Pm-030 Ims Transition and Contingency Plan v2

PM.030 TRANSITION AND CONTINGENCY PLAN

Asian Development Bank

Investment Management System (IMS)

Author: Zynthia N. Potian

Creation Date: 07 July 2009

Last Updated: 15 August 2009

Document Ref: PM.010 Project Management Plan (Charter)

Version: DRAFT 1B

Approvals:

Michael Jordan, TDID Director

Benjamin Lee, TDTS Director

Ronny Budiman, CTAC Director

PM.030 Transition and Contingency Plan 15 August 2009

Document Control

Change Record

3

Date Author Version

Change Reference

07-Jul-09 Zynthia N. Potian Draft 1a

No Previous Document

15-Aug-09

Zynthia N. Potian Draft 1b

Updated Status of completed tasks

Reviewers

Name Position

Ayite Gaba IST Specialist, TDTSAsad Alamgir Treasury Specialist, TDTSSreenivasan Iyer Senir Financial Control Specialist, CTAC-IBRWooi Thuan Ong Head, Business Process Support Unit, OISTToomg San Chan Head, ITPMU, OIST

Distribution

Copy No.

Name Location

1 Library Master Project Library2 Project Manager34

Note To Holders:

If you receive an electronic copy of this document and print it out, please write your name on the equivalent of the cover page, for document control purposes.

If you receive a hard copy of this document, please write your name on the front cover, for document control purposes.

Investment Management System (IMS) File Ref: document.doc (v. DRAFT 1B )

Document Control v

Doc Ref: PM.010 Project Management Plan (Charter)

PM.030 Transition and Contingency Plan 15 August 2009

Contents

Document Control.........................................................................................iii

Detailed Transition Plan................................................................................1

General Tasks..........................................................................................1Detailed Checklist Tasks..........................................................................2

Cutover Contingency Plan...........................................................................12

Contingency Steps.................................................................................12Upon System Availability.......................................................................12

Production Support and First Week Feedback Session..............................14

Transition Support.................................................................................14Issue Reporting......................................................................................14User Feedback Mechanism....................................................................15

Open and Closed Issues for this Deliverable..............................................16

Open Issues............................................................................................16Closed Issues.........................................................................................16

Investment Management System (IMS) File Ref: document.doc (v. DRAFT 1B )

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Doc Ref: PM.010 Project Management Plan (Charter)

15 August 2009

Detailed Transition Plan

This document includes a series of tasks, or checklists, to use during transition of IMS into production. The general checklist is used to plan and estimate the Transition phase. The specific checklist is used to guide the execution of the Transition phase.

General Tasks

Task Description Responsibility Production Cutover Status

Status

Set Up Application in Production Environment

Apply static data modifications and deploy patches and program enhancements in sumprod2513

TDTS-SS, OIST-CCAU, OIST-BPS

Prepare Pre-Production Environment and migrate PAM trades

Download outstanding PAM trades into a secured environment

TDTS-SS, OIST-CCAU, OIST-DBA

07-Aug-2009

Conduct User Learning Events

Conduct refresher training TDTS-SS 21-31-Jul-2009

Perform Acceptance Test

TDTS-SS, TDID, TDTS-SU, TDTS-CCRU, CTAC-IBR, TDTS-SMU, TDFP, RMU

20-31-Jul-2009

Perform Health Check

TDTS-SS, OIST-PMU, TDID, TDTS-SU, TDTS-CCRU, CTAC-IBR, TDTS-SMU, TDFP, RMU

03-07-Aug-2009

Migrate Trades and Bonds and Verify Data

TDTS-SS, TDTS-DMU 30-Jul to 07-Aug-2009

Verify Production Readiness

TDTS-SS, OIST 07-Aug-2009

Begin Production TDID, TDTS-SU, TDTS-CCRU, TDTS-SS, TDTS-DMU, CTAC-IBR, OIST-CCAU

