Flexcube implementation methodology

Oracle FLEXCUBE

Implementation Methodology

July, 2010

The following is intended to outline our general product

direction. It is intended for information purposes only, and

may not be incorporated into any contract. It is not a

commitment to deliver any material, code, or functionality,

and should not be relied upon in making purchasing

decisions.

The development, release, and timing of any features or

functionality described for Oracle’s products remains at

the sole discretion of Oracle.

Safe Harbor Statement

© 2010 Oracle Corporation – Proprietary and

Confidential

Methodology Overview

FLEXCUBE Implementation - Scope of Work

Project Governance

Training Plans

Implementation Approaches

Project Timeline & Staffing Plans

Post GO LIVE / Production Support Framework

Control/ Security Features

Other Discussion Topics

3

FLEXCUBE Implementation

© 2010 Oracle Corporation – Proprietary and Confidential

Pre -

implementation

Order Handover (by

GSM)

Project Initiation &

Startup

Implementation

Planning

Product Shipment

Product Delivery /

Acknowledgement

Post -

implementation

Post-live support

Handover to Support

Project Closure

Onsite

Implementation

Onsite Project Kickoff

PWT / Info Study

Product / Software Installation

User Training

Parameterization

Mock Database Conversion / Mapping

UAT (Setup & Support)

Final Conversion

Parallel Run / Live Cut over

Implementation Stages

Solution Overview


Project Governance

Training Plans





5

FLEXCUBE Deployment


CONFIDENTIAL - ORACLE RESTRICTED

Implementation - Roles and Responsibilities

Project Kick-Off

Sign off on Implementation plan

Team Composition

Core user training, parameter set-up training and technical training

Support for report development, parameter setup and end-user training

Support for SIT / UAT

Issue reporting / resolution process

Mock migration:

Conversion environment

Data extraction format

Data upload to FLEXCUBE upload tables

Migration Plan and calendar

Post-live support

Handover to GSupp

• Sign off on Implementation plan

• Finalize Target Operating Model

• Team Composition (Business and

Tech)

• Attend core user training

Participants include project core

users, trainers, operators, DBAs

and sys security admins

• Parameterize

• Manage 3rd party integration/support

through all implementation stages

• Prepare and execute SIT / UAT test

scripts

• Prepare end-user training material

and deliver module and process

training prior to conversion

• Cleanse data prior to migration

• Extract data ; verify migrated data

and reconcile financial data

• Establish support team for pre- &

post-conversion periods

Oracle Bank

User Training

Parameter Setup

SIT

UAT

Migration

Go-live

Project Stages

Project Management

Scope

•Regular tracking of Project Plan for overall progress, dependencies, issues and revisions

•Function as a member of Change Control Board (CCB)

•Participate in Project Status Meetings and preparing Status Reports for Steering Committee and Project Team

Deliverables

•Periodic Status Reports to the Bank & OFSS

•Project Plan & Updates to the same – OFSS Plan / deliverables

•Project Management Plan

Dependencies

•Formation of Steering Committee, Change Control Board and Project Team

•Identification of Project Manager from both OFSS & Bank

Exit Criteria

• Completion of Project

Entry Criteria

• Signing of Contracts

Product Walk Through / Analysis Phase

Scope

•Presenting Standard functionalities of Oracle FLEXCUBE UBS

•Understanding Bank’s requirement and functional fitment in Oracle FLEXCUBE UBS

•Understanding of Migration & Interfacing requirements

Deliverables

•Final PWT - Fitment Document

•Customization RS Document

•Interface RS Document

•Data Migration – High-level, Strategy Document

•Finalized Hardware and Software Sizing Document

Dependencies

•Infrastructure – Meeting Rooms; Presentation Infrastructure

•Core team formation

•Visa / Logistics for all overseas resources

Exit Criteria

• Sign off for fitment and gap document

Entry Criteria

• Project Kick Off / Start up

•Agreement of scope and agenda between Bank and OFSS

Core User Training

Scope

• Deliver Basic application-orientation training on the base version to the Bank’s Core group

Deliverables

•Training Material which are part of standard software-release

Dependencies

•Availability of training infrastructure and resources

•Formation of Core User team

Exit Criteria

• Completion of Training

• Basic understanding of Oracle FLEXCUBE functionalities by Core User Team

Entry Criteria

• Installation Completion

• Completion of PWT

Design-and-Build Phase – Customizations / Interfaces

Scope

•Functional & Technical Design-&-Build of the solution for gaps / interfaces

Deliverables

•Functional Specifications (FS) Document

•Customized Oracle FLEXCUBE software version along with interfaces

•User Manuals for the changes / customizations

•Training Material for the Customizations

Dependencies

•Sign-off on “Functional” Specifications by the Bank

•Availability of OFSS team / resources to deliver the build

•Access to Core team of the Bank for review of documents from OFSS Development teams

