tor for investment and portfolio management system

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CALL FOR PROPOSALS

FOR THE

DEVELOPMENT OF A TIA INVESTMENT AND PORTFOLIO MANAG EMENT (FUNDING)

SYSTEM

RFP NUMBER: TIA001/IT-KM/2013

Issue Date: 20 January 2013

Non-compulsory Briefing Session: 29 January 2013

Venue TIA House

83 Lois Avenue

Menlyn

Pretoria

Response Deadline: 19 February 2013

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1. Introduction and Background

The Technology Innovation Agency (TIA) is a schedule 3A public entity of the Department of

Science and Technology, in terms of the Public Finance Management Act, 1999 and

established in terms of the Technology Innovation Agency Act, 2008. The Agency is set up

as a public entity with the aim to enhance the country’s capacity to translate a greater

proportion of local research and development into commercial technology products and

services.

The ultimate goal of the TIA is to use South Africa’s science and technology base to develop

new industries, create sustainable jobs and help diversify the economy away from

commodity exports towards knowledge based industries equipped to address modern global

challenges.

TIA is inviting service providers to bid for the Development of a TIA Investment and Portfolio

Management system.

2. Scope

TIA has recently completed the documentation of core business process in relation to their

portfolio and investment management activities. The investment and portfolio management

reference model has been extrapolated from these processes. The objective of the reference

model was to provide an end- to-end view of the investment lifecycle that will support the

design and development of an Investment and Portfolio Management System.

The document has thus been structured in line with the reference model below, with

requirements being documented by process activity accordingly. The investment and

portfolio management reference model contains the following modules:

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3. Mandatory Technical Specifications (Terms of Ref erence)

The requirements specified in this document will cover aspects relating to a number of

criteria, including:

• Section A – Common section for all (Software Vendor and Implementation

Partner)

- Vendor Background

- Site Reference (Global investment and portfolio experience, local similar size

experience)

• Section B1 – Software Vendor Response

- Product Related Questions (product details, support strategy, etc.)

- Functional Requirements

- Technical Requirements (architecture, technical specifications)

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• Section B2 – Software Vendor Cost Response

- Software Costs (acquisition, license, support maintenance cost, etc.)

• Section C1 – Implementation Vendor Response

- Change Management and Training

- Implementation Timeline (Phases to be determined according to solution

proposed and priority modules identified by TIA)

• Section C2 – Implementation Vendor Cost Response

- Implementation Costs (Configuration, development, change, training, data

migration, roll-out, etc.)

• Section D – Financing Options (Software Vendor and Implementation Partner)

- Financing and payment options available if any and examples of such

agreements with existing clients

IF VENDORS HAVE ANY ADDITIONAL FUNCTIONALITY WITHIN ONE OR MORE

SECTIONS, PLEASE SPECIFY AND DETAIL SUCCINCTLY.

4. Request for Proposals

The Agency would like to invite service providers to submit their proposals that will deliver

the above solution.

5. Proprietary Information

TIA considers this Request for Proposal (RFP) and all related information, either written or

verbal, which is provided to the Bidder, to be proprietary to TIA. It shall be kept confidential

by the Bidder and its officers, employees, agents and representatives.

The Bidder shall not disclose, publish, or advertise this specification or related information in

part or as a whole to any third party without the prior written consent of TIA. This applies

regardless of whether the recipient of this RFP responds with a proposal or not.

6. Enquiries & Responses

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All communication and attempts to solicit information of any kind relative to this RFP should

be channelled to the Contact Person named in the RFP.

All Enquiries regarding this proposal shall be submitted in writing to

[email protected] with the RFP number as the subject.

7. Medium of Communication

All documentation submitted in response to this RFP must be in English.

8. Verification of Documents

Respondents should check the numbers of the pages to satisfy themselves that none are

missing or duplicated. No liability will be accepted by TIA in regard to anything arising from

the fact that pages are missing or duplicated.

9. Submission of RFPs

The proposal should be submitted at: 83 Lois Avenue

Cnr Lois Avenue and Atterbury Road

Menlyn, Pretoria

Tel: (012) 472 2700

It is the responsibility of the prospective supplier to ensure that the proposal is deposited at

the above address no later than 19 February 2013.

Five copies of each proposal must be submitted, including the original. In the event of a

contradiction between the submitted copies, the original shall take precedence. Telegraphic,

telefax and e-mail proposals will not be accepted.

If a courier service company is being used for delivery of the proposal document, the RFP

description must be endorsed on the delivery note/courier packaging to ensure that

documents are delivered to the correct recipient, as mentioned above.

10. General Terms and Conditions

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The Respondent is responsible for all costs incurred in the preparation and submission of

the proposal.

A copy/s of any affiliations, memberships and/or accreditations that support your submission

must be included in the proposal.

Kindly note that TIA is entitled to:

10.1 Amend any RFP conditions, validity period, specifications, or extend the closing

date and/or time of RFPs before the closing date. All Respondents, to whom the

RFP documents have been issued, will be advised in writing of such amendments in

good time;

10.2 Verify any information contained in a proposal;

10.3 Not to appoint any bidder;

10.4 Vary, alter, and/or amend the terms of this RFP, at any time prior to the finalisation

of its adjudication hereof;

10.5 An omission to disclose material information, a factual inaccuracy, and/or a

misrepresentation of fact may result in the disqualification of a proposal, or

cancellation of any subsequent contract.

10.6 TIA reserves the right not to accept the lowest proposal or any proposal in part or in

whole. TIA normally awards the contract to the Bidder who proves to be fully

capable of handling the contract and whose Proposal is technically acceptable

and/or financially advantageous to TIA. Appointment as a successful contractor

shall be subject to the parties agreeing to mutually acceptable contractual terms and

conditions. In the event of the parties failing to reach such agreement within 30 days

from the appointment date, TIA shall be entitled to appoint the contractor who was

rated second, and so on.

10.7 TIA also reserves the right to award this RFP as a whole or in part without furnishing

reasons.

10.8 TIA also reserves the right to cancel or withdraw from this RFP as a whole or in part

without furnishing reasons and without attracting any liability.

