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Oracle FLEXCUBE Implementation Methodology

July, 2010

Safe Harbor Statement

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 Oracles products remains at the sole discretion of Oracle.

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FLEXCUBE Implementation
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

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Implementation Stages
Onsite Pre implementation Implementation
Order Handover (by GSM)
Project Initiation & Startup Implementation Planning Product Shipment

Post implementation
Post-live support
Handover to Support Project Closure

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

Product Delivery / Acknowledgement

FLEXCUBE Deployment
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

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Implementation - Roles and Responsibilities


Oracle
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

Project Stages

Bank
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

Project Kick-Off User Training

Parameter Setup
SIT UAT Migration Go-live

CONFIDENTIAL - ORACLE RESTRICTED

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

Dependencies
Formation of Steering Committee, Change Control Board and Project Team Identification of Project Manager from both OFSS & Bank

Entry Criteria
Signing of Contracts

Exit Criteria
Completion of Project

Deliverables
Periodic Status Reports to the Bank & OFSS Project Plan & Updates to the same OFSS Plan / deliverables Project Management Plan

Product Walk Through / Analysis Phase


Scope
Presenting Standard functionalities of Oracle FLEXCUBE UBS Understanding Banks requirement and functional fitment in Oracle FLEXCUBE UBS Understanding of Migration & Interfacing requirements

Dependencies
Infrastructure Meeting Rooms; Presentation Infrastructure Core team formation Visa / Logistics for all overseas resources

Entry Criteria
Project Kick Off / Start up Agreement of scope and agenda between Bank and OFSS

Exit Criteria
Sign off for fitment and gap document

Deliverables
Final PWT - Fitment Document Customization RS Document Interface RS Document Data Migration High-level, Strategy Document Finalized Hardware and Software Sizing Document

Core User Training


Scope
Deliver Basic application-orientation training on the base version to the Banks Core group

Dependencies
Availability of training infrastructure and resources Formation of Core User team

Entry Criteria
Installation Completion Completion of PWT

Exit Criteria
Completion of Training Basic understanding of Oracle FLEXCUBE functionalities by Core User Team

Deliverables
Training Material which are part of standard software-release

Design-and-Build Phase Customizations / Interfaces


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

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

Entry Criteria
Completion of PWT Phase

Exit Criteria
Delivery of the customized Oracle FLEXCUBE version along with interfaces Sign-off for delivery

Deliverables
Functional Specifications (FS) Document Customized Oracle FLEXCUBE software version along with interfaces User Manuals for the changes / customizations Training Material for the Customizations

Parameterization
Scope
Configuration of the application to suit the business-needs of the Bank

Dependencies
Availability and active involvement of Banks Core team Assumed that Bank will develop target operating model / processes

Entry Criteria
Completion of PWT and CoreUser Training

Exit Criteria
Completion of Configuration of the application

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

Reports
Scope
Deployment, testing and implementing all canned reports Delivery and deployment of specific reports scoped in the proposal

Dependencies
Availability and active involvement of Banks Core team Finalization of Business Rules and Products

Entry Criteria
Complete Parameterization

Exit Criteria
Availability of canned reports in the GOLD COPY environment Readiness of additional reports as per proposal scope

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

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

Dependencies
Access to relevant servers / environments

Entry Criteria
Completion of Parameterization phase Installation / availability of interfaces Completion of a portion of Report Build phase

Exit Criteria
Independent capability of IT team to handle System Administration
Sign off for the technical training

Deliverables
Technical Training Material

Data Migration
Scope
Conversion of data from legacy system to Oracle FLEXCUBE Reconciliation post conversion

Dependencies
Access to relevant servers / environments Access to Bank IT / Legacy Vendor to handle Data Extraction / Clean-up

Entry Criteria
Completion of Configuration phase

Exit Criteria
Successful Data Migration

Deliverables
Mock Conversion utility pack and execution of mock conversion runs Data Extracts for Reconciliation

Base Functional Test / Functional Acceptance Test


Scope
Test of base application to ensure configuration meets business-needs Excludes Interfaces & Customizations

Dependencies
Core team resource availability Environment for test Test Plan readiness

Entry Criteria
Parameterization Completion

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

Deliverables
Support to FAT Execution

System Integration Test (SIT)


