Confidential
Technical Survey Questionnaire
1
1.1
General System information
Name of the system :
(Please include any aliases and acronyms by which the system is known)
1.2
Objective of the system :
(The rationale behind system implementation. )
1.3
Functionality in brief :
( Please illustrate the information flow and broad level processing logic for the system .)
1.4
Source of data input for the system
a) Source document and its legal status :
(e.g. Name of the Return OR any other documents/data which is entered in the system. . If multiple
sources are present, kindly list all. Also mention to be made whether the Return is filed in
compliance with some Legal Requirement)
Source
Legal status
:
:
b) Whether document/data is generated in / outside RBI ? If outside RBI, the
agency which generates the documents
(e.g. some returns could come from Banks while others could come from Authorized Dealers.)
c) Level of Input Data Aggregation as received from the source
(e.g. In some cases data might be at branch level, while some consolidated at bank level)
d) Method of data collection ( Sampling, census etc.)
Also indicate whether it is a sample and method of sampling ...)
e) Frequency & Reference date of the data to be incorporated.
(The date on which snapshot of data is reported. E.g. a return may be as of the reporting Friday.
Frequency could be weekly, monthly…)
As of :
Frequency :
f) Time lag in receipt of data
The typical time between the reference date and the date when the data is received by the Bank
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g) The manner in which data is fed in the computerized system.
(e.g. by Data entry, modem etc.. Multiple modes of inputs are possible for same system)
h) Do you receive queries pertaining to your system which cannot be
answered due to lack of data ? If YES , Kindly list out the missing data
which is required to answer these queries ?
i) What are the data quality problems encountered with data input in the
system?
1.5
A delay of ______ hours / days in the production of the outputs from this
system will have material impact on the decision based on this output.
(e.g. A system may be very critical when a downtime for a few hours cause disruption in the
functioning of the department / Bank ).
1.6
System Application type
(Mainframe, client server, three tier, web based)
1.7
Is any further processing (manual - spreadsheet/word etc..) required on
system output to meet the reporting requirements?
1.8
Output generated by the system and corresponding department(s) to which it
is forwarded:
(Kindly list out the reports and handoffs (files) generated by the system and departments to which
each is provided. Also mention which version of data is reflected in each of the report. Any adhoc
queries should also be listed)
1.9
Geographical similarity : Whether the same software addresses similar
requirements at different locations of the Bank OR at different software is
used at different places ?
Does the same type of system serve various geographical locations of the Department?
1.10 Kindly provide details of any changes in functionality/reporting requirement
during the last 5 years
(typically this would be changes which would impact comparison of current period data vis-à-vis
previous period(s))
1.11 Any functionality/reporting changes being contemplated in the system during
the next one year
(Typically these would be changes which would impact comparison of current period data vis-à-vis
previous period(s))
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RBI- CDBMS- Technical Survey Questionnaire
1.12 Sensitivity of information
(Is the information stored in the information sensitive so as to require additional data security
provision. If so, mention the level of restriction that would be required?)
1.13 Any other important information about the system which you feel would
assist us ?
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RBI- CDBMS- Technical Survey Questionnaire
Hardware & Software Environment
2.1
Hardware :
2.1.1
Central computer / Server Manufacturer and make
2.1.2
No. of CPUs and their speed
2.1.3 Hard Disk space
Total data storage requirement
(a) Current
:
(b) % Increase every year :
(c) For History data :
2.1.4
Available memory on the main computer / server
2.1.5
Network through which users can log in the system or devices can be connected:
2.2
2.2.1
Software
Operating system on the main computer / server
(Kindly include the version)
2.2.2
Database
(Kindly mention the version)
2.2.3
Application software of Front-end used by the application
(Kindly mention the version)
2.2.4
Changes in software environment:
(a) Details of software mentioned above changed during the past 5 years ?
(b) If, YES, kindly indicate whether data has been migrated to the new system ?
OR whether ASCII backup of data is available?
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RBI- CDBMS- Technical Survey Questionnaire
Implementation:
3.1
Physical location of the server :
3.2
Department entrusted with the maintaining the server :
(Please also indicate name, phone number(s) of contact person(s))
3.3
Versions of data stored in the system
(e.g. provisional, revised and final .)
3.4
Interface with other systems
(Does the system receive / feed data directly from / to any other system in the Bank?)
