flexcube implementation methodology
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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
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
5
FLEXCUBE Deployment
© 2010 Oracle Corporation – Proprietary and Confidential
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
• Mutually agreed plan for closure of open items
• 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
• Mutually agreed plan for closure of open items
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
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
21
FLEXCUBE Deployment
© 2010 Oracle Corporation – Proprietary and Confidential
<Insert Picture Here>
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
© 2010 Oracle Corporation – Proprietary and Confidential
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
27© 2010 Oracle Corporation – Proprietary and Confidential
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
Risks and Mitigation
28© 2010 Oracle Corporation – Proprietary and Confidential
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
Risks and Mitigation
29© 2010 Oracle Corporation – Proprietary and Confidential
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
30© 2010 Oracle Corporation – Proprietary and Confidential
Solution Overview
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
31
FLEXCUBE Deployment
© 2010 Oracle Corporation – Proprietary and Confidential
Training Plans (in scope)
32© 2010 Oracle Corporation – Proprietary and Confidential
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
33© 2010 Oracle Corporation – Proprietary and Confidential
Solution Overview
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
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
© 2010 Oracle Corporation – Proprietary and Confidential
Project Manager
11%Technical
Lead 11%
Business Analysts
29%
Migration Consultant
9%
Application Tech.
Consultants28%
Integration Consultants
12%
Effort
Solution Overview
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
37
FLEXCUBE Deployment
© 2010 Oracle Corporation – Proprietary and Confidential
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
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
47
FLEXCUBE Deployment
© 2010 Oracle Corporation – Proprietary and Confidential
• 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
FLEXCUBE Implementation - Scope of Work
Project Governance
Training Plans
Project Timeline & Staffing Plans
Post GO LIVE / Production Support Framework
Control/ Security Features
Other Discussion Topics
55
FLEXCUBE Deployment
© 2010 Oracle Corporation – Proprietary and Confidential
Other Discussion Topics (General)
Escrow Arrangement
Product Licensing
56© 2010 Oracle Corporation – Proprietary and Confidential
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
© 2010 Oracle Corporation – Proprietary and Confidential
59© 2010 Oracle Corporation – Proprietary and Confidential
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
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