10.9 The Bidder hereby offers to render all of the services described in the attached

documents (if any) to TIA on the terms and conditions and in accordance with the

specifications stipulated in this RFP documents (and which shall be taken as part of,

and incorporated into, this proposal at the prices inserted therein).

10.10 This proposal and its acceptance shall be subject to the terms and conditions

contained in this RFP document.

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10.11 The Respondent shall prepare for a possible presentation should TIA require such

and the Respondent shall be notified thereof no later than 4 (four) days before the

actual presentation date.

11. Mandatory Requirements

The RFP document is divided into a hierarchy of sections, identified by sequential numbers.

When responding to this RFP, vendors are requested to clearly mark the section they

are responding to by complying with the numbering sequence of the RFP document

as advertised. Prospective bidders should meet the following mandatory requirements:

• Section A – Common section for all (Software Vendor and Implementation

Partner)

• Section B1 – Software Vendor Response

• Section B2 - Software Vendor Cost Response

• Section C1 – Implementation Vendor Response

• Section C2 – Implementation Vendor Cost Response

• Section D – Financing Options (Software Vendor and Implementation Partner)

Please (complete and) attach the following documents:

• A valid Tax Clearance Certificate.

• TIA supplier registration form (Available at : www.tia.org.za)

• Declaration of interest (Available at : www.tia.org.za)

• Valid BBBEE status certificate

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SECTION A – COMMON SECTION (Software Vendor and Implementation Vendor)

Vendor-related Questions

Vendors must provide answers to all the questions pertaining to this section and must not

cross-reference their response to other sections of the proposal. Where no response can be

provided, or where no response is applicable, please enter “N/A” or “Not Applicable” as the

answer.

1 When was your company formed?

2 If you are an international company, indicate if you have a local South African presence, or representation for sales and distribution, as well as for the implementation of your solution?

If so, please provide a detailed description of your local setup.

If not, please describe which regional office would be responsible for supporting South Africa.

3 Describe your support strategy in detail:

• Application support technicians

• Number and locations of call centres available

• Number of people providing support

• Availability of support personnel

4 Describe your training strategy, including:

• Ability to conduct end-user training including development of manuals

• Location of training venues

• Skills transfer to TIA technical staff

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5 Provide a list and contact details of 3 South African and/or international funding clients who have implemented your solution similar in scope and size to the Investment and Portfolio Management Requirements (information per investment and portfolio client).

Provide the following details per reference:

• Funding scope • Size of the function (total number of employees): • Solution and versions Implemented • Date implemented and duration • Modules Implemented • Size of the implementation (number of sites and user base): • Number of investment portfolio’s managed • Total implementation time • Total Software, Hardware and Implementation Project Cost (specify if not in

ZAR)

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SECTION B1 – SOFTWARE VENDOR RESPONSE

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B1.1 General Product-related Questions Please provide answers to all the questions and avoid cross-referencing to other sections of

your response. Where no response can be provided, or where no response is applicable,

please enter “N/A” or “Not Applicable” as the answer.

1 When was your first product released?

How many versions have there been since the product was first released?

2 How much do you spend on Research & Development annually, specifically for Funding solutions?

Briefly describe your Research & Development program.

3 When is the next planned major release of your product?

Briefly describe the new functionality to be included in the above-mentioned release.

4 Describe your solution technology roadmap for the next 2-5 years.

5 Briefly describe your upgrade strategy for the proposed product.

6 What is the average implementation time for a full “vanilla” implementation of your product, excluding take-on of legacy data (describing which sub-modules would be implemented)?

7 The section in this RFP document relating to the Functional Requirements describes all the different areas within the functional scope of this project.

If there are specific areas of functionality for which there are questions in this document, but these modules are not contained within your product suite, indicate here whether another vendor that you have a partnership with can supply them as “bolt-ons” to your product.

List the vendors and their products, and provide contact details of the vendor and their local representatives.

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B1.2 Functional Requirements This section of the RFP contains a brief description for each functional area within the scope of the project, and you are asked to answer whether your product meet these business requirements.

Please respond to all questions by indicating “Yes”, “No” or “Partial” in the compliance column provided.

Should you respond either “No” or “Partial” to questions, please provide a short comment and examples:

Question Yes/No/Partial

1. Indicate whether you plan to have the required functionality available in future versions and by when?

2. Indicate whether you can provide the required functionality through customisation/development

3. Indicate plans to provide and meet the required functionality

NB: Please avoid cross-referencing to other section s of your response. Please duplicate the information, if relevant to more than one question.

B1.3 Design Principles

The following principles must be supported by the Investment and Portfolio Management

(Funding) System to be proposed:

• Sustainability: A sustainable solution to the implementation of TIA mandate

• Customer centricity: Putting the applicant at the centre of the experience

through a user friendly interface enabling a positive experience for internal and

external stakeholders

• Consistency: The application of TIA efforts through the effective and efficient

workflow management between internal and external stakeholders

• Transparency: Clearly defined TIA activities and investments through reliable

and integrated reporting capabilities linked to TIA Strategic Objectives

• Accountability: The allocation of activities and their monitoring and evaluation in

line with TIA member performance targets

• Compliance: Adherence to statutory requirements in line with TIA activities

• Flexibility: TIA must be able to the change the solution in line with the evolving

innovation development landscape

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• Single View of investment activities through the centralisation of all investment

information maintained by all TIA members across the investment and portfolio

lifecycle

NB: Vendors are advised to refer to the Investment and Portfolio management model under sec 2 (Scope) in ensuring compliance to this section.

B1.4 Sourcing Sourcing describes the interaction of TIA and potential applicants through a combination of

business development activities. The function of the Investment and Portfolio Management

system is to enable business development role players to capture opportunities thus

enabling TIA to both track opportunities through the process and manage the focus of

business development activities in line with the TIA strategic direction.