Exit Criteria

• Delivery of the customized Oracle FLEXCUBE version along with interfaces

• Sign-off for delivery

Entry Criteria

• Completion of PWT Phase

Parameterization

Scope

•Configuration of the application to suit the business-needs of the Bank

Deliverables

•Support to create and review the document definition of static data & product setup

Dependencies

•Availability and active involvement of Bank’s Core team

•Assumed that Bank will develop target operating model / processes

Exit Criteria

• Completion of Configuration of the application

Entry Criteria

• Completion of PWT and Core-User Training

Reports

Scope

•Deployment, testing and implementing all “canned” reports

•Delivery and deployment of specific reports scoped in the proposal

Deliverables

•“Canned” reports on “as is” basis and support for testing the same

•Delivery of specific reports included in scope

•Delivery of Repository for additional reports

Dependencies

•Availability and active involvement of Bank’s Core team

•Finalization of Business Rules and Products

Exit Criteria

• Availability of “canned” reports in the GOLD COPY environment

• Readiness of additional reports as per proposal scope

Entry Criteria

• Complete Parameterization

Technical Training

Scope

•Data Centre Operations relevant to Oracle FLEXCUBE application

•Oracle FLEXCUBE System Administration – EOC, System monitoring and backup procedures

•Oracle FLEXCUBE Interface setups and preliminary diagnostics

Deliverables

•Technical Training Material

Dependencies

•Access to relevant servers / environments

Exit Criteria

• Independent capability of IT team to handle System Administration

• Sign off for the technical training

Entry Criteria

• Completion of Parameterization phase

• Installation / availability of interfaces

• Completion of a portion of Report Build phase

Data Migration

Scope

•Conversion of data from legacy system to Oracle FLEXCUBE

•Reconciliation post conversion

Deliverables

•Mock Conversion utility pack and execution of mock conversion runs

•Data Extracts for Reconciliation

Dependencies

•Access to relevant servers / environments

•Access to Bank IT / Legacy Vendor to handle Data Extraction / Clean-up

Exit Criteria

• Successful Data Migration

Entry Criteria

• Completion of Configuration phase

Base Functional Test / Functional Acceptance Test

Scope

•Test of base application to ensure configuration meets business-needs

•Excludes Interfaces & Customizations

Deliverables

•Support to FAT Execution

Dependencies

•Core team resource availability

•Environment for test

•Test Plan readiness

Exit Criteria

• Closure of all critical issues reported during FAT

• Mutually agreed plan for closure of open items

• Raising of enhancements to the Change Control Process/Board

Entry Criteria

• Parameterization Completion

System Integration Test (SIT)

•To ensure data flow from various applications to Oracle FELXCUBE and subsequent

essential processing at the destination application and vice versa

•Support Test Plan preparation

•Support SIT Execution

Deliverables

•Support creation of Integration test plans

•Closure of issues as per the agreed exit criteria

•Availability of support from all Partner systems / Interfaces

Exit Criteria

• Closure of all critical issues reported during SIT


• Raising of enhancements to the CCB

Entry Criteria

• Completion of FAT

Scope

Dependencies

•Closure of all errors as per the exit criteria

•Raising of enhancement requests to CCB

•Delivery / testing of enhancements

•Completion of, at least, one round of mock data migration

•Availability of Core team for testing

•Testing Environment (One round of UAT on “Production”-equivalent environment)

•Testing all types of transactions, end-to-end, by the Bank

User Acceptance Test (UAT)

Scope

Deliverables

Dependencies

Exit Criteria

• Closure of all critical issues reported during the UAT


Entry Criteria

• Completion of FAT & SIT phase

• Preparation and review of UAT test pack by Bank

• Completion of mock conversion run & closure of open items

•Support Go-Live simulation and assist with data verification

•Run final conversion and assist with data verification

•Release of system for Go-Live (Deployment into production)

•Verified Converted Oracle FLEXCUBE database in production environment

•Availability of Production Infrastructure

•Readiness of all partner systems

•Completion of data verification

Go-Live Simulation, Final Conversion/Go Live

Scope

Deliverables

Dependencies

Exit Criteria

• Successful day of operations and first End of day

Entry Criteria

• Completion of UAT phase

• Successful Simulation Run

Post-Live Support

Scope

•Post Live Support for the mutually agreed period from the date of Go-Live

•To familiarize first-level helpdesk / Hands-on training

•Transition to Production Support (Global Support)

