At present Bank has installed 1577+ ATMs and issued more than 60 lac debit cards in India.

2.2 PROJECT OBJECTIVE

The Bank including its subsidiaries has implemented its centralized systems at Data Centre and DR site and it intends to perform IT Risk Assessment and obtain ISO27001 certification for their operations at Data Centre and DR Site. In addition Bank also intends to implement the Risk Management framework for its representative branches, Core and NAP centres. For this the Bank intends to appoint competent and qualified consultant for IT Risk Assessment and ISO27001 Consultancy & Certification services.

Reserve Bank of India has recently published recommendations of Working group on Information Security, Electronic Banking, Technology Risk Management and Cyber Frauds for implementation vide circular no RBI//2010-11/494 DBS.CO.ITC.BC.No.6/31.02.008/2010-11 dated April 29,2011. Bank also intends to implement the guidelines by following by following the risk based approach.

The selected Bidder has to provide services based on the latest ISO27001 standard currently being ISO27001:2005 and RBI Guidelines.

Based on the contents of the RFP, the selected Bidder shall be required to independently arrive at approach and methodology, based on ISO27001

standards, best practices and RBI guidelines, suitable for the Bank, after taking into consideration the effort estimate for completion of the same and the resource and the equipment requirements. The approach and methodology will be approved by the Bank.

The Bank expressly stipulates that the Consultant‟s selection under this RFP is on the 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 selected Bidder




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shall be required to undertake to perform all such tasks, render requisite services and make available such resources as may be required for the successful completion of the entire assignment at no additional cost to the Bank.

The selected Bidder will be responsible for carrying out risk assessment of the identified Business units and provide risk assessment framework and templates to the Bank as per the broad objectives as outlined below.

1. A comprehensive risk assessment of the IT operations of the Bank.

2. Development of risk management framework which would ensure that the IT risks are managed by the Bank on an ongoing basis.

3. Develop risk assessment templates for the various Information System Assets for units such as DC, DR, branches, NAP, core location which would enable the bank to self-assess the risks at any point of time.

4. To arrange the ISO27001 certification audit by the approved agencies.

5. To ensure that the Bank obtains ISO27001 Certification for its DC & DR operations and maintains the same.

6. To implement the RBI Working Group Report following a risk based approach.

The selected Bidder will ensure knowledge transfer to the Bank at every stage of the project to enable the Bank to carry out the work as specified in this RFP in future after completion of this assignment.

Bank may, at its full discretion, choose to avail of the services for all services or part thereof. Such decision may be advised in course of the project.

The selected Bidder‟s appointment is task specific and would last till the bank achieves the objective such as IT Risk Assessment, ISO27001 certification for DC & DR and RBI compliance as per the scope of this RFP.

2.3 PROJECT SCOPE

The primary focus of the scope is to obtain ISO 27001 certification for Data Centre/Disaster Recovery Centre and implementation of RBI Working Group Report. However, the detailed scope is detailed as under.

The Bank also reserves its right to change the scope of the RFP to meet the overall objective of effective Risk Assessment, Risk Mitigation and ISO Certification requirements.

The project scope includes ISO27001 certification for Bank‟s Data Centre at

Mumbai, Disaster Recovery centre at Hyderabad including Regular Risk assessment. For other select Bank branches/IT locations , the scope is limited to the Risk assessment, Risk Mitigation and development of Risk assessment framework and templates. Risk assessment of the overseas branches will be carried out offsite. Bank also intends to implement the RBI working group report adopting a risk based approach.




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Risk Assessment and mitigation plan should be done as per ISO Standards, RBI Working Group Report, industry best practices. The consultant would also develop the risk assessment template with a scoring system which would be used by the Bank in future to assess risks at the in scope centres.

Following is the list of in-scope business units :

Data Centre, Mumbai

DR Site Hyderabad

One Core Location

One NAP Centre

One City Back Office

One Regional Processing centre

One Medium sized branch with onsite ATM.

New York Branch (For offsite assessment only)

Singapore Branch (For offsite assessment only)

Certification including Recertification should be as per the latest version of ISO27001 currently being the version 2005.

As part of internal audit, the following is already being carried out by the Bank appointed IS Auditors.:-

Comprehensive Audit of IT Infrastructure (DC/DR)

o IT Infrastructure review

o Data Centre/DR Audit

o Managed Service effectiveness and Service Level Agreement

o Business Continuity Plan & Disaster Recovery Plan

Comprehensive Audit of Banking Application Systems

o Threat & Vulnerability Analysis (Periodic Audit of customer facing applications).

o Security controls review of ATM, internet Banking, online trading.

o Review/Audit of CBS Business Application and other Business Applications.

The Reports of the recent audits will be made available to the selected Bidder. Any residual requirement of technical audit, Vulnerability assessment, penetration testing etc has to be completed by the selected Bidder.

As part of the scope of work the following would need to be carried out.




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2.3.1 Training:

Required training which will include classroom training and on the job training, in all the phases would need to be provided by the selected Bidder to Bank‟s personnel at various levels to obtain a proper understanding of ISO27001 standard, RBI Working Group report, their compliance and IT Risk Assessment to enable the Bank personnel to carry out such assignments independently.

Training Deliverable

Training material in the form of training manuals and presentations Conduct of classroom trainings for Bank‟s staff at various levels.

2.3.2 Phase I

Scoping: A detailed scoping would be required to be carried out to define the areas which would be covered encompassing the business processes, policies and procedures, IT infrastructure, IT organization, IT implementation etc. The scope would need to be approved by the bank before further work is undertaken.

Deliverable:

Description of approach and methodology

Detailed scope.

Implementation plan

Gap assessment:

During this phase the selected Bidder would review the in-scope elements against the best practices, Bank‟s own Security Policy & Guidelines, ISO27001 guidelines, COBIT, ITIL, RBI Working group report etc. This phase would include but not limited to the following:

Review of IT governance and organization.

Review of Risk Management framework

Review of IT processes and business processes around IT processes.

Review of Policies Standards & Guidelines, Procedures and other subordinate documents.

Review of Change Management Process including security testing of applications/updates/patches before moving to production.

Review based on bank appointed IS Auditors Comprehensive Audit reports of IT Infrastructure.