10-Aug-2009

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Detailed Checklist Tasks

Task Group Task Description Responsibility Upload Method

Tool Operating Officer

Checking Officer

Cutover Date

Status

Set Up Application in Production Environment

Admin Implement new Summit license in sumprod2513

TDTS-SS, OIST-CCAU manual Lucille Ayite Gaba Completed

Static data Define company TDTS-SS auto script Ayite Nennette CompletedStatic data Define desk TDTS-SS auto script Ayite Nennette CompletedStatic data Define book with

parent deskTDTS-SS auto script Ayite Nenntete Completed

Static data Define customers linked to be linked to locations

TDTS-SS auto script Ayite Rene Completed

Static data Define location TDTS-SS CompletedDefine System Flags linking company, desk, and book

Completed

Utility Set system date to same date as ADB for OCR, ADF, SPECIAL_FNDS, and TRUST_FUNDS

TDTS-SS auto script Completed

Static data System Flag – enforce analytical hierarchy

TDTS-SS Completed

Static data Define accounting options for each company

TDTS-SS Completed

Utility Roll date for each IMS locations to current system date

TDTS-SS Completed

System Administration

Update Flow Configuration Definition to define STP cash flow projection date

TDTS-SS Completed

Program turnover Deploy ADB Contingent Report

TDTS-SS, OIST-CCAU Completed

Program turnover Apply patch 10 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply patch 11 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply patch 12 TDTS-SS, OIST-CCAU CompletedProgram turnover. Apply patch 13 TDTS-SS, OIST-CCAU 06-Aug-

2009Completed

Program turnover. Apply patch 14 TDTS-SS, OIST-CCAU 06-Aug- Completed


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Checking Officer

Cutover Date

Status

2009System Administration

Define Client Trade List Application

TDTS-SS manual Nennette Completed


Define ADB Contingent Report

TDTS-SS manual Nennette Completed

Program turnover Apply CR-01 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-02 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-03 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-04 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-05 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-07 TDTS-SS 06-Aug-

2009Completed

Program turnover Apply CR-08 TDTS-SS, OIST-CCAU 06-Aug-2009

Program turnover Apply CR-09 TDTS-SS CompletedProgram turnover Apply CR-10 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-11 TDTS-SS 06-Aug-

2009Completed


Completed

Program turnover Apply CR-13 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-14 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-15 TDTS-SS CompletedProgram turnover Apply CR-16 TDTS-SS CompletedProgram turnover Apply CR-17 TDTS-SS, OIST-CCAU No needProgram turnover Apply CR-18 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-19 TDTS-SS, OIST-CCAU CompletedProgram turnover Apply CR-20 TDTS-SS, OIST-CCAU 06-Aug-

2009Completed

Program turnover Apply CR-21 TDTS-SS 06-Aug-2009

Completed


Completed

Program turnover Apply CR-23a TDTS-SS, OIST-CCAU 06-Aug-2009

Completed

Program turnover Apply CR-23b TDTS-SS, OIST-CCAU 06-Aug-2009

Completed


Completed


Completed

Program turnover Deploy modified SAA/BTPS interface

TDTS-SS, OIST-CCAU 04-Aug-2009

Completed

Setup directory for trade ticket in t:\ drive


Modify virtual environment to set variable

OIST-CCAU Completed


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Checking Officer

Cutover Date

Status

TICKETDIR=e:\sumapps\ticket

Program turnover Deploy custom trade ticket


Access Request trade ticket access to TDID staff (RITS)

TDTS-SS Completed

Access Request for server access and mapping to y:\ drive for TDTS-SU staff (RITS)

Completed


Launch Role Administration without SKIP to effect all custom applications

TDTS-SS Completed

Static Data Define traders for IMS in the Employee Codes Definition

TDTS-SS Completed

Define non-OFFICIAL CURVES e.g. BO, ACCTG, FO, etc.

Completed


Define roles TDTS-SS Auto Export/import

Nennette Ayite Completed


Define users with company and trader defaults and curve and filter exclusion

TDTS-SS

Access Map IMS users to database

TDTS-SS, OIST-DBA Completed

Modify EOD schedule and scripts

TDTS-SS, OIST-CCAU

Static Data - Workflow

Update/define entity dynamic setting for SERVERMSG, MM, Repo, QUOTED, INDEX, ACCOUNT, ACCT_EVTS, ACCTSCHEMA, CUSTOMER, CURRENCY, GACCOUNT, ACCT_MAN

