# SHAPHARI Certification Portal - REVISED Based on RFP & MoM

**Updated**: December 2, 2025  
**Status**: Final specification incorporating RFP requirements and MoM clarifications

---

## 📌 KEY CLARIFICATIONS FROM RFP & MoM

### Confirmed User Roles (From MoM Q12)
```
1. FOI (Field Officer Incharge)
2. FO (Field Officer)
3. CC Officer (Certification Cell Officer)
4. CC Incharge (Certification Cell Incharge)
5. JD (Joint Director Training & Aquaculture)
6. Director
7. Auditor
+ External Users (Farmer, Hatchery Operator, Processor, Raw Material Supplier)
```
**Total: 8 MPEDA internal roles + 4 external user types**

### Initial Volume (From MoM)
- **30 hatchery applications per year**
- **150 farm applications per year**
- **32 already certified entities to migrate**
- **280 ongoing farm applications to migrate**
- **35 ongoing hatchery applications to migrate**

### Application Processing Rules (From MoM)
```
✅ Applications are ENTITY-WISE, NOT USER-WISE
   → One user can submit multiple applications
   → Each application is for a unique entity (farm/hatchery)

✅ NC Resubmission: ONLY 1 CHANCE
   → If applicant fails to respond on time, can request extension
   → Auditor decides based on response quality

✅ Payment: COMPLETELY ONLINE
   → No offline payments allowed
   → Gateway facilitated by MPEDA
   → Payment fails → Application rejected

✅ Certification Validity: 2 YEARS
   → Not annual renewal
   → Renewal happens before 2-year expiry
```

---

## 🏗️ 4 CORE MODULES (RFP Section 3.2)

### MODULE A: HATCHERY CERTIFICATION (End-to-End)
**Scope**: Complete application to certificate workflow

#### 1. Application Submission (Applicant)
- Hatchery operator fills registration form
- Makes **ONLINE payment** (mandatory)
- Status: `SUBMITTED`

#### 2. Forward to FOI (Auto-assign)
- Based on applicant's jurisdiction (district + state)
- **11 MPEDA regional/sub-regional divisions** → map jurisdiction
- Status: `FORWARDED_TO_FOI`

#### 3. FOI Review + Assign to FO
- FOI reviews application
- Assigns to Field Officer (FO) for field verification
- Status: `ASSIGNED_TO_FO`

#### 4. FO Field Verification
- FO conducts document verification
- FO does field-level inspection
- FO reports back to FOI
- Status: `FO_VERIFICATION_DONE`

#### 5. FOI Recommends to CC
- FOI forwards to Certification Cell (CC)
- Status: `RECOMMENDED_TO_CC`

#### 6. CC Incharge Preliminary Review
- Reviews application
- Assigns to CC Officer for preliminary audit
- Status: `CC_INCHARGE_REVIEW`

#### 7. CC Officer + Auditor Assignment (Preliminary)
- CC Officer assigns to **SINGLE AUDITOR**
- Auditor has **7-day window** to accept/deny
- If denied → reason specified, reassigned
- Status: `AUDITOR_ASSIGNED` or `AUDITOR_DENIED`

#### 8. Auditor On-Site Audit (Preliminary)
- Physical site visit
- **Sample collection** (for lab testing via LIMS API)
- Photo documentation
- Audit report submission
- Status: `AUDIT_IN_PROGRESS` → `REPORT_SUBMITTED`

#### 9. Report Review + NC Check
- CC Officer reviews report
- **If NO NCs**: Proceed to Committee Audit
- **If NCs FOUND**: 
  - Report to applicant (email + SMS)
  - Applicant responds **ONCE ONLY** with evidence
  - Auditor makes final remarks
  - Auto-escalate if time exceeds
  - Status: `NC_RAISED` → `NC_RESPONSE_SUBMITTED` → `NC_RESOLVED/REJECTED`

#### 10. Committee Audit (3 Auditors)
- CC Incharge assigns case to CC Officer
- **Hatchery operator must pay** for committee audit
- Team of **3 auditors (including lead)**
- Physical site visit
- **Sample submission** to LIMS
- Lab results retrieved via LIMS API
- Same NC procedure as preliminary
- Status: `COMMITTEE_AUDIT_IN_PROGRESS` → `COMMITTEE_AUDIT_DONE`

#### 11. Surveillance Audits (4 Required)
- After certification, **4 surveillance audits** required
- Auditor selected **randomly** by CC Incharge
- **Single auditor** (not committee)
- Score > 80: 1 audit/year
- Score ≤ 80: More frequent audits
- Same process as preliminary audit
- Status: `SURVEILLANCE_AUDIT_1` → `SURVEILLANCE_AUDIT_4`