Review based on bank appointed IS Auditor‟s Audit reports on Banking application systems.




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Asset Identification, Ownership & classification:

The selected Bidder would be required to identify, classify and document the entire Information System assets of various types in a logical manner. The selected Bidder will define owners in consultation with the Bank and will perform the Asset valuation based on the confidentiality, integrity and availability value of the asset. The selected Bidder will classify them according to the criticality based on the business area and usage.

Threat analysis:

The selected Bidder will perform the Threat and Vulnerability analysis and Compute the probability of occurrence of the threat based on a scientific method.

Risk assessment:

The selected Bidder would use standard risk assessment methodology and assess the risk based on the inputs from the above three steps i.e Gap assessment, Asset identification, valuation and classification and Threat analysis. The selected Bidder will also evaluate the third party relationships and perform risk assessment of the same. Risk Assessment would have to be carried out for all Information System assets without any sampling. Risk Assessment frequency would be every six months. Ongoing Risk assessment would need to be carried out for any new implementation in the Bank during the period of assignment.

Baseline Security Review:

The selected Bidder would review the Baseline security of IT Assets as per the industry best practices and vendor recommended guidelines and ensure that Baseline security is implemented. Selected Bidder should ensure that Baseline security documents are available. In case of any gap found, the same has to be formulated by the vendor.

Deliverables for Gap Assessment:

Gap assessment report based on ISO27001 standards and RBI Working Group Report dated and RBI Circular No. RBI//2010-11/494 DBS.CO.ITC.BC.No.6/31.02.008/2010-11 dated April 29,2011 with separate columns indicating the ISO and RBI Gaps.

Review/Audit reports under various heads such as IT organisation, Technical Infrastructure with detailed implementable steps.

Asset Inventory, ownership and Classification, Asset Register

Risk Management Framework for the Bank.

Develop process for ongoing Risk Assessment before introduction of any application, IT device.

Risk Assessment Report

Baseline security review report




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2.3.3 Phase II

Gap/Risk Remediation

The Selected Bidder will identify the gap in the Bank‟s existing environment vis~a~vis the ISO27001 requirements and RBI Guidelines and suggest the Bank the remediation plan with the detailed steps to be performed to achieve ISO27001 certification and meet RBI requirements.

The Selected Bidder will have to hold periodic meetings with the Bank and would spell out a detailed remediation plan meant for various levels such as organisation, policies and procedures, devices to facilitate implementation. The remediation plan has to be granular and deficiency specific based on risk assessment and generic recommendations should be avoided. The Selected Bidder would have to revise or formulate new required documentation such as IT Security policy, Standard & guidelines, Procedures, subordinate documents, Baseline security etc. The required documentation should also include the steps to be performed for ongoing ISO27001 compliance and Regular risk assessment. The Selected Bidder has to provide technical expertise in identifying and evaluating product vendors for technology solutions that would be required to mitigate the risks. The selected Bidder has to coordinate with the Bank‟s system integrator, monitor the progress in risk remediation and provide handholding support to the Bank till the risk is remediated. The support has to be in the form of emails, telephone, and onsite visits, additional technical inputs etc as may be required by the Bank during the tenure of the contract. In case the solution suggested by the selected Bidder can not be implemented, in such cases, selected Bidder will suggest the alternative solution to the Bank.

Deliverables for Gap/Risk Remediation:

Business unit wise Risk Mitigation and Gap remediation planwith separate columns for ISO and RBI Gaps.

Revised or new IT Security policy, Standard & Guideline, Procedures and subordinate documents etc.

Baseline security hardening guideline documents 2.3.4 Phase III

Certification

The selected Bidder has to perform the precertification audit on completion of the Gap remediation to ensure compliance as per




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ISO27001 standards. The coverage needs to be comprehensive during this exercise as per the ISO27001 requirement.

Prepare all the documentation required(like SOA) and enable the Bank to apply for ISO27001.

Provide onsite consultancy support during ISO27001 Certification audit.

Get the ISO27001 Certification audit done through authorized certification agency and get the ISO27001 certification for the Bank.

Carry out a compliance evaluation vis-à-vis the RBI Working Group Report.

Deliverable for Certification

Precertification Audit report.

Consultancy support to get the ISO27001 certification.

All documentation required for ISO27001 certification.

ISO27001 Certification reports by the approved auditors.

RBI compliance report based on the working group recommendations. 2.3.5 Phase IV

Post Certification

The selected Bidder has to perform the steps enumerated as above in Phase I to Phase III to ensure ongoing compliance by the Bank. The selected Bidder will perform risk assessment on -6- monthly basis and perform ongoing risk assessment of any changes in the IT infrastructure assets. The ongoing compliance will include ISO27001 surveillance audit for next -2- years after the certification and recertification audit after -3- years by the authorized auditors.

Deliverables

As per above phase I to III

Ongoing Risk assessment reports.

6 monthly Risk assessment report

2.4 DETAILS OF INFRASTRUCTURE AT BANK’S DC/DR

Bank’s Data Centre

Bank has state of the art Data Centre at Mumbai with DR site at Hyderabad. DC has

been established by M/s Hewlett Packard India Pvt. Ltd. Bank‟s DC is connected to all the Branches in India, overseas territories, Bank‟s subsidiaries and business partners like NFS, Visa Card, Master card, SWIFT, NSE, BSE etc. DC Operation is jointly managed by HP and the Bank‟s team. Bank has implemented various applications at DC and DR in the centralized environment. Irrespective of the present status of applications, systems, processes, interfaces, hardware, networking equipments, security devices etc implemented at DC/DR site, all future changes including new




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initiatives will be covered as part of the scope of work during the term of the engagement.

Network Architecture

Bank‟s has implemented -3- TIER network architecture with DC in Mumbai and DR site in Hyderabad with Link level and device level redundancies. Bank‟s DC and DR are connected to -6- Core locations. These -6- Core locations are connected to 27 NAP(Network Access Point) locations. Presently connectivity between various centres is through Leased Line as primary link with ISDN as backup link. Branches are connected to NAP locations. Bank‟s onsite ATMs are part of the branch network. Offsite ATMs and select remote branches are connected through VSATs. Bank is planning to migrate from the Leased Line network to MPLS cloud. On migration, the number of NAP centres are expected to reduce considerably.