Completed


Change STD name of MM to TRADING_AUTHVER

Completed


Change STD_NAME of REPO_TR to REPO_AUTHVER

Completed

Static Data - Change STD name of Completed


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Checking Officer

Cutover Date

Status

Workflow ACCT_MAN to ACCT_AUTHVER

Static Data Define 25 CURRENCIES (check if JPY and IDR are with 0 dec digits)

Completed

Static Data Define/update indexes

Completed

Static Data Define cities CompletedStatic Data Define countries CompletedStatic Data Define currency

pairsCompleted

Static Data Define calendar for the new countries

Completed

Static Data Define generic asset CompletedStatic Data Define default assets

for money marketCompleted

Static Data Define customer classification

Completed

Static Data Upload Customer Classification Definition (CKASSNAME with type RISKRATE)

Completed

Static Data Upload master agreement format

Completed

Static Data Upload master agreement status definition

Completed

Static Data Customer Group entries – entity CUST_GRP

Completed

Static Data Upload issuers CompletedStatic Data Upload brokers CompletedStatic Data Define default

navigation ruleStatic Data Define bank code CompletedStatic Data Add ‘TELEX’ in

carrier definitionCompleted

Static Data Upload customer definitions

Completed

Static Data Upload counterparty SSIs

Completed

Static Data Upload our SSIs CompletedStatic Data Upload security SSIs CompletedStatic Data Upload account

definitionsCompleted

Static Data Upload accounting events

Completed


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Checking Officer

Cutover Date

Status

Static Data Upload accounting schemas

Completed

Static Data Upload default accounting schema

Completed

Static Data Define all filters to be used for acctg driver run

Completed

Prepare Pre-Production Environment and Migrate Trades and Bonds

Refresh sumtst513 database with sumprod2513 DB copy of 1 Jul 2009. This contains 30 Jun 2009 data.

TDTS-SS, OIST-DBA 01-Jul-2009 Completed

Refresh sumtst513 sparse with sumuat513 sparse

TDTS-SS, OIST-CCAU 01-Jul-2009 Completed

Migrate o/s and new PAM trades from start of year to 30 Jun 2009 and Bloomberg bond definitions into sumtst513

01-Jul-2009 Completed

Verify Jun 30, 2009 holdings of migrated data with PAM holdings


Catch-up PAM trades and Bloomberg definitions of Jul 1-15, 2009 into sumtst513


Verify Jul 15, 2009 holdings of migrated data with PAM holdings


Catch-up PAM trades and Bloomberg definitions of Jul 16-31, 2009 into sumtst513


Verify Jul 31, 2009 holdings of migrated data with PAM holdings


Catch-up PAM trades and Bloomberg definitions of Aug 1-

7-Aug-2009 Completed


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Checking Officer

Cutover Date

Status

7, 2009 into sumtst513Verify Aug 7, 2009 holdings of migrated data with PAM holdings

7-Aug-2009 Completed


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Conduct User Learning Events

User Learning Event Conduct Summit refresher training for TDTS-CCRU.


User Learning Event Conduct Summit refresher training for TDTS-CMU.


User Learning Event Conduct Summit refresher training for OAG.


User Learning Event Conduct Summit refresher training for TDFP.


User Learning Event Conduct Summit refresher training for RMU.


User Learning Event Conduct Summit refresher training for TDID.


User Learning Event Conduct Summit refresher training for CTAC-IBR.


Skills Assessment Monitor skills-change progress.

3-5 Aug-2009

Completed


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Perform Acceptance Test

Review responsibilities for the acceptance test with the team.

15-31 Jul-2009

Completed

Refresh imsuat DB and sparse tree with sumuat513 copy.

15-31 Jul-2009

Completed

Use imsuat as acceptance test environment.

15-31 Jul-2009

Completed

Execute the acceptance test script.

15-31 Jul-2009

Completed

Document the test results.

15-31 Jul-2009

Completed

Summarize the test results.

15-31 Jul-2009

Completed

Determine required actions for problem resolution.

15-31 Jul-2009

Completed

Make recommendations for application changes or corrections based on acceptance testing.

15-31 Jul-2009

Completed

Secure acceptance of the acceptance test results.

15-31 Jul-2009

Completed

Perform Health Check

Review document deliverables in Q-gate check list as published in IMS portal.