#### 12. Final Review (CC Officer)
- Finalizes application
- Submits to CC Incharge
- Status: `FINAL_REVIEW`

#### 13. JD Approval (Training & Aquaculture)
- Joint Director reviews
- **APPROVAL REQUIRED** for certification
- Status: `PENDING_JD_APPROVAL` → `JD_APPROVED`

#### 14. Director Authorization
- Director final sign-off
- **APPROVAL REQUIRED** for certification
- Status: `PENDING_DIRECTOR_APPROVAL` → `DIRECTOR_APPROVED`

#### 15. Certificate Generation
- **Digitally Signed Certificate** (DSC by MPEDA)
- Certificate number auto-generated
- 2-year validity
- Status: `CERTIFIED` (Active)

#### 16. Post-Certification
- Surveillance audits track compliance
- Can be Suspended or Cancelled by CC Incharge
- Renewal application before 2-year expiry
- Status: `SURVEILLANCE_IN_PROGRESS` → `RENEWAL` or `EXPIRED`

#### 17. Auditor Claims
- After each audit → auditor submits **TA Claim**
  - Travel cost
  - Honorarium
  - Daily allowance
- CC Officer reviews + approves
- Payment recorded + auditor notified
- Status: `CLAIM_SUBMITTED` → `CLAIM_APPROVED` → `PAID`

---

### MODULE B: FARM CERTIFICATION
**Differences from Hatchery**:

#### Pre-filled Application
- Uses **MPEDA Enrolment ID** (mandatory)
- Fetches farm data via **Farm Database API**
- Auto-fills: farm name, location, owner details

#### Audit Types
- **GAP Audit** (instead of Preliminary)
- **Certification Audit** (instead of Committee, but still 3 auditors + lead)
- **Same 4 surveillance audits**

#### Crop Details (6-Monthly)
- After certification → farmer updates crop details every 6 months
- Forwarded to FO via FOI for review
- CC Officer records in file
- Status: `CROP_UPDATE_REQUIRED`

#### Otherwise
- Same workflow as hatchery
- Same NC rules (1 chance only)
- Same audit timelines
- Same JD + Director approval

---

### MODULE C: RAW MATERIAL SUPPLIERS
**Scope**: Entry of procured raw materials from certified farms

#### Functionality
- User access & login (verified with MPEDA registration DB)
- Enter details:
  - **Certified farm info** (lookup/search)
  - **Material type** (species, product)
  - **Quantity & date** purchased
  - **Batch details** (if applicable)
  - **Chain of Custody** info

#### Verification
- Manual verification by CC Officer
- Check certificate validity
- Validate source farm
- Reasonableness check on quantity
- Status: `SUBMITTED` → `VERIFIED` or `REJECTED`

#### Chain of Custody
- End-to-end tracking expected
- Used to verify produce provenance
- Manual validation (not real-time initially)

---

### MODULE D: PROCESSORS/EXPORTERS
**Scope**: Entry of processed materials from certified farms

#### Functionality
- **Must be verified** with MPEDA Registration module
- Login with registered ID + password (like other MPEDA apps)
- Enter processed material details:
  - **Source farm** (must be SHAPHARI certified)
  - **Processing details** (method, date)
  - **Output product** (type, quantity)
  - **Chain of Custody** documentation

#### Verification
- Same as Raw Material suppliers
- CC Officer manual review
- Certificate validity check
- Status tracking

---

## 🔐 AUTHENTICATION & ROLES

### External Users (4 types)
```
1. Hatchery Operator
   - Submit hatchery applications
   - Respond to NCs
   - Upload evidence
   - Track application status
   - View certificates
   - Renew applications
   
2. Farmer
   - Submit farm applications
   - Same as hatchery operator
   - PLUS: Update crop details (6-monthly)
   
3. Raw Material Supplier
   - Log procured materials
   - View certified farms (lookup)
   - Track verification status
   
4. Processor/Exporter
   - Log processed materials
   - Track chain of custody
   - Verify source farms
```

