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Future Process Model

AIM
FUTURE PROCESS MODEL
CLIENT
Deal Entry to Settlement
- Treasury

Author: Consultant
Creation Date: May 11, 2004
Last Updated: July 26, 2004
Document Ref: FSI/300100879/BP080/Issue1.2
Version: Issue 1

Reviewed and Accepted By: Date:

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File Ref: 90959095.doc (v. Issue 1
Future Process Model

Document Control

Change Record
1

Date Author Versio Change Reference


n

15-May- Consultant Draft


04 1a
27-May- Consultant Draft After review and suggestion by Deloitte
04 1b Consulting.
03-Jun-04 Consultant Draft Added manange Bonds and stock; edited in
1c reference to Deloittes Consulting review.
04-Jun-04 Consultant Draft Merged BR30 Gap analysia
1c
26-Jul-04 Consultant Issue1. Updated Cash Positioning Report Customization
2 requirement.

Reviewers

Name Position
1.

2.
3.
4.
5.
6.

Distribution

Copy Name Location


No.

1 Library Master Project Library


2
3
4
5
6

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.

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Future Process Model

Contents

Document Control..................................................................................2
Introduction...........................................................................................4
Purpose ...........................................................................................4
Scope and Application......................................................................4
Abbreviations...................................................................................4
Assumptions.....................................................................................4
Treasury Event Catalog..........................................................................1
Treasury Business Functions.............................................................1
Process Listing and Process Descriptions................................................2
XTR001 Enter Deals: Fixed Deposits Short Term Money.................2
Process Flow Diagrams Enter Deals: Fixed Deposits and Short Term
Money ...................................................................................................3
XTR002 Enter Placements..............................................................4
Process Flow Diagrams Enter Placements............................................6
XTR003 Enter Rollovers .................................................................6
Process Flow Diagrams Enter Rollovers................................................8
XTR004 Enter Withdrawals.............................................................9
Process Flow Diagrams Enter Withdrawals.........................................10
XTR005 Enter Inter Account Transfer............................................11
Process Flow Diagrams Enter Inter Account Transfer..........................12
XTR006 Generate Journal Entry....................................................13
Process Flow Diagrams Generate Journal Entries................................14
XTR007 Enter Exposure Transaction for Interest Adjustment.........15
Process Flow Diagrams Enter Exposure Transaction for Interest
Adjustment..........................................................................................16
XTR008 Manage Bonds.................................................................17
Process Flow Diagrams Manage Bonds...............................................19
XTR009 Manage Stocks.................................................................19
Process Flow Diagrams Manage Stocks..............................................21
Gap Analysis........................................................................................22
Open and Closed Issues for this Deliverable.........................................25
Open Issues....................................................................................25
Closed Issues..................................................................................25

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Future Process Model

Introduction

Purpose
The purpose of this document is to illustrate the Future Process Models
for Treasury Capturing Al-Mudharabah fixed deposits. These
processes describe the accounting related process using the Oracle
Treasury (XTR) application to meet the functional requirements of
Investment & Treasury Department. The major focus of this document
is to center on common accounting processes, transactions and steps
associated with each process.

Scope and Application


Each business function contains the following sections:
Event Catalog: lists the events associated with Treasury
business processes conducted by the Treasury Department
Process Listing and Descriptions: For every event, there is a
process, which is executed to resolve the event.
Process Flow Diagram: This section of the document lists the
steps associated with each process.
Abbreviations
GIAGeneral Investment Account
XTR Oracle Treasury
HQ Head Quarter
TN Takaful Nasional

Assumptions
The following assumptions are being made:
1. The proposed solution is based on mapping requirement from the TN
Print. It has been edited to best fit into Oracle Business Flow for
Treasury module.
2. The proposed solution enables TN to capture Al-Mudharabah
deposits, Stocks, and Bonds in the future.
3. This document serves as a high level Future Business Model, it is not
intended to be used as an operation manual.
4. Payment report for inter-account transfer is sent directly to the
respective bank. It will not be coursed through Account Payables.
5. Upon bank reconciliation in Cash Management, Debit amount will be
reconciled to treasury transaction through open interface.