Details of IT Security Policy

Bank has IT Security Policy which has been reviewed by KPMG and approved by the Board of Directors. Bank also has 20 Standard and Guideline documents which is approved by the Top Management Steering committee(TMSC) on IT Security and 14 Procedure documents in place. Bank also has Purging and Archival policy and Business continuity plan approved by the Board of Directors.




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SECTION – III

3.1 GENERAL TERMS AND CONDITIONS

3.1.1 Term of Assignment

The selected Bidder under this RFP will be appointed for a period of six months for the Bank including its subsidiaries, overseas branches/territories to perform Risk Assessment and provide ISO27001 Consultancy and Certification, RBI Compliance services as per the Scope of Work.

However, if for any reason the work is not completed to the satisfaction of the Bank within the stipulated time, the period of contract would be extended at Bank‟s discretion at no extra cost.

Subsequent to the initial assignment and after obtaining certification of DC and DR, the selected Bidder shall provide the services for the next -3- years. As part of assignment, selected Bidder shall perform risk assessment for -3- years, surveillance audit for -2- years and recertification after -3- years subject to renewal of the services by the Bank.

3.1.2 Adherence to Terms and Conditions

The Bidders who wish to submit responses to this RFP should note that they should abide (in true intent and spirit) by all the terms and conditions contained in the RFP. If the responses contain any extraneous conditions put in by the Respondents, such responses may be disqualified and may not be considered for the selection process.

3.1.3 Execution of Agreement/NDA

The selected Bidder should execute a Service Level Agreement with the Bank which will remain valid for at least 42 months. The Service Level Agreement would include all the terms and conditions of the services to be extended as detailed herein and as may be prescribed or recommended by the Bank which will include a Non-disclosure Agreement clause. The selected Bidder should execute the Service Level Agreement with ND clause within -2- weeks from the date of acceptance of Work Order.

The date of agreement shall be treated as date of engagement and the

time-line for completion of the assignment shall be worked out with reference to this date.

3.1.4 Issuance of purchase order

Bank will issue initial purchase order for carrying out Risk Assessment and ISO27001 consultancy & certification as per scope of work. The




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selected Bidder is expected to complete the Phase I to Phase III of the Scope of work within a period of six months resulting in ISO27001 certification and RBI compliance.

Post ISO27001 Certification of DC/DR and Risk assessment of Branch units, Bank will issue Purchase orders for availing services as per the scope of work depending upon its need.

Bank will have the discretion, to avail of any one or more services from the successful Bidder, any time during the tenure of the contract as per the contracted rates and terms and conditions.

3.1.5 Project Team Members

The key persons identified by the Consultant should necessarily possess the following qualification/experience.

Should have in-depth knowledge of IT and Banking processes with a minimum of three years work experience in IT Security.

Should have in-depth knowledge of RBI guidelines.

Should be a certified ISO27001 lead auditor or ISO27001 Lead Implementer by the authorized agency.

Should have worked on at least -2- ISO27001 consultancy or certification assignments out of which, -1- assignment should be for a Bank.

Should possess CISA/CISSP/CEH certification.

3.1.6 Substitution Of Project Team Members

During the assignment, the substitution of key staff identified for the assignment will not be allowed by the Bank unless such substitution becomes unavoidable to overcome the undue delay or that such changes are critical to meet the obligation. In such circumstances, the selected Bidder, as the case may be, can do so only with the prior written concurrence of the Bank and by providing the replacement staff of the same level of qualifications and competence. If the Bank is not satisfied with the substitution, the Bank reserves the right to terminate the contract and recover whatever payments(including past payments and payment made in advance) made by the Bank to the selected Bidder during the course of the assignment pursuant to this RFP besides claiming an amount equal to the contract value as liquidated damages. However, the Bank reserves the unconditional right to insist to the selected Bidder to replace any team member with another (with the qualifications and competence as required by the Bank) during the course of assignment pursuant to this RFP.




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3.1.7 Software/Hardware requirements

All the softwares, hardware equipments like Laptops, tools etc to carry out the assignment has to be brought by the selected Bidder at no extra cost.

3.1.8 Professionalism

The selected Bidder should provide professional, objective and impartial advice at all times and hold the Bank‟s interest paramount and should observe the highest standard of ethics, values, code of conduct, honesty and integrity while executing the assignment.

3.1.9 Alternative Approaches

In case the Bank is unable to rectify the gaps mentioned in the detailed Gap assessment/Remediation Plan, selected Bidder should suggest the alternative approaches to help the Bank to comply with the ISO27001 requirements and RBI compliance at no extra cost to the Bank.

3.1.10 Adherence To Standards

The selected Bidder should use ISO27001 standards and RBI Working group report requirements as reference while providing the consultancy service with an objective to enable the Bank including its subsidiaries, overseas branches/territories to obtain ISO27001 certification and meet RBI requirements. Selected Bidder will perform Risk Assessment as per the Industry best practices like COBIT, ITIL, RBI Guidelines and also as per Bank‟s own Security policies.

The selected Bidder should adhere to all the applicable laws of land and rules, regulations and guidelines prescribed by various regulatory, statutory and Government authorities.

The Bank reserves the right to conduct an audit/ongoing audit of the consulting services provided by the selected Bidder.

The Bank reserves the right to ascertain information from the other Banks and institutions to which the Bidders have rendered their services for execution of similar projects.

3.1.11 Expenses

It may be noted that Bank will not pay any amount/expenses / charges / fees / traveling expenses / boarding expenses / lodging expenses / conveyance expenses / out of pocket expenses other than the “Agreed Price”.




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For any additional work not covered by the scope of work in this RFP, Bank will pay on the per man day cost basis.

3.1.12 Payment Terms

Bank will release the payment within 3 to 4 weeks of receiving the undisputed invoice, after deduction of applicable taxes at source of the agreed price to the selected Bidder. No advance payments will be made. Further, it may be noted that the below mentioned criteria is only for the purpose of effecting agreed price payment. The selected Bidder shall cover the entire scope including deliverables mentioned in Section II.

Payment will be based on phases as detailed in the scope and progress of the ISO27001 Certification including consultancy, RBI Compliance contract as per the commercial Bid format Annexure „J‟ line items.

