Reserve Bank of India

Audit Tools, Methodology and

Approach

June 2011
This document contains 12 pages
 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

Contents
1 Audit tool and capabilities 1

2 Data Migration Audit Methodology 2

3 Project Management Methodology 3

4 Project Plan 4

5 Proposed Timelines/ Schedule 5

6 Sample Deliverable Format 8

7 Proposed Team Structure 9

8 Team Profile and CVs 1

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

1 Audit tool and capabilities

This Section should include the capabilities of the audit tool proposed by the bidder to carry out
CBS Data Migration Audit at RBI.

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

2 Data Migration Audit Methodology

This Section should include the bidder’s CBS Data Migration Audit methodology.

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

3 Project Management Methodology

This Section should include the project management methodology employed by the bidder for
the CBS Data Migration Audit project. The bidder should mention details about the below
points:
• Details of Methodology/approach
• Frequency and approach for periodic reporting on the progress of the project and actual
status vis-à-vis scheduled status
• Project management activities
• Roles and responsibilities of proposed personnel both from the vendor and bank end
• Any other details of project management methodology that you want the bank to know

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

4 Project Plan
This section should incorporate the detailed project plan proposed by the bidder for carrying out
CBS Data Migration Audit at RBI.

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

5 Proposed Timelines/ Schedule

This section should provide a detailed schedule/proposed timelines for carrying out the CBS
Data Migration Audit at RBI.

Project Schedule

Seria Month-wise Work plan (in form of Gantt Chart)

Phase
l No
1 2 3 4 5 6 7 8 9 … … N
Project
specifications
gathering and
studying the
detailed
1 requirements:
Mileston
e1
Task
1.01
Task
1.02
Mileston
e2
Task
2.01
Task
2.02
Task
2.03
Customization
and
configuration
of the Audit
tool as per
Bank’s
2 requirements
Mileston
e1
Task
1.01
Mileston
e2
Task
2.01

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

Project Schedule

Seria Month-wise Work plan (in form of Gantt Chart)

Phase
l No
1 2 3 4 5 6 7 8 9 … … N
Task
2.02
Data
migration
audit of
3 Mumbai RO
Mileston
e1
Task
1.01
Mileston
e2
Task
2.01
Data
migration
4 audit of PDO
Mileston
e1
Task
1.01
Mileston
e2
Task
2.01
Data
migration
Audit of rest
5 of the ROs
Mileston
e1
Task
1.01
Mileston
e2
Task
2.01
Any other,
6 please specify

Notes:

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

Project Schedule

Seria Month-wise Work plan (in form of Gantt Chart)

Phase
l No
1 2 3 4 5 6 7 8 9 … … N
The task listing shown above is
illustrative. The bidders may add tasks/
1 sub-tasks to the above as appropriate.
The bidders are also required to state
critical milestones under each phase in the
2 work plan.
In all above areas, it is essential for the
vendor to propose a team of professionals
who will carry out the job and also
necessary to identify the requirements
from the bank’s side and expected
resources availability. A clear and concise
roles and responsibility matrix would be
of extreme use to convey the requirements
3 at each stage.

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

6 Sample Deliverable Format

The bidder should provide proposed deliverable format for the ‘Migration Audit Report’, ‘Final
Compliance Report’ and ‘Weekly Status Report’.
The bidder should provide explanation on these deliverable formats including details of how the
same were utilized in a similar project.
However, the final format of the deliverables shall be finalised with the successful bidder upon
mutual discussion and agreement.

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

7 Proposed Team Structure

This section should include structure of the team proposed by the bidder for carrying out the
CBS Data Migration Audit at RBI.

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 Reserve Bank of India
Audit Tools, Methodology and Approach
June 2011

8 Team Profile and CVs

This section should provide details about the profile of team members proposed for carrying out the CBS Data Migration Audit at RBI in the
below format :
Team Profile (includes all team members who will be involved in the data migration audit project)
Sr Employee Role in Task A Total CBS Data Years Professio Certific Details of CBS Data
. Name and Project Assigned g years Migration with the nal & ations / Migration Audit
N Designation e of Audit Bidder Educatio Accredi assignments - Key clients,
o. experi experience nal tations nature of project and role
ence (Mention if Qualific in the project
he/she has ations
audited CBS
Data
Migration in
Banks earlier)
in terms of
years and
areas of
expertise
1 Bank X – Project Manager
(Data Migration Audit)

Bank Y – Project Director

(Data Migration Audit)

2
3
4
In addition to the above, documentary proofs along with individual CVs are to be enclosed to substantiate the claims made.

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