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Treasury Event Catalog
This component lists all events to which the business responds.

Treasury Business Functions

Event ID Name Type Description Frequency

XTR001 Enter Deals: Short Term Internal Initial flow to Al-Muharabah entry As required / Daily
Money Fixed Deposits
XTR002 Enter Placements Internal Entering New Placements Business As required / Daily
flow

XTR003 Enter Rollovers Internal Entering Rollovers Placement of As required / Daily


Existing Placement Business flow
XTR004 Enter Withdrawals Internal Entering Withdrawals of existing As required / Daily
Placement Business flow
XTR005 Enter Inter Account Transfer Internal Entering Inter Account Transfer As required / Daily
Business Flow
XTR006 Generate Journal Entry Internal Entering Journal Entries for GL As required / Daily
Business Flow
XTR007 Enter Exposure Transaction Internal Entering Exposure Transaction for As required / Daily
for Interest Adjustment Interest Adjustment on existing
placement Business flow
XTR008 Manage Bonds Internal Entering Bonds Business flow As required / Daily

XTR009 Manage Stocks Internal Entering Stocks Business flow As required / Daily

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Process Listing and Process Descriptions

XTR001 Enter Deals: Fixed Deposits Short Term Money

ub-process Sub-process Name Description of Sub-process Output

F503 Daily Cash The Daily Cash Position Report is required daily This is identified as a
Position Report to access how much fund is available for TN. customization requirement.
(Cash Management) The bank account balances is obtained from Please refer to Gap Analysis. XTR-
Oracle Cash Management G003
XTR102 Maturities The Maturities Schedule can be produce by
Schedule submitting standard Oracle reports in
Treasury. The reports can be viewed on the
screen or printed as a hard copy.
XTR103 GIA Reciprocal? When entering a placement, TN would decide
if its is a GIA Reciprocal deal placement
XTR104 Marketing Decides If it is a GIA-Reciprocal Placement, TN
Marketing would make decision on FD
placement.
XTR105 GIA Indicative Rate If it is a GIA Normal Placement, TN would
obtain the highest possible indicative rates
from the Financial Institution corporate
website.
XTR106 New Placement? If it is New Placement, follow the New
Placement business flow. Please refer to
XTR002
XTR107 Rollover? If it is a Rollover, follow the Rollover business
flow (XTR003); else follow the Withdrawal
business flow (XTR004).

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Process Flow Diagrams Enter Deals: Fixed DepositsandShort Term Money

F503-Daily Cash 105 -GIA


103-GIA No Indicative
Start Position Report 102-Maturities
(Cash Reciprocal? Rate
Schedule
Management)

Obtain GIA
Optional Indicative rates
Customization Generate and and select the
Report Review Maturities Yes highest rate
Schedule

104 -GIA
Indicative
Rate

For GIA Reciprocal, Marketing makes


FD placement decisions

No No
106 - New Placement? 107 -Rollover? C

Yes Yes
Enterprise
Roles
Treasury User
A B
Marketing User

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XTR002 Enter Placements

ub-process Sub-process Name Description of Sub-process Output

XTR201 Liaise with Financial Fund manager would correspond with Financial Institute
Institute about representative regarding placement details. This
placement details represent the initial call to the Financial Institution to
confirm on rates offered or advertised by them.
XTR202 Enter Details in Oracle Once information is obtained, the placement can be
Treasury recorded in Oracle Treasury. Enter Al-Mudharabah
deposits as Short Term Money Deal.
XTR203 Validate the Data Entry The placement entered requires validation. This enables
in TN to ensure all deals are captured correctly.
Oracle Treasury

XTR204 Generate the Placement Generate the Placement Request Form from Oracle
Requisition Form Treasury. The form is required as an initial appoval from
management to authrorize any placement.

XTR205 Approve Placement? The Placement Requisition Form would be routed


manually to the respective managers for approval.

XTR206 Cancel the Deal In If the placement is rejected, update Oracle Treasury to
Oracle Treasury record the rejection.

XTR207 Generate & Route Once approved, the Placement Letter is generated from
Placement Letter For Oracle Treasury and routed manually for approval. This
Signature represents the official placement form for correspondence
with financial institutions.