For Phases up to the certification process:

1. For Line item at serial number 1 :

15 % on completion of Phase I.

35 % on completion of Phase II.

50 % on completion of Phase III and obtaining ISO27011 certification.


100 % of line item 2.a on completion of Phase III and obtaining ISO27011 certification.

For surveillance and recertification audits, 100 % payment of line items 2.b to 2.d at the end of success completion of the job in the respective year.


40 % on completion of -6- months.

60% on completion of respective year.

4. For Line items at serial number 4 & 5 :

100 % on completion of job

All payments will be made on successful completion of the job to the satisfaction of the Bank and achievement of the objective as defined in the scope of work.

3.1.13 Contract Performance Guarantee

The selected Bidder has to provide an unconditional and irrevocable performance guarantee for 10% of the contract value from a Public Sector Bank (other than Bank of Baroda) towards due performance of the contract in accordance with the specifications, terms and conditions of this RFP document, within 15 days from the date of work order. The




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Performance Guarantee shall be for 45 months(42 months plus -3- months additional claim period) kept valid for the entire period of assignment and to be released at the end of the period of assignment.

3.1.14 Security Deposit

The selected Bidder has to deposit with the Bank an amount equivalent to 05(Five) % of the contract value towards security deposit for the entire period of assignment, within 15 days from the date of work order. Interest on the Security Deposit will be paid as per the applicable fixed deposit rate.

3.1.15 Single Point Of Contact

The selected Bidder has to provide details of single point of contact viz. name, designation, address, e-mail address, telephone/mobile no., fax no. etc.

3.1.16 Applicable Law And Jurisdiction Of Court

The Contract with the selected Bidder shall be governed in accordance with the laws of India for the time being in force and will be subject to the exclusive jurisdiction of courts at Mumbai.

3.1.17 Liquidated Damages (LD)

If the selected Bidder fails to complete the due performance of the contract in accordance with the specifications and conditions agreed during the agreement, the Bank reserves the right to recover LD @ 0.5% of the Total Charges per week as per Annexure-J Commercial Bid Format or part thereof, subject to a maximum of 10 % of total charges as LD for non-performance/delayed performance.

LD is not applicable for delay due to reasons attributable to the Bank and Force Majeure. However, it is the responsibility of the SP to prove that the delay is attributed to the Bank or Force Majeure. The selected Bidder shall submit the proof authenticated by the SP and Bank‟s official that the delay is attributed to the Bank or Force Majeure along with the bills requesting payment.

If the delay is attributable to the Bank, or Force Majeure, or any other

circumstances beyond the control of the SP, then the Bank will continue with the contract without claiming any Liquidated Damage. Bank reserves the right to adjust the penalty and Liquidated Damages if any against the Security Deposit.




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3.1.18 Force Majeure

Any failure or delay by selected Bidder or Bank in the performance of its obligations, to the extent due to any failure or delay caused by fire, flood, earthquake or similar elements of nature, or acts of God, war, terrorism, riots, civil disorders, rebellions or revolutions, acts of governmental authorities or other events beyond the reasonable control of non-performing party, is not a default or a ground for termination. The affected party shall notify the other party of the occurrence of a Force Majeure Event forthwith.

3.1.19 Authorized Signatory

The selected Bidder shall indicate the authorized signatories who can discuss and correspond with the Bank, 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/Director, authorizing an official or officials of the company or a Power of Attorney to discuss, sign agreements/contracts with the Bank. The selected Bidder shall furnish proof of identification for above purposes as required by the Bank.

3.1.20 Indemnity

The selected Bidder shall indemnify Bank and keep the Bank indemnified for any loss or damage, cost or consequences that Bank may sustain, suffer or incur on account of violation of intellectual property rights of third party by the selected Bidder. The selected Bidder shall always remain liable to the Bank for any Losses suffered by the Bank due to any technical error or negligence or fault on the part of the selected Bidder, and the selected Bidder also shall indemnify the Bank for the same.

3.1.21 Non Payment Of agreed price

If any of the items/activities as mentioned in the price bid and as mentioned in Annexure-J are not taken up by the Bank during the course of this assignment, the Bank will not pay the contracted agreed price quoted/agreed by the selected Bidder in the price bid against such activity/item.

3.1.22 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 selected Bidder without advance written consent of the Bank and any such sale, lease, assignment or transfer otherwise made by the selected Bidder shall be void and of no effect.




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3.1.23 Non – Solicitation

The selected Bidder, during the term of the contract and for a period of two years thereafter shall not without the express written consent of the Bank, directly or indirectly: a) 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 the Bank in rendering services in relation to the contract; or b) induce any person who shall have been an employee or associate of the Bank at any time to terminate his/ her relationship with the Bank.

3.1.24 No Employer-Employee Relationship

The selected 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 the Bank or any of its employees/officers/ staff/representatives/ personnel/agents.

3.1.25 Vicarious Liability

The selected Bidder shall be the principal employer of the employees, agents, contractors, subcontractors etc., engaged by the selected Bidder and shall be vicariously liable for all the acts, deeds, matters or things, of such persons whether the same is within the scope of power or outside the scope of power, vested under the contract. No right of any employment in the Bank shall accrue or arise, by virtue of engagement of employees, agents, contractors, subcontractors etc., by the selected Bidder, for any assignment under the contract. All remuneration, claims, wages dues etc., of such employees, agents, contractors, subcontractors etc., of the selected Bidder shall be paid by the selected Bidder alone and the Bank shall not have any direct or indirect liability or obligation, to pay any charges, claims or wages of any of the selected Bidder‟s employees, agents, contractors, subcontractors etc. The selected Bidder shall agree to hold the Bank, its successors, assigns and administrators fully indemnified, and harmless against loss or liability, claims, actions or proceedings, if any, whatsoever nature that may arise or caused to the Bank through the action of selected Bidder‟s employees, agents, contractors, subcontractors etc.

3.1.26 Subcontracting

The selected Bidder shall not subcontract(except for ISO27001 Certification through certifying agency) or permit anyone other than its personnel to perform any of the work, service or other performance required of the vendor under the contract without the prior written consent of the Bank.