Question Compliance

Yes/No/Partial Comment

A. Business Development

1. Does your solution generate a unique reference number for each TIA opportunity identified?

2. Can your solution link opportunities to TIA strategic objectives?

3. Can your solution link opportunities to TIA defined industry sectors to enable alignment?

4. Can your solution import and export business development related artefacts?

5. Can your solution record how each opportunity identified became aware of TIA?

6. Can your solution record which channel each opportunity was captured through?

7. Is your solution flexible enough to accommodate business specific information capture requirements?

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Question Compliance


8. Does your solution enable decision making support regarding fit of opportunity to TIA mandate?

9. Can your solution capture user feedback with details of opportunities rejected?

10. Can your solution capture all correspondence with the applicant?

11. Can your solution capture all application forms?

12. Does your solution enable standardised capture of item descriptions?

13. Can your solution enable links accessing guidelines and other information?

B.

Deal Sourcing

14. Can your solution link opportunities to record sector strategies?

15. Can your solution record deal sourcing activities?

16. Can your solution record event types attended?

17. Can your solution record external marketing activities undertaken?

18. Can your solution record the outcomes of meetings/events?

19. Can your solution capture expenses linked to deal sourcing and business development activities?

20. Can your solution integrate with external databases and systems that can support sourcing activities?

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B1.5 Assessment Assessment processes include screening and assessment of applications submitted. The

screening (completeness of the application form) of application forms is performed to ensure

that applicants meet the minimum criteria for eligibility in advance of consideration for TIA

funding. The assessment stage includes the capture of more detailed information and the

coordination of TIA role players to develop a recommendation for the Internal Assessment

Committee who determine whether the opportunity will progress to evaluation (Due

Diligence).

Question Compliance


C. Screening

21. Can your solution record the receipt of an application?

22. Can your solution enable the screening of blacklisted companies?

23. Can your solution enable the screening of repeat applicants?

24. Can your solution enable the screening of repeat companies?

25. Can your solution screen applicants / companies with outstanding legal obligations?

26. Can your solution align the screening process to the applicant’s unique reference number?

27. Can your solution automatically generate acknowledgement correspondence?

28. Can your solution store TIA generate correspondence?

29. Can your solution capture pre-defined applicant information to enable screening process?

30. Can your solution automate screening process applicant based

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Question Compliance


on pre-defined screening criteria?

31. Can your solution generate a screening report per application?

32. Can your solution provide TIA applicants with access to updates of position in screening process via online portal?

33. Can your solution record reasons for rejections?

D. Assessment

34. Can your solution record receipt of application from?

35. Can your solution record desktop assessment actions (document actions)?

36. Can your solution enable electronic capture of pre-defined recommendation report?

37. Can your solution enable export of pre-defined recommendation report?

38. Can your solution record decision outcomes electronically?

39. Does your solution generate investment acceptance committee agenda aligned to opportunity review pipeline?

40. Can your solution record risks linked to opportunities?

41. Can your solution record success factors linked to opportunities?

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B1.6 Evaluation The evaluation of TIA funding applications is performed by multiple departments across TIA

and is dependent on the type of project and funding being applied for. At this stage, multiple

interactions are required with the applicant and delays in the request and receipt of

information can be experienced. The objective of the evaluation process is the development

of a due diligence report that is used to enable IAC to agree or disagree to an investment.

Question Compliance


E. Investment Commercialisation Services Due Diligence

42. Can your solution enable interaction with (remote) technology station (TIA laboratories established in certain Tertiary institutions) subject matter experts and central TIA resources?

43. Can your solution integrate with TIAs supply chain procurement system?

44. Can your solution record proposed investment type?

45. Can your solution enable validation of investment risks (based on risks captured in Assessment)?

46. Does your solution enable validation of investment success factors? (based on success factors captured in Assessment)

47. Can your solution provide a dashboard of players allocated to teams?

F. Project Definition Workshop and Site Visit Requests

48. Can your solution generate standardised applicant invitations and agenda?

49. Can your solution communicate standardised applicant invitations

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Question Compliance


and agenda to applicant?

50. Can your solution generate site visit pack based on pre-defined TIA document requirements?

51. Can your solution record site visit objectives?

52. Can your solution record site visit participants?

G.

Intellectual Property Due Diligence

53. Does your solution enable tracking of external due diligence supplier activities?

H.

Legal Due Diligence

54. Can your solution record reviewer feedback on legal due diligence reports?

B1.7 Disbursements The disbursement process sees the release of TIA support in the form of funding or services

either directly or through third parties. The process requires the coordination of TIA role

players who collaborate to produce a formal deal structure within a legal contract which

precedes the release of funds.

Question Compliance


A Investment Approval

55. Can your solution generate project code

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Question Compliance


required to record approval decisions?

56. Can your solution generate a disbursement schedule?

57. Does your solution enable validation of activity based budgeting (forecast disbursement generated in project definition workshop)?

58. Does your solution enable electronic sign offs?

B. Deal Structuring

59. Can your solution export draft term sheet?

60. Does your solution have an email link to generate draft term sheet to applicant?

61. Can your solution record business analysis performed by financial management?

62. Does your solution record negotiation correspondence?

63. Does your solution record investment type (Royalty/grant/loan)?

64. Does it enable final term sheet?

65. Does your system enable electronic review and amendment by internal stakeholders? (determined by workflow)

66. Can the solution support standardised and customised legal agreement?

67. Can the solution enable sector general manager to sign off or approve the process online?

68. Can the solution import legal agreements as attachments?

C. Contracting

69. Does the solution enable workflow

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Question Compliance


management between role players including service level agreements across functions?

70. Can your system import the contract?

71. Can your system enable review and amendment of the contract by relevant stakeholders?

D. Disbursements

72. Does your solution generate TIA defined investee payment prerequisites?

73. Can your solution integrate with the finance system?

74. Can your solution communicate proof of payment to applicant as generated by Pastel Financial system?

B1.8 Portfolio Management Portfolio management includes all activities performed after the release of funds and/or

support services. The Investment and Portfolio Management system is required to support

the management of information relating to both individual investments and the combined

funds. Also included in portfolio management is the management of investee issues and the

process that supports follow up funding.

Question Compliance


A. Performance Evaluation for regular client generated reports

75. Can your solution generate investee reminder correspondence to provide information?

76. Does your solution enable online investee reporting functionality i.e. capture of reporting requirements online that feed

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Question Compliance


directly into the system?

