4. General information about the company and proposed Inspection Support System (ISS)

Transcription

1 Template for the reply to the request for information 4. General information about the company and proposed Inspection Support System (ISS) Name of the Company: 30 October 2014 r.

2 Table of contents 1. Basic information Ownership of the document Company characteristics Name and address Contact person Number of employees Products Main advantages of the solution Logical architecture of the solution & integration Previous implementations Implementation and post-implementation support Implementation process Implementation schedule Training and certification Warranty Technical assistance 6 4. Licensing License terms Distribution models 8 5. Additional information on the solution Information on the approach to fulfill selected requirements 9 2 / 9

3 1. Basic information 1.1. Ownership of the document This document is the property of Polish Financial Supervision Authority (PFSA). Copying or distributing this document in whole or in part in any form is prohibited without prior knowledge of PFSA. PFSA has the right to demand the return of all copies of this document at any time. 3 / 9

4 2. Company characteristics In the following section, please provide a description of your company and its experience in implementing solutions similar to that described in the request for information Name and address Please enter your company s name and address Contact person Please provide the name, position, phone number and address of the person who can be contacted in order to provide detailed answers and clarify any doubts regarding your reply to the request for information Number of employees Please enter the number of full time employees Products Please list and briefly describe the IT systems provided by you and their modules supporting audit management. If the products are recognized by independent research companies (e.g. Gartner, Forrester) please provide titles of the relevant reports and awarded positions (e.g. Leader, Challenger, Niche player etc.) Main advantages of the solution Please provide a brief description of the main advantages of the proposed solution and its key competitive differentiators Logical architecture of the solution & integration Please describe the logical architecture of the proposed solution by pasting a diagram of the logical architecture with a description of each module from the perspective of its functionalities and proposed integration method with external modules / systems. If particular modules of the proposed solution are developed by different companies, please name the companies. If any of the modules could be omitted or implemented separately (e.g. reporting), please provide separate pricing for them Previous implementations Please list in the table on the next page reference implementations of solutions offered by your company, supporting audit management. Please focus on the implementations in the financial sector, with estimated budget exceeding EUR. Please bold the reference implementations which covered all of the following groups of functionalities: audit planning & scheduling tasks for auditors, audit workflow management, audit monitoring, recommendations monitoring, reporting at tactical and strategic level. Please add additional rows if needed. 4 / 9

5 Previous implementations Client s name, sector and brief characteristics Country Products and modules implemented Brief description of client s processes supported by the implemented products & total no. of users Year Implementat ion budget (PLN net) Impleme ntation duration (months) Integrator (if different than the Tenderer) Additional information 5 / 9

6 3. Implementation and post-implementation support In the following section, please provide information on a suggested implementation process and post-implementation support Implementation process Please describe the suggested implementation process, including planned phases and a description of the main benefits expected at the end of each stage. If the system consists of several modules, please describe which modules are planned to be implemented Implementation schedule Please present an estimated schedule of the implementation including the phases outlined in section 3.1. with an accuracy no coarser than a month. Please place a Gantt diagram for the suggested implementation schedule. Please note that the suggested implementation schedule detailing the required engagement of UKNF and your company, should also be included in Appendix Training and certification Please describe the range of available trainings (with an indication of the training language Polish or English). Please specify if the trainings are part of the proposed implementation described in section Warranty Please describe the length of the warranty period, the responsibilities within the warranty and post-warranty period, author responsibility period and the warranty conditions Technical assistance Please describe the availability and the forms of technical assistance (by telephone, e- mail, web portal, remote or direct assistance). Please indicate the available languages of the technical assistance (Polish or English) and the physical location of the technical assistance center. 6 / 9

7 4. Licensing In the following section, please provide information on the licensing model of the solution License terms License policy Please specify the way in which the solution is licensed and the price of the license (in Polish currency, i.e. PLN - if the price of a license is denominated in a currency other than PLN, please enter in comments the exchange rate with which they were converted). If the price of a license may depend on the extent of implementation of selected modules of the system, please include that information. License price (net) License per system module License per named user License per number of workstations License per number of cores of processors Other please specify in the comments box below PLN PLN PLN PLN PLN Comments Possibility of license differentiation Please elaborate on the possibilities of differentiating licenses for named users from the perspective of accessing a different scope of functionalities. It is assumed that a large number of users (40%) will use only functionalities related to accessing documents and monitoring recommendations fulfillment (read-only). Please provide information on the possibilities of optimizing the global license cost according to this assumption License terms Describe the license policy, the license terms and the conditions of a license extension. Please specify the restrictions on exploiting the results made using the system tools, if such restrictions are imposed License terms for third-party solutions If using the solution requires acquiring licenses for third-party software, please describe what licenses are needed. 7 / 9

8 4.2. Distribution models Please indicate the available distribution models of the proposed solution. On premise preferred by UKNF please describe: Software as a Service (SaaS) please describe: Other please describe: 8 / 9

9 5. Additional information on the solution In the following section, please provide additional information on your solution Information on the approach to fulfill selected requirements Handling with data volumetry Please confirm that the handling of the data volumetry specified in the requirements list without affecting users comfort is possible. Please elaborate on the capacity of your system and possible scalability (including approach to scale the system) on the basis of its previous implementations Creating & managing documents templates Please specify the way in which it is possible for users to create and manage templates of documents which are filled in automatically and manually during the realization of audit processes Creating & managing audit checklists Please specify the way in which it is possible for users to create and manage checklists which are used during the realization of audit processes Electronic signature Please elaborate on how your system can support electronic signatures and the processing of electronically signed documents Data retention Please elaborate on how your system can support data retention. Please provide information on the functionalities allowing for definition and implementation of policies related to data management taking into account retention time, archival rules, data formats, tiers of storage etc. 9 / 9