### Internal Users (8 MPEDA roles)
```
1. FOI (Field Officer Incharge)
   - Regional coordinator
   - Manage FO assignments
   - Recommend to CC Incharge
   - Track regional stats
   
2. FO (Field Officer)
   - Document verification
   - Field-level inspection
   - Site report submission
   
3. CC Incharge
   - Manage audit assignments
   - NC tracking & escalation
   - Committee audit setup
   - Final approval/rejection
   - Certificate generation
   - Surveillance audit planning
   
4. CC Officer
   - Preliminary audit assignment
   - Committee audit preparation
   - Auditor payment processing
   - Report review
   
5. Auditor
   - Accept/deny audits (7-day window)
   - Travel plan submission
   - On-site audit form
   - Sample collection
   - Report submission
   - TA claim submission
   
6. JD (Training & Aquaculture)
   - Final certification approval
   - Digital signature on certificates
   
7. Director
   - Executive oversight
   - Final authorization
   
8. Admin
   - User management
   - System configuration
   - Role assignment
   - Report generation
```

---

## 🔌 REQUIRED API INTEGRATIONS (From MoM Q & RFP)

1. **Farm Database API**
   - For farm enrolment ID lookup
   - Auto-fill farm application data
   
2. **Hatchery Database API**
   - For hatchery verification
   - Auto-validation
   
3. **Registration Database API**
   - For processor/exporter verification
   - Login credential validation
   
4. **LIMS Lab Software API**
   - Sample submission
   - Lab test result retrieval
   - Pre-harvest testing results
   
5. **Accounts Module API** (SHAPHARI System)
   - Generate Bank Receipt Vouchers
   - Payment tracking
   - Auditor honorarium calculation
   
6. **Payment Gateway API** (Facilitated by MPEDA)
   - Online payment processing
   - Transaction tracking
   
7. **SMS/Email Notification APIs**
   - Status notifications
   - NC escalations
   - Payment confirmations
   - Approval notifications

---

## 📱 MOBILE APP SPECIFICATIONS (From MoM)

### Mandatory Platforms
- **Android** (native or hybrid)
- **iOS** (native or hybrid)
- **NOT PWA** - native apps required

### Supported User Journeys (Mobile)
- Farmer: Submit app, respond to NCs, update crops, track status
- Hatchery Operator: Submit app, respond to NCs, track status
- Raw Material Supplier: Log materials, verify source, track status
- Processor: Log processed materials, track COC
- Auditor: Accept/deny audits, on-site forms, submit reports, TA claims

### Mobile-Specific Features
- **Offline capability** welcomed
  - Data entry offline (field officers)
  - Sync when online
  
- **Geo-tagging** required
  - GPS location capture for audit sites
  - Photo evidence with location

- **Camera integration**
  - In-app photo capture
  - Evidence documentation

- **Not on mobile app** (web portal only)
  - Certification Cell functions
  - Field Office admin
  - Admin panel

---

## 🗓️ IMPLEMENTATION TIMELINE (From RFP)

```
T+0: Award + Contract Signing (1 week)
T+2: Performance Security + SRS Compilation (5 weeks total from start)
T+5: Layout Design Approval (14 weeks total)
T+14: Hosting in Test Server (15 weeks)
T+15: Security Audit by CERT-In Agency (23 weeks)
T+23: Hosting in Cloud (MeitY/NGC) + SSL (25 weeks)
T+25: Commissioning/Launch (26 weeks)
T+26: Warranty Period (1 year)
     + Maintenance (3 years)
     + Extension possible (2 more years)
```

**Total Development Timeline: 26 weeks (~6 months)**

---

## 💰 PAYMENT SCHEDULE

```
Milestone 1: SRS Approval → 30% of software cost
Milestone 2: Go-Live → 50% of software cost
Milestone 3: 1 Month Post Go-Live → 10% of software cost
Milestone 4: 1 Year Warranty → 10% of software cost

AMC: Quarterly (Year 2-4+)
     At end of quarter based on satisfactory completion
     MPEDA deducts penalties if applicable
```

---

## ⚠️ IMPORTANT REQUIREMENTS FROM RFP

### Security & Compliance
```
✓ Security Audit (CERT-In empanelled) - Developer pays
✓ "Safe to Host" certification required
✓ SSL Certificate (MPEDA facilitates)
✓ Hosted on NGC or MeitY Cloud
✓ Compliance with Government guidelines
✓ All source code delivered to MPEDA
✓ No subcontracting allowed
```

### Service Levels (From RFP)
```
✓ Major Issues: 4-hour response
✓ Minor Issues: 48-hour response
✓ Portal downtime > 1 day: 0.5% liquidated damages/week (max 5%)
✓ Penalty for delays: 0.5% per week of total invoice value
```

### Multi-language Support
- **English** (primary)
- **Hindi** (required per MoM)
- **Telugu** (optional - MoM Q8)

### Notifications
- **SMS** (mandatory)
- **Email** (mandatory)
- Dashboard notifications (implied)

### Public Access
- Certified entity details viewable to public
- Chain of custody details accessible
- Search/lookup functionality expected