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3.1.27 Cancellation Of Contract And Compensation

The Bank reserves the right to cancel the contract of the selected Bidder and recover expenditure incurred by the Bank in any of the following circumstances. The Bank would provide 30 days notice to rectify any breach/ unsatisfactory progress if :

the selected Bidder commits a breach of any of the terms and conditions of the bid/contract;

the selected Bidder becomes insolvent or 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 penalty and liquidated damages exceeds more than 10% of the total contract price;

if the selected Bidder fails to complete the due performance of the contract in accordance with the agreed terms and conditions.

After the award of the contract, if the selected Bidder does not perform satisfactorily or delays execution of the contract, the Bank 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 the Bank may have to incur to select and carry out the execution of the balance of the contract. This clause is also applicable, if for any reason, the contract is cancelled.

The Bank 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 and/or invoking Bank Guarantee/Security Deposit, if any, under this contract.

3.1.28 Dispute Resolution

If a dispute, controversy or claim arises out of or relates to the contract, or breach, termination or invalidity thereof, and if such dispute, controversy or claim cannot be settled and resolved by the Parties through discussion and negotiation, then the Parties shall refer such dispute to arbitration. Both Parties may agree upon a single arbitrator or

each Party shall appoint one arbitrator and the two appointed arbitrators shall thereupon appoint a third arbitrator. The arbitration shall be conducted in English and a written order shall be prepared. The venue of the arbitration shall be Mumbai. The arbitration shall be held in accordance with the Arbitration and Conciliation Act, 1996. The decision of the arbitrator shall be final and binding upon the Parties, provided that each Party shall at all times be entitled to obtain equitable,




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injunctive or similar relief from any court having jurisdiction in order to protect its intellectual property and confidential information.

3.1.29 Ownership of Deliverables

All the deliverables as per scope of this RFP will become the property of Bank of Baroda.

3.1.30 Project Timelines

The selected Bidder shall furnish a schedule of assessment/implementation of the contract of ISO27001 Certification and RBI guidelines including consultancy encompassing its entire scope, discuss the same with the Bank officials and arrive finally at a mutually agreed assessment/implementation schedule within the overall ambit of six months time for first certification. The selected Bidder shall be bound by the Implementation schedule so agreed. For Gap remediation, Consultant should provide necessary support and hand-holding assistance including consultancy services as defined in the scope till the gaps are rectified for achieving the ISO27001 Certification and meeting the RBI guidelines.

Job Projected Timeline

Contract Execution 2 Weeks

Phase I-

Detailed Scoping and Gap assessment plan

4 Weeks

Phase II

Remediation plan

16 Weeks

Phase III

Certification

4 Weeks

Phase IV

Ongoing compliance & Recertification

Periodic Risk Assessment

As per ISO27001 requirement

4 weeks

The above timelines are tentative and may be extended at the discretion of the Bank at no extra cost to the Bank.




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SECTION – IV

ANNEXURE-A : ELIGIBILITY CRITERIA

Consultants who wish to bid should conform to the following criteria.

S.No. Eligibility Criteria Documents required Page

Ref. no

1 Should be either a Government

Organization/PSU/PSE/ partnership firm or

a limited Company

under Indian Laws

or /and an autonomous

Institution approved by GOI/RBI promoted

Partnership firm-Certified copy of Partnership Deed.

Limited Company-Certified copy of Certificate of Incorporation and Certificate of

Commencement of Business.

Reference of Act/Notification

For other eligible entities- Applicable documents.

2 Should have been in existence in India for three years as on 31-05-2011.

Partnership firm-Certified copy of Partnership Deed.

Limited Company-Certified copy of Certificate of Incorporation and Certificate of Commencement of Business.

For other eligible entities- Applicable documents.

3 Should have a minimum average annual turnover of Rs.35.00 crores (Rupees Thirty Five Crores) during last three financial years viz. 2008-09, 2009-10 and 2010-11.

Copy of audited Balance Sheet and P&L statement for the financial years 2008-09, 2009-10 and 2010-11.

4 Should have made net profits for the last 3 financial years viz. 2008-09, 2009-10 and 2010-11.

Copy of audited Balance Sheet and P&L statement for the financial years 2008-09, 2009-10

and 2010-11.

5 Bidder should have at least -3- years experience in offering Information Security Services such as Security assessment, defining security policies procedures & baselines, Risk

Copy of purchase order.




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Assessment, security consulting assignments to public sector Banks in India.

6 The Bidder must have experience of providing ISO27001 consultancy to at least -2 BFSI institutions in India leading to successful ISO27001 certification/recertification of the institution out of which at least -1- should be a Bank in India with minimum -500- branches.

Copy of purchase order and copy of Certification

7 The Bidder must have at least 6

consultants with qualifications such as ISO27001 Lead Auditors and/or ISO27001 Lead Implementers as employees.

As per Annexure G

8 The Bidder must have at least – 15 CISA/CISSP/CEH Certified professionals as employees.

As per Annexure G

9 The firm should not be blacklisted / barred by Government of India or any regulatory body in India.

Self Declaration

10 The Bidder or its parent company or its subsidiary should not be existing System integrator maintaining IT infrastructure at Data Centre-Mumbai and Disaster Recovery site- Hyderabad of the Bank.

Self Declaration

Subcontracting of any work related to the scope of RFP is not allowed except for the ISO27001 Certification services which has to be carried out by the authorized certification agency only.

Those who fulfill all the eligibility criteria as mentioned above are only eligible to take part in this bid exercise.

Annexure-D (Technical Bid format) to be submitted by Bidders should contain detailed responses to each of the above eligibility criteria along with documentary proofs as specified above.

The fulfillment of above eligibility criteria except items 3 & 4 above, would be ascertained as of 31-05-2011.




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Bidder/Bidders who have been appointed by the Bank for any other project and whose contract has been terminated before completion of the project are not eligible to bid in the proposed project.

Proposals of those Bidders, who do not fulfill the Eligibility Criteria as stated above fully, will be rejected.




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ANNEXURE-B : CONSULTANT’S SELECTION/EVALUATION PROCESS

Evaluation of Technical Bid

First, Technical bid documents will be evaluated for fulfillment of eligibility criteria. Technical bids of only those Bidders who fulfill the eligibility criteria fully as per Annexure-A will be taken up for further evaluation/selection process rejecting the remaining bids.