Scope
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

Dependencies
Availability of support from all Partner systems / Interfaces

Entry Criteria
Completion of FAT

Exit Criteria
Closure of all critical issues reported during SIT
Mutually agreed plan for closure of open items Raising of enhancements to the CCB

Deliverables
Support creation of Integration test plans Closure of issues as per the agreed exit criteria

User Acceptance Test (UAT)


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

Dependencies
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)

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

Exit Criteria
Closure of all critical issues reported during the UAT Mutually agreed plan for closure of open items

Deliverables
Closure of all errors as per the exit criteria Raising of enhancement requests to CCB Delivery / testing of enhancements

Go-Live Simulation, Final Conversion/Go Live

Scope
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)

Dependencies
Availability of Production Infrastructure Readiness of all partner systems Completion of data verification

Entry Criteria
Completion of UAT phase Successful Simulation Run

Exit Criteria
Successful day of operations and first End of day

Deliverables
Verified Converted Oracle FLEXCUBE database in production environment

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)

Dependencies
Availability of a process / system to track and monitor the production system Availability of suitable support for infrastructure Ability of the Banks team to provide necessary inputs, clarifications to end-users

Exit Criteria Entry Criteria


Go-Live in production environment Successful handover to Production Support team Establishment of Production Support processes

Deliverables
Support handover documentation Action Plan for resolution of open items

FLEXCUBE Deployment
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

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Project Governance Model

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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
Program Tracking
Monthly Steering Committee Weekly Project Management Meetings Project Reviews

Change Management

Status Reporting

Tracking Customer Tracking Project Budget and Billing Deliverables & Acceptance

FLEXCUBE project management structure


Key Responsibilities

Manage overall Program Highlight risks pro-actively & identify mitigation Formal status reporting

PROJECT MANAGER

Data Manage & lead Workstream Familiarize Users Identify Gaps & Suggest workarounds Support the Build

FLEXCUBE
Training

FLEXCUBE
Integration

FLEXCUBE

Infrastructure

System

Management

Migration

support

Interface

Dashboard

Familiarization & Training d Gap analysis

Parameterization Modifications Development Testing Support Go-live support

Design, develop technical & application Support UAT Manage deployment

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Multi-level Interaction
Exec Sponsor

Half Yearly/ Yearly


Project Review, Business Objectives

Exec Sponsor

Relationship Manager

Monthly
Business Objectives, Milestones, Growth Plan, Budgets

IT/ business Heads

Project Manager

Weekly/ Bi- weekly


App Level Plans Project Reviews Budgets

PMO

Project Manager & team leads (Implementation, Integration, Migration) FLEXCUBE Implementation / Migration / Integration teams

Weekly
Deliverables, Status, Issues

IT & Business Managers

Need Basis
Business Details

PMO / Infrastructure team / Users / Testers

OFSS

Bank

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Risks and Mitigation


Work and Schedule Risk
The project management team and support infrastructure common to all project members is not ready Items affecting bank policies, or requiring high level input take a long time to resolve, delaying the project.

Relative Likelihood
High

Potential Impact
High

Prevention/Mitigation Actions
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. 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. Identify decision makers & approvers and keep them actively involved Clearly define escalation process for issues & scope changes Clearly define deliverables supported by templates

Medium

High

Decisions and timelines are missed

Medium

High

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Risks and Mitigation


Scope & Delivery Risk
Scope is unclear

Relative Likelihood
Low

Potential Impact
High

Prevention/Mitigation Actions
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) Establish & adhere to a change control process Follow project plan Challenge change requests CCB to take final decision regarding change request

User requirements change

Medium

High

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Risks and Mitigation

Technology Risk
Data not received as per IF specs Delays in receiving samples Gaps in interface specifications

Relative Likelihood
Medium

Potential Impact
High

Prevention/Mitigation Actions
Establish & adhere to a change control process Clearly define deliverables Revisit user requirements for decision support Clearly identify data owners. Training; Involve key stakeholders of all systems at relevant phase of project Establish and adhere to normal knowledge transfer process with defined objectives, deliverables and firm milestones. Highly scalable system; validate technical environment with system administrators during project

Lack of User team involvement at appropriate stages Lack of inclination for knowledge transfer