### Offline & Sync
- Mobile app offline data entry welcome
- Sync on reconnection
- Data consistency ensured

---

## 📊 EXPECTED DATASET

```
At Launch:
- Already certified: 32 entities (to migrate)
- Ongoing applications: 280 farm + 35 hatchery

Monthly (Initial):
- New applications: 30 hatchery + 150 farm

Audit Load:
- Preliminary: 1 per app
- Committee: 1 per app
- Surveillance: 4 per certified entity per validity period
- Total auditors in pool: TBD (random selection)

Payments:
- Certification fees: Variable per entity size
- Audit fees: Variable
- Auditor TA claims: Per audit
- Honorarium: Per audit per auditor
```

---

## ✅ FORM INPUT COUNT (Refined)

### Hatchery Application Form
- **Step 1 (Entity)**: 15 fields
- **Step 2 (Specs)**: 15 fields
- **Step 3 (Management)**: 9 fields
- **Step 4 (Documents)**: 10 file uploads
- **Step 5 (Payment)**: 7 fields
- **Total**: 56 fields + 10 documents

### Farm Application Form
- **Step 1 (Entity - Pre-filled)**: 8 fields (auto-filled from enrolment DB)
- **Step 2 (Farm Specs)**: 12 fields
- **Step 3 (Crop Details)**: 8 fields (repeatable)
- **Step 4 (Documents)**: 8 file uploads
- **Step 5 (Payment)**: 7 fields
- **Total**: 43 fields + 8 documents

### Auditor On-Site Form
- Pre-audit: 12 fields
- Physical inspection: 50+ checklist items
- Sample collection: Repeatable (5-10 samples)
- Photos: 5-20 mandatory
- Preliminary remarks: Text + score
- **Total**: Complex multi-section form

### NC Response Form
- Read-only NC details (display)
- Corrective action: 2 text areas
- Evidence upload: 2-10 files
- Certification: 2 checkboxes

### TA Claim Form
- Travel breakdown: 6 fields
- Honorarium: 3 fields
- Supporting docs: 3-5 file uploads
- **Total**: 9 fields + 3-5 documents

### Admin User Form
- Add user: 12 fields
- Permissions: 20+ checkboxes
- Bulk import: CSV upload

---

## 🎯 KEY DECISION POINTS

### 1. NC Resubmission
- **ONLY 1 chance** for applicant to respond
- If time exceeds → auto-escalate to CC Incharge
- Extension allowed for hatcheries only (per MoM)

### 2. Auditor Selection
- **RANDOM selection** for audits
- Not by preference or availability
- CC Incharge does selection

### 3. Committee Audit
- **Always 3 auditors** (including 1 lead)
- After preliminary audit for both hatchery & farm
- Payment required by applicant

### 4. Surveillance Audits
- **Always 1 auditor** (not committee)
- 4 required over 2-year validity
- Frequency depends on score

### 5. Approval Hierarchy
- JD approval REQUIRED (not optional)
- Director approval REQUIRED (not optional)
- Both through same system workflow UI

### 6. Certificate Validity
- **2 years** (not 1 year)
- Digitally signed by MPEDA-procured DSC
- Can be suspended/cancelled by CC Incharge

---

## 📝 SUMMARY TABLE

| Aspect | Hatchery | Farm | External |
|--------|----------|------|----------|
| Application | Online form | Auto-fill enrolment ID | N/A |
| Audits | Preliminary + Committee + 4 Surveillance | Gap + Certification + 4 Surveillance | N/A |
| Lab Testing | Required (LIMS API) | Not required | N/A |
| Cert Validity | 2 years | 2 years | N/A |
| NC Chances | 1 only | 1 only | N/A |
| Auditor Type | Single for preliminary | Single for gap | N/A |
| Committee | 3 auditors + lead | 3 auditors + lead | N/A |
| Crop Update | N/A | Every 6 months | N/A |
| Post-Cert | Surveillance only | Surveillance only | N/A |
| Annual Renewal | No (2-year validity) | No (2-year validity) | N/A |

---

## 🚀 NEXT STEPS

1. **Verify all 12 document sections** against RFP + MoM
2. **Confirm API specifications** with MPEDA (during SRS phase)
3. **Design role-based permission matrix** (8 internal + 4 external)
4. **Create detailed workflow diagrams** for each module
5. **Plan database schema** with MPEDA enrolment DB integration
6. **Design mobile UX** for auditors (offline + GPS + camera)
7. **Plan security audit process** (CERT-In empanelled agency)

---

**All specifications aligned with RFP & MoM dated 23-June-2025 & 04-July-2025 Corrigendum**