XTR208 Enter Inter Account If necessary, enter Inter Account transfer for cash
Transfer placement. Refer to XTR005.

XTR209 Call and Fax to Financial Call Financial Institution to confirm placement and fax the
Institute the Placement authorized Placement Letter to Financial Institution for
Letter placement confirmation.

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ub-process Sub-process Name Description of Sub-process Output

XTR210 Authorize the Authorize the Settlement of the placement in Oracle


Settlement of the Treasury.
Placement

XTR211 Obtain Certificate from Obtain the placement certificate from the Financial
Financial Institute Institution

XTR212 Generate and Print Generate Placement listing reports from Oracle Treasury
Reports for filing.

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Process Flow Diagrams Enter Placements
XTR003EnterRollovers
201 -Liaise with 202-Enter Details 203- Validate the 204 -Generate the
Sub-
A Financial Institute
Sub-process Name In Oracle
Description of Sub-process Output
Data Entry in Placement
about placement Treasury
process ID Oracle Treasury Requisition Form
details
XTR301 Liaise with Financial Fund manager would correspond with Financial Institute
Institute representative regarding placement details. This represent the
About Rollover Details initial call to the Financial Institution to confirm on rates on
rollover.
XTR302 Enter Rollover in Renegotiate the repayment amount and interest settlement in
Oracle Treasury Oracle Treasury for the Rollover Placement. Decide if the
interest would be compounded or withdrawn from the principal
205-Approve Yes 207 Generate &
amount. 208-isEnter
Oracle Treasury able to accommodate full or partial
Placement? Route Placement Interinterest
Account amount. D
rollovers of principal and
Letter For Signature Transfer
XTR303 Validate the Data Entry The Rollover placement entered requires validation. This
in enables TN to ensure all deals are captured correctly.
Oracle Treasury Enter inter account
No transfer in Oracle
XTR304 Generate the Letter of Generate the Placement Request
Treasury if Form from Oracle Treasury.
Requisition form The form is required asinsufficient
an initialfunds
appoval from management to
authrorize any placement.
206 - Cancel the
XTR305
Deal In Oracle Approve Placement? The Placement Requisition Form would be routed manually to
209 Call and Fax 210 - Authorize the 211-Obtain
Treasury the respective managers for approval.
To Financial Certificate from
Settlement of the
Institute the Placement Financial
XTR306 Cancel the Deal In If the placement is rejected, update Oracle Treasury to record
Placement Letter Institute
Oracle Treasury the rejection.

XTR307 Generate the Letter of Renewal Letter is generated from Oracle Treasury and routed
Renewal & Route for manually for approval.
END Approval

212- Generate Enterprise


XTR308 Call and Fax Letter of Call Financial Institution to confirm
E placemnent and Roles
fax the
And Print
Renewal and authorized Letter
Reports of Renewal to Financial Institution for User
Treasury
Return Old Certificate placement confirmation. Return the Old Certificate if
necessary. Treasury Super
User

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Sub- Sub-process Name Description of Sub-process Output
process ID

XTR309 Generate and Print Generate Placement listing reports from Oracle Treasury for
Reports filing.

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Process Flow Diagrams Enter Rollovers

301 -Liaise with 304 - Generate the


302-Enter 303- Validate the
Financial Institute Letter of Renewal
B Rollover in Data Entry in
About Rollover Requisition Form
Oracle Treasury Oracle Treasury
Details

307 - Generate the 308 Call Financial 309- Generate


305-Approve Yes Letter of Renewal Institute and Fax
Placement? And Print
& Route for Letter of Renewal Reports
Approval and Return Old
Certificate

No

306 - Cancel the E


Deal In Oracle
Treasury

Enterprise Roles
END
Treasury User

Treasury Super
User

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XTR004 Enter Withdrawals

ub-process Sub-process Name Description of Sub-process Output

XTR401 Liaise with Financial Fund manager would correspond with Financial Institute
Institute About representative regarding Withdrawal details if necessary.
Withdrawal Details
(Optional)

XTR402 Renegotiate Update the Placement for Withdrawal in Oracle Treasury by


Withdrawal in Oracle performing a renegotiation.
Treasury

XTR403 Validate the Data Entry The Withdrawal entered requires validation. This enables TN to
in Oracle Treasury ensure all deals are captured correctly.