OIST-PMU 05-Aug-2009

Interview project team.

OIST-PMU, TDTS-SS, TDTS-DMU, TDID, TDTS-SU, CTAC-IBR

05-Aug-2009

Document any concerns including findings and recommendations.


Provide Health Check Report and determine pass or fail certification.



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Migrate , Update, and Verify Data in the Production Environment

. Upload all bond trades from sumtst513 to sumprod2513

TDTS-SS 8-Aug-2009 Completed

Upload all bond definitions from sumtst513 to sumprod2513


Upload all bond prices from sumtst513 to sumprod2513


Upload historical market data.


Verify Aug 7, 2009 holdings of migrated data with PAM holdings


Export/import remaining static data in sumtst513 to sumprod2513


Bulk dispatch MM incep docs – ensure all MM incep docs are dispatched in doc blotter


Run Accounting driver for migrated trades.

OIST-CCAU, TDTS-SS 8-Aug-2009 Completed

Adhoc update EXTRACTFLAG to ‘Y’ and EXTRACTDATE to current system date for dmpostingevents of IMS trades up to 31-Jun-2009.

OIST-DBA, TDTS-SS 10-Aug-2009

Create cdmfund, cdmjournlcat, and cdmtransactcode tables


Completed

Define FMS journal categories


Define IMS transaction codes


Define Summit Oracle GL mapping


Run GL interface for Aug 1-7 trades. Do

OIST-CCAU 08-Aug-2009


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not interface ims.dat to Oracle GL.Load Cash Flow balance of 7 Aug 2009 for each portfolio per ccy.

TDID, TDTS-SS, OIST-DBA

10-Aug-2009

Run Cash Flow Report

TDTS-SS 10-Aug-2009

Completed

Adhoc update Jul 31 cdmbalanace for both IMS and FMS.

CTAC-IBR, TDTS-SS 21-Aug-2009

Verify loaded beginning balance

CTAC-IBR 22-23-Aug-2009

Adhoc update running cdmbalance of Aug by adding Jul 31 balance.

OIST-DBA 24-Aug-2009

Verify Production Readiness

Review the production readiness verification checklist. Refer to Set Up Applications in Production Environment


Completed

Conduct production readiness verification.


Completed

Confirm the production cutover.

TDTS-SS Completed

Prepare the support team.

TDTS-SS Completed

Obtain agreement for the initial production schedule.

Completed

Verify that users are trained.

Completed

Verify commitment and readiness of internal and external support personnel.

Completed

Verify the completion of production environment.

Completed

Confirm senior management commitment via the steering committee.

Completed

Distribute the initial TDTS-SS Completed


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production schedule.Obtain approval for beginning production.

Completed

Update SWIFT routing to ‘ready-to-send’ queue.

TDTS-SWIFT 07-Aug-2009

Completed

Email sumprod2513 passwords to users.

TDTS-SS Completed

Verify if start-of-day batch processes are in place.

07-Aug-2009

Completed

Verify if end-of-day batch processes are in place.

OIST-CCAU, TDTS-SS 10-Aug-2009

Completed

Modify variable of sumprod2513 to include Nostro Balance startup and shutdown script.

OIST-CCAU 10-Aug-2009 (after restart of services)

Completed

Activate Nostro Balance Server in sumprod2513

OIST-CCAU 10-Aug-2009 (after restart of services)

Completed

Request for daily local offiste back-up.

04-Aug-2009

Completed

Submit User Access Review for FMS/IMS to OIST-CCAU

TDTS-SS 07-Aug-2009

Completed

Begin Production

Initiate using the production system.

Completed

Initiate incident/technical issue management procedures.

Completed

Initiate open issues and create a resolution list.

Completed

Initiate support. CompletedConfirm that all components of the production system are operational.

Completed

Declare the new system live.

Completed


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Cutover Contingency Plan

Upon Steering Committee's decision not to go into production, the project team will follow the Cutover Contingency Plan outlined below. Use of the Implementation Contingency plan is a temporary state. It allows the project team to coordinate efforts until resolution of the factors that caused initiation of the plan. IMS project management team will alert the steering committee and all IMS users of the final production date.