Deliverables

•Support handover documentation

•Action Plan for resolution of open items

Dependencies

•Availability of a process / system to track and monitor the production system

•Availability of suitable support for infrastructure

•Ability of the Bank’s team to provide necessary inputs, clarifications to end-users

Exit Criteria

• Successful handover to Production Support team

• Establishment of Production Support processes

Entry Criteria

• Go-Live in production environment

Solution Overview


Project Governance

Training Plans





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FLEXCUBE Deployment


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Project Governance Model

• To ensure the project meets all its operational, cost/budget, quality and time-related goals

Project Governance Objectives

Key Objectives

• Continuously assess the progress of the

project throughout the implementation

cycle

• Take corrective actions such as

redirecting resources, reordering

activities, etc

• Effect modifications, where necessary, to

the plan in consultation with the customer

Program Tracking and Reporting

• Rich repository of

program-tracking

methods, scenarios,

and risks mitigation

tools inherent to

Core Banking

implementation

projects

Monthly Steering Committee

Weekly Project Management

Meetings

Status Reporting

Tracking Customer

Deliverables & Acceptance

Tracking Project Budget

and Billing

Change Management

Project Reviews

Program Tracking

Manage overall Program

Highlight risks pro-actively & identify mitigation

Formal status reporting

Manage & lead Work-stream

Familiarize Users

Identify Gaps & Suggest workarounds

Support the Build

Design, develop technical & application

Support UAT

Manage deployment

FLEXCUBE

Integration

• d

Infrastructure

support

FLEXCUBE

Training

FLEXCUBE Data

Migration

System

Interface

Management

Dashboard

Familiarization & Training

Gap analysis

Parameterization Modifications

Development

Testing Support

Go-live support

PROJECT MANAGER

Key Responsibilities

FLEXCUBE project management structure

25© 2010 Oracle Corporation – Proprietary and Confidential

Multi-level Interaction

26

Exec

Sponsor

Relationship Manager

Project Manager

Project Manager & team leads (Implementation, Integration, Migration)

FLEXCUBE Implementation / Migration / Integration teams

Exec

Sponsor

IT/ business Heads

PMO

IT & Business Managers

PMO / Infrastructure team / Users / Testers

Half Yearly/ Yearly

Need

Basis

Weekly

Weekly/ Bi- weekly

Monthly

Business

Details

Deliverables,

Status, Issues

App Level Plans

Project Reviews

Budgets

Business Objectives, Milestones,

Growth Plan, Budgets

Project Review, Business Objectives

OFSS Bank


Work and Schedule RiskRelative

Likelihood

Potential

ImpactPrevention/Mitigation Actions

The project management team and

support infrastructure common to all

project members is not ready

High High This can take a long time unless an effort

is made to make individuals

available and working resources in

advance of the start of the project.

Items affecting bank policies, or requiring

high level input take a long time to

resolve, delaying the project.

Medium High Project Sponsor must make themselves

available and have decision-making

authority on elements of policy, and

able to escalate items for senior

management input efficiently and

obtain commitments on response

time.

Decisions and timelines are missed Medium High Identify decision makers & approvers and

keep them actively involved

Clearly define escalation process for

issues & scope changes

Clearly define deliverables supported by

templates

Risks and Mitigation


Scope & Delivery RiskRelative

Likelihood

Potential

ImpactPrevention/Mitigation Actions

Scope is unclear Low High Use a well defined methodology. Our

implementation Methodology has clear

phases, deliverables, requirements and

controls and can help mitigate this risk

Continually publish assumptions with the project

plan

Trace all requirements back to project context

Start all walkthroughs with declaration of scope

statements (level setting)

User requirements change Medium High Establish & adhere to a change control process

Follow project plan

Challenge change requests

CCB to take final decision regarding change

request



Technology Risk Relative

Likelihood

Potential

Impact

Prevention/Mitigation Actions

Data not received as per IF specs

Delays in receiving samples

Gaps in interface specifications

Medium High Establish & adhere to a change control process

Clearly define deliverables

Revisit user requirements for decision support

Clearly identify data owners.

Lack of User team involvement at

appropriate stages

Medium Medium Training; Involve key stakeholders of all systems

at relevant phase of project

Lack of inclination for knowledge

transfer

Low High Establish and adhere to normal knowledge

transfer process with defined objectives,

deliverables and firm milestones.