XTR404 Generate the Letter of Withdrawal Letter is generated from Oracle Treasury and routed
Withdrawal & Route for manually for approval.
Approval

XTR405 Fax Letter of Fax the authorized Letter of Withdrawal to Financial Institution
Withdrawal and Return for withdrawal confirmation. Return the Old Certificate if
Old Certificate necessary.

XTR406 Authorize the The settlement of the Interest and Principal would be authorized
Settlement of the in Oracle Treasury.
Interest and Principal
in Oracle Treasury

XTR407 Generate and Print Generate Withdrawal listing reports from Oracle Treasury for
Reports filing.

XTR408 Adjust Interest Rate? If necessary, adjust interest rate (indicative rate different from
actual rate) by using Exposure transactions.

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Process Flow Diagrams Enter Withdrawals

401-Liaise with 404-Generate the


402-Renegotiate 403-Validate the
Financial Institute Letter of Withdrawal
C Withdrawal in Data Entry in
About Withdrawal & Route for
Oracle Treasury Oracle Treasury
Details Approval

Principal repayment
amount and
interest settlement

405-Fax Letter of 406 -Authorize the


Withdrawal and Settlement of the
Return Old Interest and Principal
Certificate in Oracle Treasury

407 - Generate No
408 - Adjust
and Print Interest E
Reports Rate?

Yes
Enterprise Roles

Treasury User
F
Treasury Super
User

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XTR005 Enter Inter Account Transfer

ub-process Sub-process Name Description of Sub-process Output

XTR501 Enter Inter Account Enter Inter Account Transfer to transfer funds between
Transfer in the System accounts in Oracle Treasury. Example, transfer fund from
BMMB Bank to May Bank for investment.
XTR502 Authorize Settlement of Authorize the settlement of Inter Account transfer in
Inter Account Transfer in Oracle Treasury
Oracle Treasury

XTR503 Generate Payment Payment Script or Report can be generated from Oracle
Script Treasury as instruction to finance or banks
Or Report

XTR504 Obtain Approval of the Payment Report is routed manually for approval
Payment Report

XTR505 Send Payment Report to Payment report is sent manually to bank


Bank

XTR506 Generate and Print Generate Settlement listing reports from Oracle Treasury
Reports for filing.

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Process Flow Diagrams Enter Inter Account Transfer
502-Authorize
Settlement of 504 -Obtain
501-Enter Inter 503- Generate
D Inter Account Approval of
Account Transfer Payment Script
Transfer in Or Report
The Payment
in the System Report
Oracle Treasury

Customization Report

505 Send 506 - Generate


Payment Report and Print E
To Bank Reports

Enterprise Roles

Treasury User

Treasury Super
User

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XTR006 Generate Journal Entry

ub-process Sub-process Name Description of Sub-process Output

XTR601 Generate and Generate and Authorize Batch Accruals in Oracle


Authorize Treasury.
Batch Accruals

XTR602 Generate Journal Generate Journal Entries for the authorized batch accruals
Entries for Batch and non accruals. Accrual includes estimated expenses
Accruals and and income. Non-accrual includes cash flow related item
Non-Accruals
from settlement authorization.
XTR603 Review Journal Review the generated Journal Entries online
Entries

XTR604 GL Code or Journal Date Decide if Journal Entries are correct or require correction.
Adjustment?

XTR605 Update Journal Entries Update Journal dates or Journal Accounts before transfer
to GL
XTR606 Transfer Journal Entries Transfer the reviewed Journal entries to General Ledger.
to GL

XTR607 Period End GL Generate Journal Entry listing reports from Oracle General
Procedures Ledger for filing.

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Process Flow Diagrams Generate Journal Entries
602-Generate Journal
601 -Generate and 603-Review
Entries for Batch
E Authorize Journal
Accruals and
Batch Accruals Entries
Non-Accruals

606-
604 -Adjust No Transfer Journal 607-
GL Code Entries to GL Period End GL END
or Journal Procedures
Date?