77. Can your solution support a standardised reporting template?

78. Can your solution record risk updates?

79. Can your solution record success updates?

B. Investment Monitoring

80. Can your solution provide an investment status view (based on pre-defined TIA requirements)?

C. Loan and Royalty Investments

81. Can your solution automatically generate invoices for investees whose loans are due?

82. Can your solution automatically reconcile with financial system to identify payments?

83. Can your solution report non-payments to finance?

D. Post Investment Monitoring

84. Can your solution enable calendaring of follow up contact with ex-investee?

E. Shareholder Issues

85. Does your solution record shareholder issue in company?

86. Does your solution record pre-defined classification of issues?

B1.9 Exit Exit activities are related to when the relationship between TIA and the investee ends on

account of completion of the terms of engagement or a TIA decision to end the relationship

for strategic reasons.

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Question Compliance


A Project Closure

87. Can your solution record type of closure?

88. Does your solution record closure?

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B1.10 Common Requirements across all functional are as

Question Compliance


A. Access

89. Can your solution be accessed online through a web based portal?

B. Search

90. Can your solution enable customised search of projects based on criteria determined by individual business units?

91. Can your solution provide relevance ranking configuration by administrators and users?

92. Can your solution provide options for end user result sorting?

93. Can your solution provide result display configuration?

C. Security

94. Can your solution enable authentication of clients and administrators via existing web and server authentication?

95. Can your solution enable automatic log off of system as per TIA defined requirements?

D. Document Management

96. Does your solution have a document management facility for the scanning of documents, e.g. policies, contracts, invoices, policies, legal contracts/documentation etc. and the electronic tracking thereof?

97. Can electronic documents be structured into relevant business areas / modules?

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Question Compliance


98. Can documents and information be downloaded and uploaded, e.g. documentation, governance and forms?

99. Does your solution have document control functionality (check in/check out)?

100. Can your solution access documents through links embedded in reports and system generated communications?

E. Communication

101. Can your solution enable communication with applicants/investees through email and SMS?

102. Does your solution record all investment related correspondence?

F. Workflow

103. Is your solution flexible enough to create/amend workflows as required by fund type?

104. Does your solution have a workflow module to enable business processes across the investment and portfolio management modules?

105. Can workflow messages be routed to the user e-mail inbox?

106. Does the workflow engine make provision for delegation according to organisation structures with appropriate authorisations and security?

G. Resource Planning

107. Does your solution have personnel

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Question Compliance


management application?

108. Can your solution enable TIA to allocate activities to resources effectively?

109. Does your solution enable resource activity reporting?

H. Reporting

110. Does your solution come with a set of standard reports for all functional areas of investment and portfolio management?

111. Does your solution have a native report writer / tool that generates non-standard / user defined reports?

112. Can reports be produced via a graphical user interface, i.e. graphs, charts, etc.

113. Can the system generate exception reports and age analysis reports based on flexible periods as opposed to pre-defined period terms?

114. Does your solution have an on-line query facility?

115. Does your solution report in real time?

116. Can reports be generated at different scales i.e. investment, portfolio, TIA OR employee, industry, sector, TIA etc.)

I. Archiving

117. Can archiving of all information including transactional files be performed on a periodic basis according to the prescripts of the Archiving Act (National Archives and Record Service Act, Act 43 of

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Question Compliance


1996 as amended)?

J. Audit Trails

118. Does your solution keep transaction history information and generate complete audit trails of all transactions?

K. Integration

119. Is your proposed solution integrated, i.e. based on the functionality described in this RFP?

120. Can non-standard bi-directional interfaces be developed between the proposed investment and portfolio solution and TIA legacy / external systems (see Appendix 1 for description).

L. Compliance

121. Does your solution enable alignment with governance, risk and compliance constraints based on the applicable IT standards, frameworks and methodologies? See Appendix 2 for related legislative frameworks.

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B1.11 Technical Requirements

Current Technical Overview:

1. Hardware/Operating Systems

The application should be designed and developed to operate on non-dedicated, virtualized

hardware using VMware Hypervisors on Windows 2008 R2 Server Operating Systems and

middleware available from the service.

Mid-tier application and database servers should adhere to WINDOWS 2008 Server or

updates thereof.

The system should be able to run on the following minimum TIA standards:

• Application server O/S: Windows 2008 Server.

• Client machine: Windows 7 & 8 Enterprise Edition

• Tablet: iOS 5.1, Android and Windows for tablet (The tablet OS is optional)

• DBMS Server: MS SQL Server 2007 & 2012

Windows 2008 Server will remain the standard for application data centre servers while VMware will remain the standard for operational support servers.

2. Hardware Peripherals

The current peripheral equipment are standardised as follows:

• Laptops and desktops will be Dell models

• Only Tablet devices with any of the following operating systems will be

supported: Apple iOS, Android and Windows for tablet.

• Printer models have not been stipulated

All future peripheral equipment will need to be “proven” equipment based on standard

vendor availabilities.

3. Database Environment

The current standard for databases is MS SQL Server.

Network

TIA Communications Network is running on the South African Research Network

(SANREN). Each TIA location is connected directly to the SANREN. TIA has implemented

an IP based converged data, voice and video network within the infrastructure. SANREN is

shared by TIA and other research institutions, universities and related entities.

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Staff utilise Microsoft Remote Desktop with standard encryption to access Financial and HR

systems that are hosted at Internet Solutions Data Centre (outside the SANREN network).

Future plans are to implement encryption within the network; consideration should be given

for the solution to run on an encrypted system.

4. Programming & Development

There are no preferred development tool standards or requirements; however the .NET

framework is currently being used with new development.

It is expected that any future solution will be modular, flexible and configurable by TIA.

5. Web Technologies

Web development is limited and conducted primarily for document publication and

dissemination.

TIA’s Intranet is hosted on Apache server while SharePoint is running on Internet

Information Server (IIS).