Volume and Performance Low High Highly scalable system; validate technical

environment with system administrators

during project



Issue Escalation Hierarchy

Board

/ Exec

Sponsor

Level

Strategic Level

Communication

& Issue Resolution

Project / Operational Level

Communication & Issue Resolution

Board/Executive

Sponsor Level

Program

Management Office

Steering Committee

Level

•Strategic Partnership

Directions

• Business Outcome Issue

Resolution

• Strategic

Considerations

•Business Outcomes

•Escalation and

resolution of unresolved

issues

•Day-to-day

management of project

activities and issue

resolution


Solution Overview


Project Governance

Training Plans





31

FLEXCUBE Deployment


Training Plans (in scope)


Training Delivered Scope Target Audience

Core Group Training Application Functionality

Configuration

Core User Group

Technical Training Technical Architecture

Report-writing tools

Extensibility

Security Management

Messaging

Product Installation

Bank IT

Operational / Admin

Training

End of Cycle operations

Back up /recovery process

Issue reporting / fix deployment

Help Desk

Additional Training Services

Augmentation / repeat of Training

Specialized Training Modules delivery

Customized Training Plans

Evaluation of Training / Assessment services

Mass End-user Training

Bank-specific Training Material Creation

Performance Monitoring / Tuning

* All such additional services can be mutually discussed and offered, though not included in

scope of the original implementation proposal


Solution Overview


Project Governance

Training Plans





34

FLEXCUBE Deployment

Project Timeline – Proposed

35

Week 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44

PWT

Training

Parameterization

FAT Phase

SIT / UAT Phase

Data Migration

Post Live

Offshore - Phase 1

Offshore - Phase 2

36

Staffing Summary - OFSS

Onsite Staff Plan from OFSS

Includes OFSS & Partner resources

Partner (Bi-lingual) Staff account for 32 % of overall level


Project Manager

11%Technical

Lead 11%

Business Analysts

29%

Migration Consultant

9%

Application Tech.

Consultants28%

Integration Consultants

12%

Effort

Solution Overview


Project Governance

Training Plans





37

FLEXCUBE Deployment


Transition to Global Support– Pre-requisites

At least, one EOM should be completed in production

Support handover documentation completion

Bank IT / Helpdesk staff orientation completion

Bank IT should be trained on i-support usage

Bank IT should be comfortable with the patch-application process

Support Methodology – Setup and Handover

Single point of contact (SPC) for the bank is identified

Schema setup done at support center replicating data (masked)

Remote connectivity and access to bank’s systems is finalized

Overlap with / Knowledge Transfer from Implementation team for site-specific processes, customizations, Interfaces and local reporting requirements

Creation of i-support ID and mailing list is completed

Version control for sources is established

Communication is established between bank and support staff

Formal communication and escalation matrix communicated

Support Methodology

Bank uses i-support portal to log issues

In addition to the above, bank calls support SPC for any queries or when a

show stopper is encountered

Fixes are released via i-support

Once a month, a report is sent to the bank outlining the status of all issues

Conference calls are held at a mutually decided frequency to understand

bank’s concerns (if any) and to discuss areas of improvement.

Support Methodology – Defect Resolution Process

User reports a problem

Initial Analysis By

Bank’s help desk

Get log files

Log Ticket in i-support. Upload log files/Screen Shots/

Simulation Steps

Environment

problem?(DB,

Network,

Hardware, Third

Party Software)

Inform appropriate team

in the bank / Vendor

Support team analyses log files and data. If required,

asks for more information.

Application

Issue ?

Emergency?

Support Provides

Immediate Workaround /

Data Patch

Support team will do Root Cause

analysis / Testing and provide a

permanent solution

Bank Does a UAT on the

software fix provided

Fix

Working ?