Yes

605-Update
Journal
Entries

Enterprise Roles

Treasury User

Treasury Super
User

Finance Super
User

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XTR007 Enter Exposure Transaction for Interest Adjustment

ub-process Sub-process Name Description of Sub-process Output

XTR701 Compute for Interest Manual computation of Interest adjustment (difference


Adjustment between indicative rate and maturity rate)

XTR702 Enter Interest Enter the adjustment as an Exposure Transactions in


Adjustment using Oracle Treasury. Capture the confirmed maturity profit
Exposure Transactions rate, and the difference in interest yield. Screen would be
customized to auto calculate the interest amount.

XTR703 Validate the data Entry The data entry would be validated before processing.
in Oracle Treasury

XTR704 Authorize the The Settlement of the Interest and Principal would be
Settlement in authorized in Oracle Treasury.
Oracle Treasury

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Process Flow Diagrams Enter Exposure Transaction for Interest Adjustment

701-Compute 702 - Enter Interest


703 - Validate 704 - Authorize
For Interest Adjustment using
F the data Entry the Settlement in
Adjustment Exposure
in Oracle Oracle Treasury
Transactions
Treasury

Customized screen
to auto calculate
interest amount
from principal
F

Enterprise Roles

Treasury User

Treasury Super
User

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XTR008 Manage Bonds

ub-process Sub-process Name Description of Sub-process Output

XTR801 Investment Community Bonds activity decision is based on the outcome of the
Bonds Decision Investment community. The Investment Community
decides if the Bond to be entered is New, or a Resell Bond

XTR802 Enter Resell Bonds Use the Fixed Income Securities Resales window to query
information existing Bonds for resell. Enter the Sale Amount for which
you resold the security.

XTR803 Setup New Bond Issue To enter a new purchase deal in Oracle Treasury, the
Bond Issue must be setup to record information of the
security investment.

XTR804 Enter Bonds Information Use the Fixed Income Securities window in Oracle
Treasury to enter new bonds puschase. Enter Bonds
information like Portfolio, Issue Code, Settlement Date,
value and etc.

XTR805 Validate the Data Entry The data entry would be validated before processing.
in Oracle Treasury

XTR806 Generate the Authority The Authority Purchase Slip is printed and routed for
Purchase slip approval manually.

XTR807 Approve Bond The Bond Placement Form would be routed manually to
Placement? the respective managers for approval.

XTR808 Cancel the Placement in If the placement is rejected, update Oracle Treasury to
Oracle treasury record the rejection

XTR809 Authorize the Authorize the settlement of the Bond in Oracle Treasury
Settlement in
Oracle Treasury

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ub-process Sub-process Name Description of Sub-process Output

XTR810 Generate Confirmation Confirmation letters of Bond purchase can be generated.


Letter

XTR811 Enter Inter Account If necessary, enter Inter Account transfer for cash
Transfer placement. Refer to XTR005.

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Process Flow Diagrams Manage Bonds

Resell Bond 802 - Enter Resell


XTR009 Manage Stocks Bonds Information

ub-process Sub-process Name Description of Sub-process Output

XTR901 Stock Placement


801 Investment
Summary
New of stock activity
Bond Purchase from stock brokers are 805 - Validate
803 - Setup 804 - Enter Bonds The Data
Start Reports are obtained
Community obtained
New Bond Information Entry in
from Brokerage
Bonds Decision Issue Oracle
Treasury
XTR902 Setup New Stock Issue To enter a new purchase deal in Oracle Treasury, the
Stock Issue must be setup to record information of the
security investment.