6. Management Initiatives

There are numerous initiatives in support of management processes that have either been

identified, and/or defined. These initiatives are divided into the following main areas:

• Core enabling tools (e.g. E-mail, EDT, Fax, SMS, Tele-conferencing, bulletin

boards, mapping tools, document management, electronic publishing,

presentation services)

• A hardware technology refresh is imminent

• Infrastructure rebuild (Connecting TIA directly to a 10GB network)

• Development of the Youth Technology Innovation Fund (YTIF) Web Application

• An enterprise architecture project has been initiated

• A business process mapping is in progress across certain business areas

• A data mining project is in progress

7. Integration

TIA does not have a standard middleware integration tool, but would probably be considered

in the future. Future integration initiatives however, are to provide “process-based”

applications in order to overcome point-to-point interfaces. Process based applications will

provide a far stronger integrated solution.

The solution must adhere to open standards, be scalable, portable, maintainable and

useable. Integration abilities to other TIA systems and solutions will be necessary.

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The proposed solution should demonstrate its ability to integrate with middleware tools and

potential interfaces to current and future applications listed:

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B1.12 INTERFACES AND INTEGRATIONS

INTERFACE INTERFACE DESCRIPTION

Other Government Institutions There may be a need to interface to “external Government systems” such as Treasury, Reserve Bank, SARS, Department of Trade and Industry, Department of Science and Technology, CSIR, NRF, Agricultural Research Council.

Project Management Tool Project Management will monitor progress of projects and report on the milestones. TIA does not have a standard PM tool.

Workflow The system should be capable of integrating to or have the capability to enable workflow.

Customer Relationship Management (CRM)

Customer Relationship Management interface will provide required applicants’ information during the sourcing phase.

Business Intelligence Business Intelligence tools will extract data from the Proposed Tool for analysis.

Online Application A TIA application for funding or grant is available on the TIA website. The information collected from the web based application form should feed into the proposed system automatically.

Electronic Document Management

All documents related to the workflow of value chain should be stored in the central Electronic Document Management system; currently this system is MS SharePoint. The uploading of documents will happen within the system and SharePoint should be invisible to the user.

SMS Notification Applicants would be able to select notification methods, either email or SMS to inform them of the status of their application within the process. An SMS gateway will be used to send messages.

Research Engine Research engines are tools used during the due diligence process, the search results are to be captured on the Proposed Tool. E.g. Vetting, Patent search

Security System User authentication will be based on TIA LDAP standard, using Microsoft Active Directory.

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Contract Management Contract management tool is used by legal to maintain all investments contracts that have been created by the Proposed Tool.

Department of Home Affairs Department of Home Affairs interface is used for vetting the applicant’s identity number.

Financial System The solution should be able to send and receive information from the financial system; TIA’s current financial system is Pastel Evolution.

Procurement The solution should be able to send and receive information from the procurement system; supply chain management will get notification to request for external services at various stages of the value chain e.g. Sourcing stage for special project advertisements in newspapers; assessment stage – request for external due diligence services.

Banking Systems During the disbursement process, the solution should enable a direct interface to banking system; TIA standard is Standard Bank Online.

Human Resources (HR) Systems

Users of the solution should also be found in the HR system, to ensure that they are mandated and authorised to approve at various levels. The HR system will supply all personnel information, title and user role within the solution.

The solution will only validate information against the HR system and not update it; the HR system standard currently is VIP and ESS for leave management.

Diary/Calendar Access to the Outlook calendar and diary (which is currently the standard) will assist in having a common calendar with public holidays and cut-off dates (e.g. for IAC Meetings, EXCO meetings, etc.).

Email System Applicants would be able to select notification methods, either email or SMS of the status of their application within the process. The email system will send user notifications of actions required of them in the process. MS Exchange will be used to send messages.

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Risk Management Risk status of an investment would be calculated in the risk management potion of the TeamMATE tool and the results sent to the proposed tool.

SATN Enable a search to be performed from the tool on the South African Technology Network

Volumes

Current hardware numbers:

Blade Servers (Physical) 16

Logical Servers 46

Printers 61

The volumes of applications received in the FY 10/11 and processed through the funding lifecycle are indicated below:

Stage Received Assessment Due Diligence Approved

Number of applications

121 121 30 14

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Number of Sites and User Base

Functional Area Number of

Current Sites

Current User Base

Future User Base Year 1

+10%


+10%


+10%

Sourcing 18 33 37 40 44

Assessment 18 25 28 30 33

Evaluation 10 50 55 61 67

Disbursement 2 17 18 20 22

Portfolio Management

2 25 28 30 33

Exit 2 16 19 20 22

Total System Users & Sites

18 167 184 202 222

34

B1.13 Technical Questions Please respond to all questions by indicating “Yes”, “No” or “Partial” in the compliance column provided.

Should you respond either “No” or “Partial” to questions, please provide a short comment and avoid cross-referencing to other sections of your response.

Question Compliance


122. Would your solution be able to operate on a combination of centralised and nationally decentralised hardware?

123. Would your solution be able to operate on a VMware virtualised environment?

124. Would your solution be able to operate running Windows Server 2008?

125. User desktops and laptops operate a standardised windows operating system Windows 7 Enterprise edition. Can your solution fit with this operating system?

126. Does your solution integrate/interface with integration tools natively? E.g. It is tested to interface with IBM MQ, Webmethods etc. Please list the tools it interfaces with natively.

127. Does your solution require use of dongles? If so, please explain how the solution works.

128. The databases currently in use in the distributed environment at TIA is:

MS SQL Server.

Is your solution able to run on this database platform?

129. Is your product and all its related modules web-enabled?

130. Is your solution “deployable” onto

35

Question Compliance


standard TIA hardware such as HP Blade centre and IBM servers?

131. Is your solution capable of integrating with the following TIA support systems:

• MS Exchange and

• MS SharePoint (document management package solution modified to TIA requirements)

132. Does your solution have standard interfaces/integration points to any other commercially available packages? If so, please list.

133. Is your solution configurable?

134. Do you require the use of middleware products to interface/integrate your solution to TIA external systems?

135. Does your solution have the capability to capture transactions/data to a manually controlled and auditable repository when the central server is unavailable?

136. Does your solution have the capability to automatically “upload” off-line- captured transactions/data to a synchronised on-line functionality once server's connectivity is restored?