Inputs from ; None
System Name
File/Table/Report
Name
Purpose (Also indicate if it
is mandatory)
Sensitivity (Is
the data
sensitive)
Remark
Purpose (Also indicate if it
is mandatory)
Sensitivity (Is
the data
sensitive)
Remark
Outputs to ; None
System Name
File/Table/Report
Name
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Refers to ;
System Name
3.5
File/Table/Report
Name
Purpose (Also indicate if it
is mandatory)
Sensitivity (Is
the data
sensitive)
Remarks
Type of processing :
(Whether online or Batch)
3.6
Frequency of Batch Run (incase of batch processing)
(Separately for provisional, revised and final data, any cutoff to consider data final)
3.7
Time required for a single batch run (end to end including any intermediate
manual processing)
(The is the time required for complete batch run)
3.8
Time window in which the system is available to the users.
3.9
Redundancy for the system
3.10 Any modifications, undertaken (or planned in immediate future) on the
system?
(All changes to inputs, outputs, processing logic and functionality to be noted)
Details for each modified field to be provided in the following format:
Sr.
Modification Type
Date of
Reason for
Details of modification
No.
Modification modification
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3.11 Details of existing Data Outputs in soft formats
(Details of data outputs from the system that are generated to feed any other system or for backup
and archival purposes)
Output
Description
Frequency
(What is the frequency
of Output generation)
Type
(What is the type of
Output – whether it is
a backup of master
files/data base or
selected Output for
handoff to another
system)
Data Type
(E.g.
provisional,
revised & final)
Output Format
(Whether flat files/
database dumps?)
3.12 The date when the system was implemented
3.13 Historical Information
Details of past data – to what period and the type of information stored.
Period for
which
available
Storage Media
Data Type
(E.g.
provisional,
revised & final)
History Format
(Whether flat files/
database dumps?)
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RBI- CDBMS- Technical Survey Questionnaire
List of documents to be requested during the Technical Survey
Kindly provide hardcopy and soft copy of the following :
1.
Business Requirement / Functional Specification (System Requirement
Specification). This would typically include the detailed functionality of the
application, its features, boundaries, nature and scope of interaction with other
systems.
 Enclosed
 Not enclosed because ___________________
2. Sample of source forms / Returns (preferably, a completed copy) used in capturing
data. (All versions of the Forms / Returns reflecting the changes carried out in the last
5 years )
- Instructions for completing the Return / Form should also be included.
 Enclosed
 Not enclosed because ___________________
3. Format of Input Data files (if any ) in the following format ;
(The order of the fields listed in the table below should be same as appearing in the data file :)
File Name
Field
Name
Data Type and Size
e.g Character (20)
Business Definition
4. Format of output reports generated - The report name and its frequency to be
mentioned. Please attach sample outputs for all the reports.
Report Name
 Enclosed
Frequency
Input files, Reference
files which contribute
to the Report
 Not enclosed because ___________________
5. Logical data model for the system
 Enclosed
 Not enclosed because ___________________
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6. Dump of Database structure and Intermediate files. Please provide primary and
foreign key definitions for all the files/tables.
(The order of the fields listed in the table below should be same as appearing in the data file :)
File /
Table
Name
Field
Name
File / Table
Name
Data Type and Size
e.g Character (20)
Primary/For
eign Key
Name
Field
Name
Business
Definition
Data Type and Size
e.g Character (20)
7. Layout of data outputs in soft copy presently generated (As listed in section
3.11). For each output please include details in following format:
File1
File Name
Field
Name
Data Type Business Definition
and Size
In bytes
File Name
Field
Name
Data Type Business Definition
& Size
File Name
Field
Name
Data Type Business Definition
& Size
File2
File 3
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8.
RBI- CDBMS- Technical Survey Questionnaire
Code tables, if data entered in codes.
- Details for each of table / file in the format given for database/intermediate files
- Is the code standard throughout the organization
 Enclosed
 Not enclosed because ___________________
File / Table Name
Field
Name
Data Type and Size
Business Definition
9. Validations on inputs and calculations for derived fields :
Kindly list various validations performed on data input and calculations for arriving at the values of
derived fields.
Please note that the information is not going to be further cross validated and
is to be relied on for implementing the CDBMS project.
Signature
:
Name
:
Designation :
Department :
Date
:
Important :
Kindly ensure that all items are filled and necessary enclosures are attached.
For any clarifications/guidance, please feel to call Manoj Kulkarni or Anil
Fernandes on telephone # 8391909 ext 5223
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