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
File Ref: document.doc (v. )
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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
File Ref: document.doc (v. )
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Task Group Task Description Responsibility Upload Method
Tool Operating Officer
Checking Officer
Cutover Date
Status
2009System Administration
Define Client Trade List Application
TDTS-SS manual Nennette Completed
System Administration
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
Program turnover Apply CR-12 TDTS-SS, OIST-CCAU 06-Aug-2009
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
Program turnover Apply CR-22 TDTS-SS 06-Aug-2009
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
Program turnover Apply CR-24 TDTS-SS, OIST-CCAU 06-Aug-2009
Completed
Program turnover Apply CR-25 TDTS-SS 06-Aug-2009
Completed
Program turnover Deploy modified SAA/BTPS interface
TDTS-SS, OIST-CCAU 04-Aug-2009
Completed
Setup directory for trade ticket in t:\ drive
TDTS-SS, OIST-CCAU Completed
Modify virtual environment to set variable
OIST-CCAU Completed
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Task Group Task Description Responsibility Upload Method
Tool Operating Officer
Checking Officer
Cutover Date
Status
TICKETDIR=e:\sumapps\ticket
Program turnover Deploy custom trade ticket
TDTS-SS, OIST-CCAU Completed
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
System Administration
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
System Administration
Define roles TDTS-SS Auto Export/import
Nennette Ayite Completed
System Administration
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
Static Data - Workflow
Change STD name of MM to TRADING_AUTHVER
Completed
Static Data - Workflow
Change STD_NAME of REPO_TR to REPO_AUTHVER
Completed
Static Data - Change STD name of Completed
File Ref: document.doc (v. )
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Task Group Task Description Responsibility Upload Method
Tool Operating Officer
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
File Ref: document.doc (v. )
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Task Group Task Description Responsibility Upload Method
Tool Operating Officer
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
01-Jul-2009 Completed
Catch-up PAM trades and Bloomberg definitions of Jul 1-15, 2009 into sumtst513
15-Jul-2009 Completed
Verify Jul 15, 2009 holdings of migrated data with PAM holdings
15-Jul-2009 Completed
Catch-up PAM trades and Bloomberg definitions of Jul 16-31, 2009 into sumtst513
31-Jul-2009 Completed
Verify Jul 31, 2009 holdings of migrated data with PAM holdings
31-Jul-2009 Completed
Catch-up PAM trades and Bloomberg definitions of Aug 1-
7-Aug-2009 Completed
File Ref: document.doc (v. )
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Task Group Task Description Responsibility Upload Method
Tool Operating Officer
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.
21-Jul-2009 Completed
User Learning Event Conduct Summit refresher training for TDTS-CMU.
21-Jul-2009 Completed
User Learning Event Conduct Summit refresher training for OAG.
22-Jul-2009 Completed
User Learning Event Conduct Summit refresher training for TDFP.
22-Jul-2009 Completed
User Learning Event Conduct Summit refresher training for RMU.
29-Jul-2009 Completed
User Learning Event Conduct Summit refresher training for TDID.
31-Jul-2009 Completed
User Learning Event Conduct Summit refresher training for CTAC-IBR.
31-Jul-2009 Completed
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.
OIST-PMU 06-Aug-2009
Provide Health Check Report and determine pass or fail certification.
OIST-PMU 07-Aug-2009
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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
TDTS-SS 8-Aug-2009 Completed
Upload all bond prices from sumtst513 to sumprod2513
TDTS-SS 8-Aug-2009 Completed
Upload historical market data.
TDTS-SS 8-Aug-2009 Completed
Verify Aug 7, 2009 holdings of migrated data with PAM holdings
TDTS-SS 8-Aug-2009 Completed
Export/import remaining static data in sumtst513 to sumprod2513
TDTS-SS 8-Aug-2009 Completed
Bulk dispatch MM incep docs – ensure all MM incep docs are dispatched in doc blotter
TDTS-SS 8-Aug-2009 Completed
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
OIST-DBA, TDTS-SS 05-Aug-2009
Completed
Define FMS journal categories
OIST-DBA, TDTS-SS 05-Aug-2009
Define IMS transaction codes
OIST-DBA, TDTS-SS 05-Aug-2009
Define Summit Oracle GL mapping
OIST-DBA, TDTS-SS 05-Aug-2009
Run GL interface for Aug 1-7 trades. Do
OIST-CCAU 08-Aug-2009
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Migrate , Update, and Verify Data in the Production Environment
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
TDTS-SS, OIST-CCAU 08-Aug-2009
Completed
Conduct production readiness verification.
TDTS-SS, OIST-CCAU 08-Aug-2009
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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Migrate , Update, and Verify Data in the Production Environment
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.
File Ref: document.doc (v. )
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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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