137. Is your solution compliant with development tools such as .NET, C# and JAVA?

138. Is your solution compliant and capable of integrating with Data Warehousing technologies such as OLAP and Decision Support Systems?

139. Is your solution capable of verifying data captured at source for total integrity and accuracy?

140. Does the solution provide for a corporate reference database that contains design specifications for HR,

36

Question Compliance


Organisational design, processes, codification, etc.?

141. Does your solution make use of “normalised” data dictionaries or schemas?

142. Is your solution capable of providing security at the following levels

• Data element

• Record

• File

• Database

• Menus

• Network levels?

143. Does your solution make use of encrypted user id’s and password protection? Is it capable of integrating with Active Directory for authentication?

144. Does your system provide FULL audit trails of

• Transactions?

• Changes?

• Purges?

• Deletions?

145. Does your solution provide audit trails of user activity?

146. Does your solution provide audit trails of all illegal system activities?

147. Does your solution have security mechanisms to restrict user access for creation, enquiry and update?

148. Does your solution have an audit trail of password changes?

149. Does your solution have an integrated native report writer?

37

Question Compliance


150. Is your solution capable of providing graphically generated reporting outputs?

151. Is your solution capable of exporting management information to tools such as Excel/MS Access/PDF etc?

152. Does your solution have checkpoint facilities for the recovery of processing after failure?

153. Does your solution provide transaction roll-back/roll-forward facilities for recovery purposes?

154. Is your solution capable of selective backup and restore activities?

155. Can your solution accept update transactions across module/functional boundaries, or do such transactions have to be broken down into their constituent parts?

156. Can individual update transactions, (batch or on-line), be applied across module/functional boundaries at the same time?

157. Does your system solution lock-out the user after a predetermined number of unsuccessful sign on attempts?

158. Is your solution able to cater for the volumes of transactions and volume of users as detailed in the overview section above?

159. Is your solution scalable for future growth should the current user numbers and transaction volumes increase?

Does your system have an on-line help facility?

38

Please provide brief answers to the following questions and avoid cross-referencing to other

sections of your response.

Question

160. What would be your ideal operating system software for TIA solution?

161. What would be your ideal hardware operating environment for TIA solution?

162. Does your solution subscribe to a recognised application engineering architecture? If so, please briefly describe.

163. What open systems standards does your solutions architecture conform to?

164. What capacity in terms of concurrent users and servers, has your solution been designed and tested for in an environment where users are accessing the system via a WAN?

165. In order for equitable costing to be undertaken on potential future hardware and network requirements for the proposed solution, we request each vendor to supply their MINIMUM specifications for a client-server . We do realise that infrastructure sizing typically gets done by hardware vendors. However, please provide us with the minimum specification based on your product’s operational requirements and past experience of implementations of a similar size.

As an example, the following components will need to be included as part of the vendor infrastructure requirements.

EXAMPLE

APPPLICATION SERVER (Minimum specifications, and how many required?)

• Processor (type and speeds)

• RAM

• Storage and disk requirements and type (RAID X)

• Display monitors

• Power management;

• Cabinets

• Communications components

DATABASE SERVER (Minimum specifications, and how many required?)


• RAM

• Storage and disk requirements and type


39

• Power management

• Cabinets

• Communication components

WOKSTATION COMPONENTS (Minimum specifications and how many required?)


• RAM

• Storage and disk requirements and type


• Power management

• Communication components

NETWORK

• Estimated bandwidth required

NB: INFRASTRUCTURE COMPONENTS DO NOT FORM PART OF THE TENDER. HARDWARE REQUIRED WILL BE PROVIDED BY TIA.

Shortlisted vendors will be required to develop a p rototype of the solution at own cost at any location for the Agency to verify system functionality as indicated in their response docume nt. A solution test pack will be provided during the testing phase .

40

SECTION B3 – SOFTWARE VENDOR COSTS

41

B3.1 Overview

Please provide us with a detailed software cost breakdown for your proposed solution (as

per the table below), based on the functional requirements as mentioned in the questions of

this RFP, as well as for the following minimum requirements:


Current Sites

Current User Base


+10%


+10%


+10%

Sourcing 18 33 37 40 44





2 25 28 30 33

Exit 2 16 19 20 22


18 167 184 202 222

All users (i.e. 222) should get common functionality such as document management.

The information provided in this section will be used to evaluate the overall costs of your

proposed solution.

If your software pricing is based in ZAR please indicate it as such, else indicate the costs in

US$.

Note all the different types of software cost categ ories listed below may not apply to

your product. Please focus on the components which your costing model is based

on.

42

B3.2 Software License Cost for current user base

What software version are you proposing and costing for?

COST ITEM PRICE (ZAR /US$)

Licence and Acquisition Costs

Base purchase price, i.e. software list price (showing discounts separately)

Discount range and under what conditions

System Software Licenses

• Sourcing

• Assessment

• Evaluation

• Disbursement

• Portfolio Management

• Exit

• Document Management

Any additional Software costs (special purpose software)

Database software (System Software/Server Licenses)

Database software (User Licenses)

Operating System Software

Development Software

Workstation Software

Systems Management and Attendant Software

Software tools for Development environment

Testing tools

Data conversion and clean -up tools

Documentation tools

System, performance tools, compilers and database backup software

Any other, please give details and costs

43

Maintenance and Support Costs

If this fee is calculated as a percentage of annual license fees, please indicate whether the discounted annual license fee will apply. If annual escalations are likely, what would be the approximate escalation percentage?

B3.3 Software License Cost for future user numbers Please provide licence costs should the user base increase in the future as illustrated below.

Future Costs (1)

COST ITEM Users ZAR/US$

Base purchase price, i.e. software list price (showing discounts separately)

Discount range and under what conditions

System Software Licences

System Software Licenses

• Sourcing

• Assessment

• Evaluation

• Disbursement

• Portfolio Management

• Exit

Document Management

Other (please list)

TOTAL USER BASE

TOTAL COSTS

B3.4 Software License Costs Cash Flow projections Please provide a spread sheet indicating a 5 year cash flow projection of the total costs (for current user base as well as the costs for future user bases).