Medium Low

Medium High

Volume and Performance

Low

High

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Issue Escalation Hierarchy


Strategic Partnership Directions Business Outcome Issue Resolution Strategic Considerations Business Outcomes Escalation and resolution of unresolved issues

Board/Executive Sponsor Level

Board / Exec Sponsor Level

Steering Committee Level

Strategic Level Communication & Issue Resolution

Program Management Office

Project / Operational Level Communication & Issue Resolution

Day-to-day management of project activities and issue resolution

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FLEXCUBE Deployment
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

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Training Plans (in scope)


Training Delivered Scope Target Audience Core User Group Bank IT

Core Group Training Application Functionality Configuration Technical Training Technical Architecture Report-writing tools Extensibility Security Management Messaging Product Installation End of Cycle operations Back up /recovery process Issue reporting / fix deployment

Operational / Admin Training

Help Desk

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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

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FLEXCUBE Deployment
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

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Project Timeline Proposed


Week PWT Training Parameterization FAT Phase SIT / UAT Phase Data Migration 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

Post Live
Offshore - Phase 1 Offshore - Phase 2

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Staffing Summary - OFSS


Effort
Integration Consultants 12%
Project Manager 11% Technical Lead 11%

Onsite Staff Plan from OFSS Includes OFSS & Partner resources Partner (Bi-lingual) Staff account for 32 % of overall level

Application Tech. Consultants 28%


Business Analysts 29% Migration Consultant 9%

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FLEXCUBE Deployment
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

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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 banks systems is finalized Overlap with / Knowledge Transfer from Implementation team for sitespecific 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 banks concerns (if any) and to discuss areas of improvement.

Support Methodology Defect Resolution Process


User reports a problem Initial Analysis By Banks help desk Environment problem?(DB, Network, Hardware, Third Party Software) Inform appropriate team in the bank / Vendor

Application Issue ? Y Get log files

Log Ticket in i-support. Upload log files/Screen Shots/ Simulation Steps Support team will do Root Cause analysis / Testing and provide a permanent solution

Close ticket in i-support

Emergency? Y Call SPC/Support Desk

Move fix to Production and disaster recovery environments

Support team analyses log files and data. If required, asks for more information.
Emergency

Bank Does a UAT on the software fix provided

Support Provides Immediate Workaround / Data Patch

Fix Working ? 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

FLEXCUBE Deployment
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

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FLEXCUBE Key Features : Security


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
Module

Function

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
Action

Integration with external LDAP for Authentication


Role

Single Sign-on support using Oracle Access Manager Web services Security using Oracle WebServices Manager
User

FLEXCUBE Key Features : Security Audit Trail


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
Transaction Logs

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

Reports
Event Log Audit Trail Report Security Violation Report User Profile Report List of Logged in users

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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

FLEXCUBE Deployment
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

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Other Discussion Topics (General)


Escrow Arrangement Product Licensing

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ESCROW AGREEMENT
All Oracles source code is deposited with Iron Mountain under one Three-Party Master Escrow Service Agreement.

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Licensing
Product and Service Description
Oracle FLEXCUBE Universal Banking Module Oracle FLEXCUBE Universal Banking Base 80 Application Users and 100000 Accounts

Quantity

Corporate Modules Oracle FLEXCUBE Universal Banking Funds Transfer Oracle FLEXCUBE Universal Banking Electronic Messaging Service Oracle FLEXCUBE Universal Banking Bills and Collection Oracle FLEXCUBE Universal Banking Foreign Exchange Oracle FLEXCUBE Universal Banking Money Markets Oracle FLEXCUBE Universal Banking Letters of Credit Oracle FLEXCUBE Universal Banking Nostro Reconciliation

10 Application Users
10 Application Users 10 Application Users 10 Application Users 10 Application Users 10 Application Users 10 Application Users

Oracle FLEXCUBE Universal Banking Securities


Retail Modules 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

10 Application Users
100000 Accounts

Oracle FLEXCUBE Universal Banking Standing Instructions


Oracle FLEXCUBE Universal Banking Branch

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Licensing
Product and Service Description
Oracle FLEXCUBE Interfaces and Tools

Quantity

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 Opening

20000 Accounts

Industry Reference Model Process Pack for FLEXCUBE Universal Banking for Credit Lines

10 Application Users

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Wrap Up & Next Steps