The evaluation/selection process will be done with combination of, technical competence and commercial aspects as detailed here below. A maximum of 100 marks will be allocated for the technical bid. The evaluation of functional and technical capabilities of the Bidders of this RFP will be completed first as per the following guidelines. The technical proposals only will be subjected for evaluation at this stage. The Bidders scoring less than 70 marks (cut-off score) out of 100 marks in the technical evaluation shall

not be considered for further selection process. Once the evaluation of technical proposals is completed, the Bidders who score equal to, or more than the prescribed cut-off score of 70 will only be short listed.

The evaluation of technical proposals, among other things, will be based on the following:

Prior experience of the Bidder in undertaking projects of similar nature.

Professional qualifications and experience of the key staff proposed/ identified for this assignment.

Methodology/Approach proposed for accomplishing the proposed project, Activities / tasks, project planning, resource planning, effort estimate etc.

Various stages of technical evaluation are presented below:

1. Eligibility evaluation as per the criteria prescribed in Annexure-A.

2. Evaluation of technical proposals of Bidders qualified in eligibility evaluation, based on response and presentation

3. Arriving at the final score on technical proposal.

Presentation-cum-Interview

The Bidders who are qualified in eligibility evaluation, have to give presentation/interactions before panel of representatives of Bank on the methodology/ approach, time frame for various activities, strengths of the Bidders in carrying out the tasks as per the scope of the RFP detailed under section II of the RFP. The technical competence and capability of the Bidder should be clearly reflected in the presentation. If any short listed Bidder fails

to make such presentation, he will be eliminated from the evaluation process.

At the sole discretion and determination of the Bank, the Bank may add any other relevant criteria for evaluating the proposals received in response to this RFP.

Bank may, at its sole discretion, decide to seek more information from the Respondents in order to normalize the bids. However, Respondents will be




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notified separately, if such normalization exercise as part of the technical evaluation is resorted to.

Technical Evaluation Criteria:

The criteria for evaluation of technical bids is as under. Credentials and other evaluation criteria mentioned below will be computed as of 31-05-2011.

Criteria Evaluation Parameters Max

Marks

Documents to

be submitted

Credentials (please refer NOTE 1 to 2)

The number of years experience of providing ISO27001 consultancy in India in last 5 years.

For each year of experience 2 Copies of Work order. Maximum marks 10

The number of ISO27001 consultancy assignments carried out in India.

For each consultancy assignment

4 Copies of Work order.

Maximum marks 16

The number of ISO27001 consultancy carried out in BFSI in India.

For each consultancy to BFSI Institution

3 Copies of Work order.

Additional marks for a Bank in India

3

Maximum marks 9

The number of ISO27001 consultancy projects carried out in India leading to ISO27001 certification/ recertification of the client.

For each consultancy assignment

4 Copies of Work order and ISO27001 Certificate.

Maximum marks 16

The number of ISO27001 consultancy projects carried out in BFSI in India leading to ISO27001 Certification/recertification of the client.

For each consultancy to BFSI Institution

3 Copies of Work order and ISO27001 Certificate.

Additional marks for a Bank in India

3

Maximum marks 9

Sub-total (Credentials) 60

Manpower (please refer NOTE3)

The number of ISO27001 Lead Auditors or Lead Implementers employed by the Bidder

For 6 certified employees 4 1. Copy of relevant Certificate; 2. Proof of employment with the Bidder.

For 7-9 certified employees 7

For 10-15 certified employees 10

For more than 15 certified employees

15

The number of CISA/CISSP/CEH Certified personnel employed by the Bidder

For 15 to 20 employees 5

For more than 20 employees 10

Sub total (Manpower) 25

Methodology & Approach

Demonstration of in-depth understanding of the Bank’s project requirements through the technical proposal and presentation, with detailed broken-down activities to be performed, effort estimation, manpower to be deployed.

15 Subjective evaluation based on technical proposal and presentation

TOTAL MARKS 100




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NOTE 1: Experience of last -5- years only will be counted in the Technical Evaluation of the Bids. NOTE 2: Consultancy assignment for ISO27001 certification should be by way of specific assistance for compliance with ISO27001 standards such as Gap Analysis, Remediation assistance, Risk Assessment, Precertification audit, assistance during certification in the form of handholding. NOTE 3: For manpower consideration, the Employee should be on the payroll of the Bidding company. For this proof in the form of employment letter duly accepted by the employee or suitable declaration jointly signed by the Employer and Employee stating date of joining on the Bidding company’s letterhead should be submitted.

Annexure-D (Technical Bid format) to be submitted by Bidders should contain detailed responses to each of the above evaluation criteria along with documentary proofs as specified there against.

Commercial Bid Evaluation Criteria

It may be noted that commercial bids will be subjected to following evaluation process.

Based on the technical evaluation criteria, each Bidder will be given certain marks. Only those Bidders scoring 70% (70 marks out of 100) or above in the technical evaluation will be short-listed for commercial evaluation.

Nominal quote provided by the Bidder whose Technical Bid qualifies will be discounted as per the formula given below. A comprehensive “Score (S)” will be arrived at after considering the nominal commercial quote and the marks obtained in technical evaluation with relative weights of 40% for commercial score and 60% for technical score. The Bidder with the highest score will be declared successful:

Computation Methodology for arriving at “Least Price / Least Quote” :

Cut - Off score for technical bid will be 70 marks.

In case there is only one bidder having technical score of 70 or more, Bank may, at its discretion, also consider the next highest technical scorer with minimum score of 50. In case, no Bidder is having technical score of 70 or more, Bank may, at its discretion, qualify 2 top scoring Bidders with minimum score of 50 in technical evaluation and compute the “Score” as per the table below.

Bank will give 60% weightage to technical score while comparing the commercial quote. The procedure is as under:

A ‟Score (S)‟ will be calculated for all qualified Bidders using the following formula:




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Where C stands for nominal price quoted, CLow stands for the price quote of the lowest nominal bid. T stands for technical evaluation score and Thigh stands for the score of the technically highest Bidder. X is equal to 0.4. While computing the comprehensive score (S) as per above formula, the values of (CLow / C * X) and (T / THigh) * (1-X)) will be considered only upto 3 decimals and the other decimals will be ignored.