44

SECTION C1 – IMPLEMENTATION VENDOR RESPONSE

45

C1.1 Change Management 166. Briefly describe in no more than one page, your approach to change management and

training to ensure minimum impact of your solution’s implementation on users, stakeholders and the business? Proposal must include the following key deliverables:

- Technical and end user training

- Awareness (addressing cultural and behavioural issues)

- Communication plan

- Skills transfer to IT technicians

- Clearly defined roles and responsibilities between TIA and vendor

- Vendors to indicate any associated costs over and above what has been indicated

C1.2 Indicative Implementation Timeline 167. Please indicate whether your response and implementation timelines are based on a

specific product solution? If so please provide details of the product.

168. Please provide for each of the following project phases/stages, details as to how long it would take in months to implement your proposed solution based on the functional system requirements as mentioned in Section A of this RFP. Also, indicate the total time to implement the entire solution from Scoping and Planning to Post Go-Live support. You may support your answer with a project plan/schedule.

1. Scoping and Planning

2. Design

3. Configure / Develop

4. Integration

5. Infrastructure

6. Authorisations

7. Testing

8. Data Migration

9. Training

10. Change Management

11. Roll-out

12. Post Go-live Support

NB: TIA will determine the project implementation p hases with clear

46

deliverables per phase. Critical success factors w ill also be defined per phase for stage gating prior to commencement to the next phase.

SECTION C2 – IMPLEMENTATION VENDOR COSTS

47

C2.1 Overview Please provide us with a detailed cost breakdown for your proposed solution (as per the

table below), based on the functional requirements as mentioned in Section A of this RFP,

as well as for the following minimum requirements:


Current Sites

Current User Base


+10%


+10%


+10%

Sourcing 18 33 37 40 44





2 25 28 30 33

Exit 2 16 19 20 22


18 167 184 202 222

The information provided in this section will be used to evaluate the overall costs of your

proposed solution.

If your implementation pricing is based in ZAR please indicate it as such, else indicate the

costs in US$.

48

C2.2 Implementation Costs for current user base

COST ITEM PRICE (ZAR/ US$) Development Costs

Integration/Interface Development costs - See Appendix 1

Assume:

• 15 internal TIA systems that would require interfaces to your proposed solution with 2 interfaces per system

• 5 external systems that require interfaces to your proposed solution with 2 interfaces per system

Customisation/Development Costs

Training Fees

Programmers / Developers

End-Users (222)

Super Users

System Support Staff

Costs related to training infrastructure and facili ties (where applicable/available)

Implementation

Please provide detailed breakdown of costs related to consulting project management and implementation services, such as:

Project Management Change Management Scoping and Planning Design Infrastructure support Authorisations Testing (Quality assurance) Data Migration Roll-out Post Go-live Support

49

C2.3 Implementation Costs for future user numbers

In addition, please provide for implementation costs should the user base increase in the

future as illustrated below.


Current Sites

Current User Base


+10%


+10%


+10%

Sourcing 18 33 37 40 44





2 25 28 30 33

Exit 2 16 19 20 22


18 167 184 202 222

C2.4 Implementation Costs Cash Flow projections

Please provide a spread sheet indicating a 5 year cash flow projection of the total costs (for

current user base as well as the costs for future user bases).

50

SECTION D – FINANCING OPTIONS (Software Vendor and Implementation Vendor)

51

169. Please describe financing payment options that you offer to your clients if any and examples of such agreements with existing clients.

52

Appendix 1 – Integration Requirements (if not part of the developed solution)

53

Appendix 2: Legislative Framework Governing TIA

Details of the Act Objective Application

Constitution of the Republic of South Africa, No. 108 of 1996

To heal the divisions of the past and establish a society based on democratic values, social justice and fundamental human rights; lay the foundations for a democratic and open society in which government is based on the will of the people and every citizen is equally protected by law; improve the quality of life of all citizens and free the potential of each person; and build a united and democratic South Africa able to take its rightful place as a sovereign state in the family of nations.

Company wide

Technology Innovation Agency Act, No.26 of 2008

To support the state in stimulating and intensifying technological innovation to improve economic growth and the quality of life of all South Africans by developing and exploiting technological innovations.

Company wide

Companies Act, No. 71 of 2008

To consolidate and amend the law relating to companies and to provide for matters incidental thereto

Company wide

Public Finance Management Act, No. 1 of 1999

To regulate financial management in the national government and provincial governments; to ensure that all revenue, expenditure, assets and liabilities of those governments are managed efficiently and effectively; to provide for the responsibilities of persons entrusted with financial management in those governments; and to provide for matters connected therewith.

Company wide

Promotion of Administrative Justice Act, No. 3 of 2000

To give effect to the right to administrative action that is lawful, reasonable and procedurally fair and to the right to written reasons for administrative action as contemplated in section 33 of the Constitution of the Republic of South Africa, 1996; and to provide for matters incidental thereto.

Company wide

Promotion of Access to Information Act, No. 2 of 2000

To give effect to the constitutional right of access to any information held by the State and any information that is held by another person and that is required for the exercise or protection of

Company wide

54


any rights; and to provide for matters connected therewith.

Designs Act, No. 195 of 1993

To provide for the registrations of designs Applicable investments

Intergovernmental Relations Framework Act, No. 13 of 2005

To establish a framework for the national government, provincial governments and local governments to promote and facilitate intergovernmental relations; to provide for mechanisms and procedures to facilitate the settlement of intergovernmental disputes; and to provide for matters connected therewith.

Company wide

Trade Marks Act, No. 194 of 1993

To provide for the registration of trademarks, certification trademarks and collective trademarks; and to provide for incidental matters.

Applicable investments

Patents Act, No. 57 of 1978

To provide for the registration and granting of patents for inventions and for matters connected therewith

Applicable investments

Intellectual Property Laws Rationalization Act, No. 107 of 1996

To provide for the integration of intellectual property rights subsisting in Bophuthatswana, Transkei, Venda and Ciskei into the national system; to extend the South African intellectual property rights legislation throughout the Republic; to repeal certain other intellectual property laws; and to provide for matters connected therewith.