N

Y

Y

Call SPC/Support Desk

Move fix to Production and disaster

recovery environments

Emergency

Y

Close ticket in i-support

N

N

Support Methodology- Escalation Matrix

Initial Support Provided by SPC and the support team

Level 1 Escalation – Head Regional Support if applicable

Level 2 Escalation – Regional Lead, Global Support

Level 3 Escalation – Head, Global Support and /or Account Manager

Level 4 Escalation – VP, Support Delivery / VP, Customer fulfillment

Support Methodology- Issue Tracking & Management

i-support tool

• Web-based portal available 24x7

• Easy to use

• Centralized repository of Issues

• Ability to upload files (log files, screen shots etc) and receive the

fixes

• Complete history of all issues available anytime required

• Automated e-mail generation as soon as the status of an issue is

modified

• Bank can generate automated reports with issue details

i-support - Event View

i-support - Contact information/ Auto mailing

i-support – Detailed reporting

Solution Overview


Project Governance

Training Plans





47

FLEXCUBE Deployment


• Application Level - Implemented via the Security Management

System ( SMS ) module• “Role-based” access of Screens and different types of operations

• A dual control methodology

• Password policy enforceable at the Organizational level

• User Administration

• Presentation Level - USER ID and Password Management• Encrypted using non reversible double MD5 hash and Encryption using

3DES196-bit Symmetric Private Key

• SSL – 128-bit encryption with HTTPS

• Integration with external LDAP for Authentication

• Single Sign-on support using Oracle Access Manager

• Web services Security using Oracle WebServices Manager

FLEXCUBE Key Features : Security

Module

Function

Action

Role

User

• The system maintains a complete history of every action that each user

performs with it. Each of the transactions history stored in the Database with

details

– Transaction Owner

– Transaction Date and Time

– Transaction Location

– IP Address / Terminal ID

• Adherence to Maker-Checker

• Exceptions allowed (Auto-Authorization)

• Optional Re-key field configurations

• Specific approval of overrides by Supervisor

• Versioning (Pre/Post images)

• Available online for specific functions

• Available through Reports for all functions

Transaction Logs

FLEXCUBE Key Features : Security Audit

Trail

Reports

Event Log

Audit Trail Report

Security Violation Report

User Profile Report

List of Logged in users

50

Application Security

Access Control

Data Protection and Data Privacy

Audit Trail

Application

Security

User Profile Definition- Access Control Rights

Data Protection and Data Privacy

Branch Restrictions

Product Restrictions

Currency Restrictions

GL Direct Posting Restrictions

Transaction Limits

Audit Trail

Audit Trail

A complete event log of all actions performed on the system

by each user, is maintained

Whenever a record is added, edited or deleted, the user ID of

the input user, authorizer along with the date and time stamp

is maintained.

Every user activity viz. Login, Logout, Password change, etc.

logged in an SMS log

Every security violation viz. invalid login attempt, invalid

password change attempts etc. logged in a Violation log

Regular user activities like access to specific functions are

logged

Solution Overview


Project Governance

Training Plans





55

FLEXCUBE Deployment


Other Discussion Topics (General)

Escrow Arrangement

Product Licensing


ESCROW AGREEMENT

All Oracle’s source code is deposited with Iron

Mountain under one Three-Party Master Escrow

Service Agreement.

57

Licensing

58

Product and Service Description Quantity

Oracle FLEXCUBE Universal Banking Module

Oracle FLEXCUBE Universal Banking Base80 Application Users and 100000

Accounts

Corporate Modules

Oracle FLEXCUBE Universal Banking Funds Transfer 10 Application Users

Oracle FLEXCUBE Universal Banking Electronic Messaging Service 10 Application Users

Oracle FLEXCUBE Universal Banking Bills and Collection 10 Application Users

Oracle FLEXCUBE Universal Banking Foreign Exchange 10 Application Users

Oracle FLEXCUBE Universal Banking Money Markets 10 Application Users

Oracle FLEXCUBE Universal Banking Letters of Credit 10 Application Users

Oracle FLEXCUBE Universal Banking Nostro Reconciliation 10 Application Users

Oracle FLEXCUBE Universal Banking Securities 10 Application Users

Retail Modules 100000 Accounts

Oracle FLEXCUBE Universal Banking Current Accounts and Savings Accounts

Oracle FLEXCUBE Universal Banking Term Deposits

Oracle FLEXCUBE Universal Banking Retail and Small and Medium Enterprise

Loans

Oracle FLEXCUBE Universal Banking Payments & Collections

Oracle FLEXCUBE Universal Banking Standing Instructions

Oracle FLEXCUBE Universal Banking Branch



Oracle FLEXCUBE Interfaces and Tools

Oracle FLEXCUBE Integration Gateway 10 Application Users

Oracle FLEXCUBE Universal Banking Process Integration Packs

Industry Reference Model Process Pack for FLEXCUBE Universal Banking for

Account Opening20000 Accounts

Industry Reference Model Process Pack for FLEXCUBE Universal Banking for

Credit Lines10 Application Users

Licensing

Product and Service Description Quantity

Wrap Up & Next Steps

Flexcube implementation methodology

Documents

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