Example:

S.No. Bidder Technical Evaluation Marks

(T)

Nominal Bid Price (C)

(CLow / C) * 0.40

(T / THigh) * 0.60 Score (S)

1 ABC 95 71 (60/71)

* 0.40= 0.338

(95/95) * 0.60 =

0.600

0.938

2 XYZ 85 65 (60/65) * 0.40=

0.369

(85/95) * 0.60 = 0.537

0.906

3 UVW 80 60 (60/60) * 0.40= 0.400

(80/95) * 0.60 = 0.505

0.905

In the above example, ABC, with the highest score of 0.938 becomes the successful Bidder.

Bank reserves the right to negotiate the price with the successful Bidder before awarding the contract. It may be noted that Bank will not entertain any price negotiations with any other Bidder, till the successful Bidder declines to accept the offer.

In the case of tie between two or more Bidders a fresh commercial bid will be called upon from these Bidders for evaluation and selection of the Consultant.




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ANNEXURE-C : COMPLIANCE CERTIFICATE

(on company‟s letterhead) To, Date : The Chief Manager(CISO) Risk Management Dept. Bank of Baroda 2rd Floor, Baroda Corporate Centre C-26, G Block, Bandra Kurla Complex, Bandra (East) Mumbai 400 051 Dear Sir, Ref: - RFP for selection of Consultant for Risk Assessment and ISO27001 Consultancy & Certification. 1. Having examined the Request for Proposal (RPF) including all annexures, the

receipt of which is hereby duly acknowledged, we, the undersigned offer to provide the desired Risk assessment, ISO 27001 Consultancy and certification services for the Bank‟s Information System Assets at select business units of the Bank in conformity with the terms and conditions of the said RFP and in accordance with our proposal and the schedule of Prices indicated in the Price Bid and made part of this bid.

2. If our Bid is accepted, we undertake to complete the project within the scheduled time lines.

3. We confirm that this offer is valid for six months from the last date for submission of RFP to the Bank.

4. This Bid, together with your written acceptance thereof and your notification of award, shall constitute a binding Contract between us.

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 agree that the Bank is not bound to accept the lowest or any Bid that the Bank may receive.

7. We have not been barred/black-listed by any regulatory / statutory authority in India and we have required approval, if any, to be appointed as a service provider.

8. We shall observe confidentiality of all the information passed on to us in course of the tendering process and shall not use the information for any other purpose than the current tender.

9. We confirm that we have obtained all necessary statutory and obligatory permission to carry out the assignment, if any.

Signed Dated Seal & Signature of the Bidder Phone No.: Fax: E-mail:




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ANNEXURE-D : TECHNICAL BID FORMAT

Particulars to be provided by the Bidder in the technical proposal –

No

Particulars

Bidder to furnish details

Reference Page no

of relevant

document in RFP

response

1 Name of the Bidder

2 Date of establishment and constitution. Certified copy of “Partnership Deed” or “Certificate of Incorporation/commencement of business” should be submitted. For entities other than partnership firm and limited company, other relevant documents to be submitted.

3 Location of Registered Office /Corporate Office/ Mumbai office with addresses.

4 Mailing address of the Bidder

5 Names and designations of the persons authorized to make commitments to the Bank

6 Telephone and fax numbers of contact persons

7 E-mail addresses of contact persons

8

Details of:

Description of business and business background

Service Profile & client profile

Domestic & International presence.

11 Gross annual turnover of the Bidder (not of the group)

Year 2008-09 Audited

Year 2009-10 Audited.


(Copy of audited financial statements for above years to be submitted)




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No

Particulars


Reference Page no

of relevant

document in RFP

response

12

Net profit of the Bidder (not of the group)

Year 2008-09 Audited



(Copy of audited financial statements for above years to be submitted)

13

Experience of assignments executed successfully as Consultant for providing Consultancy or carrying out Information Security Risk Assessment and ISO27001 Certification Consultancy services to the organizations in India in the last -5- years as per the following details :

(For item nos. 13a to 13f, Name of the organization, time taken for execution of the assignment and documentary proofs in the form of copy of work order and Copy of certification are to be furnished)

13a ISO27001 Consultancy assignments in Banks

13b ISO27001 Consultancy assignments in BFSI Sector other than Banks.

13c ISO27001 Consultancy assignments in organizations other than BFSI institutions.

13d ISO27001 Consultancy assignments in Banks leading to ISO27001 Certification.

13e ISO27001 Consultancy assignments in BFSI Sector other than Banks leading to ISO27001 Certification.

13f ISO27001 Consultancy assignments in organizations other than BFSI institutions leading to ISO27001 Certification.

14 Details of the similar assignments on hand as on date (Name of the Bank, time projected for execution of the assignment and documentary proofs such as




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No

Particulars


Reference Page no

of relevant

document in RFP

response

work order are to be furnished)

15 Name of the Engagement Manager & Overall person responsible(team leader) identified for this assignment and his professional qualifications and experience/expertise

Details of similar assignments handled by the said team leader. Documentary proofs for all the assertions are to be enclosed.

As per Annexure H

16

Names of the other team members identified for this assignment and their professional qualifications and experience/expertise. (Should possess qualifications as mentioned in the RFP)

Documentary proofs for all the assertions in the form of Certificates, CVs, employment letter to be enclosed.

As per Annexure H

17

Names of the staff members and their ISO27001 Lead Auditor, ISO27001 Lead Implementer, CISA/CISSP/CEH certification.

(Copy of relevant certification and proof of employment should be enclosed)

As per Annexure G

18 Estimated work plan and time schedules for providing services for this assignment.

19 Effort estimate and elapsed time are to be furnished. As per Annexure-F

20 Details of inputs, infrastructure requirements required by the Bidder to execute this assignment.

21

Details of the Bidder‟s proposed methodology/approach with reference to the scope of work.

22

Details of deliverables, other than the deliverables with reference to the scope of work.




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The Bidder should provide detailed responses for each of the above items

along with documentary proofs as prescribed there against and also as specified in Annexure-A (eligibility criteria) & Annexure B ( Bidder’s Selection/Evaluation Process).