Contingency Steps

PAM will continue to operate until end of August for the following reasons:

1. Contingency option in case of a declaration of a process failure of IMS

2. To be able to reconcile IMS month-end closing with PAM (regression parallel process)

The following PAM processes will be form part of the regression parallel process:

1.Bloomberg to PAM gateway

2.Triggering of income generation and maturing trades

3.Manual entry of trades

4.Uploading of FX rates and bond prices

5.Printing of position report.

6.Perform month-end closing

Download operations to IBOS will be removed on cutover date.

Following options maybe decided upon by IMS project team in case of a declaration of a process failure in IMS:

1.Manual procedure

a) Do manual settlements directly to SWIFT

2.Automated procedure

a) Restore previous version of all BTPS programs.

b) Download all PAM transactions that were entered in IMS. Remove manually those that were already settled in IMS. Upload file to IBOS and resume processing for those that have to be settled thru IBOS and BTPS.

Print all trades settled during the contingency period.

Resolve issues in IMS

Wait until IMS project management announces availability of the production system.

Upon System Availability

Verify the system date and begin migrating trades that were processed in PAM/IBOS in IMS.


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trades and missed schedules.

Launch GL interface if the latter has been deployed during IMS cutover date. Let the program update the custom tables and generate the ims.dat but do not interface the latter to Oracle GL.

Submit any changes or updates that require information systems assistance to the IMS Project Manager.

Retain transaction copies for internal audits.

Resume entry of transactions online.


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Production Support and First Week Feedback Session

All IMS support groups, especially OIST and Misys Singapore, our Summit vendor, have been notified of our production status and a dedicated resource will manage the technical assistance requests submitted during the week.

Transition Support

During the Transition phase, the following support groups will be available:

Support Group Contact Person Contact #

Help Desk – Installation of Summit environment

Robert Alejo 5555

SSDMU – Documentation and Dispatch, Reporting Requirements

Ida Agbay 70096

SSDMU – Cash Flow Report and Market Data

Joseph Ochoada 70284

SSDMU – Trade migration and market data

Renato Aguinaldo 4728

SSDMU – Reporting Requirements Ma. Luisa Almadrigo 4745SSDMU – Bond and Customer Definitions

Cecilia Empeno 4770

SSDMU – System administration Nennette Potian 4828SSDMU – Systen administration Ayite Gaba 5002Misys-Summit Erwin Marcelo 70583OIST-Business Process Support - IMS Paul Gokioco 5059OIST Business Process Support - IMS John Reyes 4827OIST Business Process Support - IMS Ofel Caalim 4982OIST Business Process Support – IMS Mary Jane Cruz 4075OIST Business Process Support - Oracle

Ana Abaigar

OIST Business Process Support - BTPS Vicky Narciso 4836OIST DBA – User id unlocking Francis Cruz 4852,

09178881008, 09209099474

OIST DBA – User id unlocking Josephine Legaspi 4885, 3053, 09178881462

OIST CCAU – Application server support

Lucita Baretto 5126

OIST CCAU – Application server support

Anita Gabelo 4844, 09063080874

OIST CCAU – UNIX support Keith Claparols 4977, 09178881260

OIST CCAU – UNIX support Ave Torzar 4181, 3125, 09178884507

OIST Operations Team Lyndon Biona 4965,3133, 09178880121

.


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Issue Reporting

Issues that will arise during the first week of production will have to be relayed to SSDMU group via email.

Priority

SSDMU will categorize the issue and forward to the concerned support group. All issues will be resolved based on their potential impacts to the business operations. Issues preventing fundamental business operations will take precedence over reporting requirement. Issues will be assigned a high, medium, or low priority.

Issues are prioritized based on the following system areas:

1. Database

2. Setup Modifications

3. Transaction Processing

4. Interfaces

5. Reports

6. Questions

User Feedback Mechanism

The project management team will hold feedback sessions at 9:00 am daily for the first production week. Users are encouraged to attend or send a representative with any issues, questions, or comments regarding the new system.


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Open and Closed Issues for this Deliverable

Open Issues

ID Issue Resolution Responsibility Target Date

Impact Date

Closed Issues

ID Issue Resolution Responsibility Target Date

Impact Date


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Pm-030 Ims Transition and Contingency Plan v2

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