XTR903 Enter Sell Stocks Use the Equity Market Transactions Stocks Resales
Information window to enter new stock purchased. Query your deal
806 - Generate the 807-Approve Yes 809 - Authorize the 811- Enterof
Authority Purchase number and enter stock sellininformations like number
Settlement
Placement? Inter Account D
Slip resale shares, resale price.
Oracle Treasury Transfer

XTR904 Enter Stocks Information Use the Equity Market Transactions Stocks window to
enter new stock purchased. Enter stock information like
Enter inter account
No portfolio, number of shares, price per share, etc. transfer in Oracle
XTR905 Enter Cash Dividends Treasury if
Use the Equity Market Transactions Cash Dividends
insufficient funds
Information window to enter stock cash dividends. Enter information
like dividends declaration date, payment, and dividend
810 - Generate
808 - Cancel the
per share. Confirmation
Placement In
XTR906 Validate the Data Entry The data entry wouldLetter
Oracle Treasury be validated before processing.
in Oracle Treasury
Enterprise Roles

XTR907 Authorize the The settlement of the purchase stock or cash dividends
Treasury User
Settlement in Oracle would be authorized in Oracle Treasury.
Treasury Treasury Super
User
XTR908 Generate Confirmation Confirmation letters of Bond Epurchase can be generated.
Letter END

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Process Flow Diagrams Manage Stocks

Update Sell Stocks 903 - Enter Sell


Stocks Information

Update New 906 - Validate the


Stock Purchase 902 - Setup New 904 - Enter Bonds
Start 901 Placement Stock Issue Data Entry
Reports From Information in Oracle
Brokerage Treasury

Update Cash Dividends 905 - Enter Cash


Dividends
Information

907 - Authorize the


908 - Generate E
Settlement in
Confirmation
Oracle Treasury
Letter

Enterprise
Roles
Treasury User

Treasury Super
User

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Gap Analysis
This section details the analysis of the mapping solution for the above requirement identified as a Gap above at the
Oracle Fit column. Each gap will have a Gap ID assigned to.
Each Option is named with the Process Number and suffix with a character(A,B,C, etc.) to identify each Option.
Description describes the solution identified.
Costs/Benefits lists the various pros and cons for the selected option.
Estimated Work Effort provides details of the effort required to perform any customization if required the
selected option.
Option Selected will have YES is the selected option is determined. And the selected option with comments and
date of the decision made is noted at the Resolution and Date columns.

Gap ID: XTR-G001

Process Name: The system should automatically generate fund transfer letter to the bank.

Process ID: XTR503

Requirement Description: The system should automatically generate fund transfer letter to the bank.

Priority: H

Options Description Costs/Benefits Frequency/Volumes Estimated Option


Work Effort Selected

1 Minor custumization Cost Easy Script/Report High 3 YES


requirement to output script Benefit Auto produce
letter, frequently used,
security and data integrity
2 Manual Process Use Cost Security issue , can High 0-1
Desktop tools change letter content
Benefit save on
customization cost

Resolution:
Recommend Option 1.

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Date:
May 11 2004

Gap ID: XTR-G002

Process Name: The system should support 3-way comparison of forecast, budget, current and previous year actual information for multiple user-
defined periods.

Process ID: F 05.14 (reports requirement identified in RFP)

Requirement Description: The system should support 3-way comparison of forecast, budget, current and previous year actual information for multiple user-
defined periods.

Priority: L

Options Description Costs/Benefits Frequency/Volumes Estimated Option


Work Effort Selected

1 Use Oracle Discover Cost effort to build Weekly/monthly Not determined, range of 5 days. YES
Benefit full requirement fit
2 Retain current manual Cost Minimal Weekly/ monthly 0
process Benefit full requirement fit

Resolution:
Recommend Option 1.
Date:
May 11 2004

Gap ID: XTR-G003

Process Name: Daily Cash Position Report (Cash Management)

Process ID: F503

Requirement Description: The Daily Cash Position Report is required daily to access how much fund is available for TN. The bank account balances is
obtained from Oracle Cash Management

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Priority: H

Options Description Costs/Benefits Frequency/Volumes Estimated Option


Work Effort Selected

1 Customize Report Cost Complex Report High 5 YES


Benefit Meet most
requirements. Cash position
numbers are available from
submitting a report anytime
(assuming daily
consilidation is completed)
2 Oracle Cash Management Cost Implementation High N/A
Cash Positioning Funtion effort, some workaround
required
Benefit Standard function,
no customization.

Resolution:
Recommend Option 1.
Date:
July 26 2004

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Open and Closed Issues for this Deliverable

Open Issues

ID Issue Resolution Responsibility Target Impact


Date Date

Closed Issues

ID Issue Resolution Responsibility Target Impact


Date Date

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