Declaration:

1. We confirm that we will abide by all the terms and conditions contained in the RFP.

2. We hereby unconditionally accept that Bank can at its absolute discretion apply whatever criteria it deems appropriate, not just limiting to those criteria set out in the RFP, in short listing of Bidders.

3. All the details mentioned by us are true and correct and if Bank observes any misrepresentation of facts on any matter at any stage, Bank has the absolute right to reject the proposal and disqualify us from the selection process.

4. We confirm that this response, for the purpose of short-listing, is valid for a period of six months, from the date of expiry of the last date for submission of response to RFP.

5. We confirm that we have noted the contents of the RFP and have ensured that there is no deviation in filing our response to the RFP and that the Bank will have the right to disqualify us in case of any such deviations.

Place:

Date: Seal & Signature of the Bidder




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ANNEXURE-E : EXPERIENCE DETAILS

DETAILS OF IT RISK ASSESSMEMT AND ISO27001 CONSULTANCY & CERTIFICATION EXPERIENCE IN INDIA

Sl. No.

Name of

the Client

Client segment Bank or BFSI or Others

Date of PO

Date of completion

of assignment

Date of Certification (if applica

ble)

Name of Lead consult

ant

Contact

person details of the client

Page Ref. No.

Please submit copy of Purchase order and Copy of ISO27001 Certification (if applicable). Place: Date: Seal and Signature of Bidder:




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ANNEXURE-F : ESTIMATED EFFORT AND ELAPLSED TIME

Sl No

Activities as per Scope of

Work

Elapsed

Time

Effort in Man days

Number of team

members to be

deployed

Remarks

1.

Detailed scoping

2. Gap Assessment

3. Breakup of Risk Assessment

for the different business units

DC, DR, Core Location, Nap centre, City Back office, Regional Processing centre, Medium sized branch, Newyork branch, Singapore branch.

4. Gap Remediation

5. ISO27001 Certification

6. Post certification periodic risk assessment for 3 years with breakup of different business units as in point no. 3 above

7. Post Certification Consultancy for ongoing compliance for next -3- years

8. Surveillance audit for next

-2- years

9. Recertification audit- for after -3- years

TOTAL MAN DAYS

Place: Date: Seal and Signature of Bidder:




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ANNEXURE-G : LIST OF CERTIFIED EMPLOYEES

Sl. No.

Name of Employee

Date of Joining

Certifications/Accreditations Page Ref.

Date of ISO 27001 LA

Date of ISO 27001 Lead Implementer

CISA/ CISSP/ CEH

Date of CISA/ CISSP/ CEH Certification

Documentary proofs are to be enclosed to substantiate the claims made. Place: Date: Seal and signature of the Bidder




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ANNEXURE-H : PROPOSED TEAM PROFILE

Sl No

Name of Proposed Engagement Manager /Proposed Team Member

Prof. Qualifications

Certifications/ Accreditations

Experience in ISO27001 consultancy, pre certification audit and IS Risk Assessment, Regulatory compliance

IT Security Expertise In terms of years and areas of expertise

Number of similar assignments involved In Banks/other institutions

Documentary proofs are to be enclosed to substantiate the claims made. Place:

Date: Seal and signature of the Bidder




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ANNEXURE-I : COMMENTS ON TERMS & CONDITIONS & SERVICES/PRE BID QUERY FORMAT

Please submit your pre bid queries in the format as mentioned below.

Please provide your comments on the Terms & conditions in this section. You are requested to categorize your comments under appropriate headings such as those pertaining to the Scope of work, Terms & Conditions etc. You are also requested to provide a reference of the page number, state the clarification point and the comment/ suggestion/ deviation that you propose as shown below.

Sr. No.

Page #

Point / Section #

Clarification point as stated in the tender document

Comment/ Suggestion/ Deviation/ Query

Place: Date: Seal and signature of the Bidder




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ANNEXURE-J : COMMERCIAL BID FORMAT

Commercial Bid Format (in Rupees)

Sr.

No.

Major Activities

Cost of

assignment

1

ISO27001 Consultancy Services including Risk Assessment, pre certification audit and

consultancy during certification exercise, RBI Compliance as defined in the scope of work in this

RFP for DC & DR.

Certi-

fication

(2.a)

Surve-

illance

(Year 1)

(2.b)

Surve-

illance

(Year 2)

(2.c)

Recerti-

fication

(Year 3)

(2.d)

Total

2 ISO27001 Certification/Surveillance/

Recertification Services for DC &DR

Year 1 Year 2 Year 3 Total

3 Post certification ISO27001 consultancy for maintaining

ongoing compliance, ongoing risk assessment of new

initiatives/applications, periodic risk assessment on -6-

monthly basis, handholding during surveillance audit and

recertification audit as defined in the scope of work for DC

& DR.

4 Information Technology Risk Assessment for other Business units Cost of

assignment

4a One Core Network Location (onsite and offsite assessment)

4b One NAP Location (onsite and offsite assessment)

4c One City back office (onsite and offsite assessment)

4d One Regional Processing Centre (onsite and offsite assessment)

4e One medium sized branch with onsite ATM (onsite and offsite assessment)

4f New York Branch (offsite assessment only)

4g Singapore Branch (offsite assessment only)

5 Additional cost of 60 Man days support

Total Cost

Grand Total

Amount in Words : ____________________________________________________. The prices quoted above should be inclusive of all taxes, levies, cess, and duties etc. except service tax. The service tax is payable on actual basis.

For line item no. 5 the following will apply : 1. The above cost of 60 man days is for Bid evaluation purpose only. In

case of need of extra work, which is out of the scope of work of current

RFP, Bank will pay only for the actual number of days of support taken. 2. In case of any travel out of Mumbai and Hyderabad for such extra work,

Bank will pay only hotel accommodation charges and return ticket fare

as per the Bank‟s policy as applicable to the Senior Manager grade officials of the Bank.

3. The cost should be all inclusive including usage of tools etc. Place: Date : Seal & Signature of the Bidder




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Bank Of Baroda, IT Security Cell, Risk Management Department 2nd Floor, Bank Corporate Centre, C-26, G-Block, Bandra Kurla Complex, Bandra (East), MUMBAI – 400051.

End of Document