11. Post Implementation Review

Business entities who have implemented the Oracle FLEXCUBE and have gone live are recommended to conduct a post implementation review along with Oracle Financial Services Quality Assurance Group (QAG) team, to ensure that all the components in implementing the new system have been followed. The review process aims to provide bank management and Oracle Financial Services a framework to improve future implementation.

This chapter contains the following sections

• Section 11.1, "Overview"
• Section 11.2, "Post Implementation Review Guidelines"

11.1 Overview

The post implementation review section describes the guidelines and criteria to be used in a post implementation review, which will be conducted by a team of bank personnel along with the QAG team from Oracle Financial Services . The thrust of this review is to ensure that the implementation process, as defined in the Implementation Manual has been followed, audit/control issues have been adhered to, and how the next implementation can be improved. Relevant feedback from this review will be incorporated into the Implementation Manual.

The review will focus on the methodology used in implementing Oracle FLEXCUBE, mapping actual facts against planned activities and potential risks such as:

• Security and Control
• Database Integrity
• Training
• Conversion
• Parallel Run
• Live Operations

The review process should be conducted by the following personnel from the bank and the QAG team from Oracle Financial Services (formerly i-flex) :

• Senior Branch Operations Manager
• Processing Department Heads
• Internal Control Unit staff
• Financial Control Staff
• Data Center Supervisor or Data Center Manager
• Credit Department Staff
• QAG team from Oracle Financial Services (formerly i-flex)

11.2 Post Implementation Review Guidelines

Deviations

For any deviations identified, ensure that the deviations been:

• Approved by the business unit head
• Concurred with the Audit division

This section contains the following topics

• Section 11.2.1, "System Environment"
• Section 11.2.2, "System Administration Issues"

11.2.1 System Environment

Main and Back-up systems

• Are both systems in sync?
• Do both systems have proper access controls on all directories?
• Is any system found with Software without licenses?
• Is Anti PC Virus kit installed on both systems?
• Is the branch satisfied with system performance?
• Is there a need for H/W Enhancement to improve system performance?

Project Management

During the implementation, have the following activities taken place:

• Regular Status reporting
• Minutes of management review meeting documented
• Approval and acceptance by business unit head for deliverables

Controls

The following need to be completed and implemented:

• Contingency Plan. Staff at the bank should be aware of contingency procedures, reports to be used in system is not available for more than a day due to Hardware or Software problems.
• Data Center Flow charts for daily, monthly and surprise basis verification of controls.
• Input and authorization of database changes and items verified by Internal Control Unit regularly
• Procedures on Statement Mailing have been finalized and are being followed
• Various Oracle FLEXCUBE Reports are checked regularly and are fully understood by the users
• Control checks on advices are done regularly
• Software Release Control procedures have been finalized
• Internal Control Unit s knowledge on controls on implementing new releases and controls needed is good
• Release Controls procedures have been implemented
• Support procedures have been finalized
• Support trial run has been conducted.
• Support trial run has been signed-off.
• Is Oracle Financial Services able to provide support to branch in case of emergency via remote access?
• Is branch able to contact Oracle Financial Services via telephone, FAX or modem, to provide support in case of emergency?
• Authorizer for each area for each product has been identified?
• Control check on Password file is done regularly.
• File retention periods have been finalized and documented.
• People are well trained on PC viruses and prevention, and containment procedures are in place.

Is Internal Control Unit department aware of maintaining separation of duties on system and Oracle FLEXCUBE SMS:

• Assigning passwords on the system
• System Ids.
• Review of Protocol list.
• Review of System Security Audit Trail.
• Review of reasons and procedure to go on supervisor mode.
• Getting the checksums of software release and independent review of program on system.

Database Set-up

During the branch static database set-up check, that the following procedures have been followed:

• Database Design signed off
• Data Conversion/ input strategy or plan approved and signed off
• Database set-up is done in the proper controlled Environment
• Database set-up sign-off is obtained

Oracle FLEXCUBE Software

During the implementation if the software has been modified either due to a bug or changed requirements, check that the following procedures have been followed:

• Test Incident logs and Software Fault Reports are maintained.
• Software modification is done in separate development area.
• The proper software modification procedures have been followed.
• The modification sign-off has been obtained from users.
• Any software modification or enhancement is required due to changed requirement yet to be completed by Oracle Financial Services (formerly i-flex)
• Follow-up action has been suggested.

System Trial Run

• The branch users need to do the system trial run before actual financial conversion.
• System Trial run plan is to be prepared.
• System Trial run results are to be documented.
• System Trial run sign-off has been obtained.

Stationery

• Tickets, Advices, Drafts, Reports, and Manager Checks have been printed.
• People who are familiar with concerned procedures to use above stationery.

Workflow

• The users are to be aware of operational procedures.
• The users are to be aware of parameter set-up and maintenance.
• Work flow relating to Oracle FLEXCUBE operations is in place.

Audit Issues

• The System Documentation is to be provided to the branch.
• The Project documentation has to be filed.
• The formal Oracle FLEXCUBE System handover note has to be given to the branch management.
• The formal Oracle FLEXCUBE delivery document has to be given to the branch management.
• The support procedures are clearly defined.
• Oracle FLEXCUBE system and implementation sign-off has to be obtained from the branch.

Check that Training has been completed for the following:

• Operations users
• Data Center Operators
• System Administrator
• Control Department users

11.2.2 System Administration Issues

Oracle FLEXCUBE Environment

• The administrator must be familiar with the complete system hardware structure
• The administrator must know how to move the equipment from one place to another.
• The administrator must be familiar with basic environment settings REGEDIT etc.

System Environment

• The administrator must be familiar with defining system users assigning trustee rights.
• The administrator must understand completely the volume separation and contents of each of them.
• The administrator must be familiar with the concepts of tablespaces, volumes, instances.
• The administrator must be familiar with the concepts of directories, sub-directories and file attributes.

Support Environment

• The support procedures are to be clearly defined.
• The administrator must know whom to contact in case of trouble (phone numbers, names, chat numbers).
• In case the administrator receives an urgent program modification, he must know how to apply it and what rules to follow.

Releases

• Are all the release procedures well defined and understood by the administrator?
• Does the administrator know the procedure to install the new software release on the production machine