Company wide

Financial Intelligence Centre Act, No. 38 of 2001

To impose certain duties on institutions and other persons who might be used for money laundering purposes and the financing of terrorist and related activities;

Finance

Income Tax Act, No. 58 of 1962

To consolidate the law relating to the taxation of incomes and donations, to provide for the recovery of taxes on persons, to provide for the deduction by employers of amounts from the remuneration of employees in respect of certain tax liabilities of employees, and to provide for the making of provisional tax payments and for the payment into the National Revenue Fund of portions of the normal tax and interest and other

Finance

55


charges in respect of such taxes etc.

Protected Disclosures Act, No. 10 of 2001

To protect an employee whether in private/public sector from being subjected to an occupational detriment on account of having made a protected disclosure; to provide for certain remedies in connection with any occupational detriment suffered on account of having made protected disclosure; and to provide for procedure in terms of which an employee can in a responsible manner disclose information regarding improprieties by his or her employer

Audit

Prevention and Combating of Corruption Activities Act, No. 12 of 2004

To provide for the strengthening of measures to prevent and combat corrupt activities; to provide for investigative measures in respect of corruption and related corrupt activities; to provide for the establishment and endorsement of a Register in order to place certain restrictions on persons and enterprises convicted of corrupt activities relating to tenders and contracts; To place a duty on certain persons holding a position of authority to report certain corrupt transactions; to provide for extraterritorial jurisdiction in respect of the offence of corruption and offences relating to corrupt activities; and to provide for matters connected therewith.

Audit

Electronic Communications and Transactions Act, No. 25 of 2002

To enable and facilitate electronic communications and transactions in the public interest, and for that purpose to; promote the understanding and, acceptance of and growth in the number of electronic transactions in the Republic; remove and prevent barriers to electronic communications and transactions in the Republic; promote legal certainty and confidence in respect of electronic communications and transactions; promote technology neutrality in the application of legislation to electronic communications and transactions; promote e-government services and electronic communications and transactions with public and private bodies, institutions and citizens; ensure that electronic transactions in the Republic conform to the

IT

56


highest international standards etc.

Films and Publications Act, No. 65 of 1996

To provide for the classification of certain films and publications and for maters connected therewith

IT

Regulation of Interception of Communications and Provision of Communications Related Information’s Act, No. 48 of 2008

To regulate the interception of certain communications, the monitoring of certain signals and radio frequency spectrums and the provision of certain communication- related information; to regulate the making of applications for, and the issuing of, directions authorising the interception of communications and the provision of communication-related information under certain circumstances; to regulate the execution of directions and entry warrants by law enforcement officers and the assistance to be given by postal service providers, telecommunication service providers and decryption key holders in the execution of such directions and entry warrants; and to provide for matters connected therewith.

IT

National Archives Act, No 43 of 1996

To provide for the proper management and care of the records of governmental bodies; and the preservation and use of a national archival heritage; and to provide for matters connected therewith.

IT

Occupational Health and Safety Act, No. 85 of 1993

To provide for the health and safety of persons at work and for the health and safety of persons in connection with the use of plant and machinery; the protection of persons other than persons at work against hazards to health and safety arising out of or in connection with the activities of persons at work; to establish an advisory council for occupational health and safety; and to provide for matters connected therewith.

Human Resources

Labour Relations Act, No. 12 of 2002

To advance economic development, social justice, labour peace and the democratisation of the workplace by fulfilling the primary objects of this Act, which are; to give effect to and regulate the fundamental rights conferred by section 27

Human Resources

57


of the Constitution; to provide a framework within which employees and their trade unions, employers and employers' organisations can-(i) collectively bargain to determine wages, terms and conditions of employment and other matters of mutual interest; and (ii) formulate industrial policy; and (d) to promote-(i) orderly collective bargaining; (ii) collective bargaining at sectoral level; (iii) employee participation in decision-making in the workplace; and (iv) the effective resolution of labour disputes.

Employment Equity Act, No. 55 of 1998

To achieve equity in the workplace by promoting equal opportunity and fair treatment in employment through the elimination of unfair discrimination and implementing affirmative action measures to redress the disadvantages in employment experienced by designated groups in order to ensure their equitable representation in all occupational categories and levels in the workplace

Human Resources

Basic Conditions of Employment Act, No. 75 of 1997

To give effect to the right to fair labour practices referred to in section 23(1) of the Constitution by establishing and making provision for the regulation of basic conditions of employment; and thereby to comply with the obligations of the Republic as a member state of the International Labour Organisation; and to provide for matters connected therewith.

Human Resources

Skills Development Act, No. 97 of 1998

To provide for the imposition of skills development levy

Human Resources

Broad Based Black Economic Employment Act, No. 53 of 2003

To establish a legislative framework for the promotion of black economic empowerment; to empower the Minister to issue codes of good practice and to publish transformation charters; to establish the Black Economic Empowerment Advisory Council; and to provide for matters connected therewith.

Procurement

Preferential Procurement Policy Framework Act, No. 5 of 2000

By providing a framework for the implementation of the procurement policy contemplated in section 217(2) of the Constitution and for matters connected therewith.

Procurement

58

12. Mandatory Evaluation criteria

a) First Stage evaluation criteria

Table 12.1

Adjudication categories and criteria Weight Score Notes

1. Section A – Common section for all (Software Ven dor and

Implementation Partner)

5 = Excellent, 4 = Very good, 3 = Good, 2 = Average, 1 = Poor

0.2

5

2. Section B1 – Software Vendor Response


0.3 5

3 Section C1 – Implementation Vendor Response


0.3

5

4 Section D – Financing Options (Software Vendor and Implementation Partner)


0.2

5

Total weighted score/Maximum possible score 1.0

Minimum qualifying score (expressed as percentage) 3 60%

For background information about the Agency, vendor s must visit TIA website at:

www.tia.org.za

b) Second stage evaluation in terms of 90/10

Table 12.2

Adjudication categories Points

1. Bid Price 90

2. Points awarded for B-BBEE Status Level 10

59

Total points 100

13. Conclusion

13.1. Failure to comply with any of the terms and conditions as set out above will invalidate

the Proposal.

13.2. TIA’s decision on proposals received shall be final and binding.

END OF RFP DOCUMENT