# Operations-Readiness Checklist

| Category                              | Requirement                                                                                                                                                                                                                                                                                                                                                                                                    | Required    | Recommended |
| ------------------------------------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------- | ----------- |
| **Communication**                     | <ul><li>Design communication plan for all incident types. Include plan in service level agreements</li><li>Implement real-time interface for incident management with Audio, Video and Text capabilities.</li><li>Implement ticket management systems / processes</li><li>Onboard partners on TMS and communications platforms.</li></ul>                                                                      | AP          | <p><br></p> |
| **Monitoring**                        | <ul><li>Design KPI gathering and storage architecture</li><li>Implement performance and availability gathering mechanisms, plug into reporting module, publish over APIs if feasible.</li><li>Setup visual aids and triggers for alerts</li></ul>                                                                                                                                                              | AP          | TPP         |
| **Incident Management**               | <ul><li>Document incident management plan with clear operational processes to meet SLAs, align with communication plan.</li><li>Keep an open register of incidents and categorize per type, log each occurrence.</li><li>Track and report incident and resolution occurrences</li><li>Escalate recurring incidents to problem management</li><li>Keep lessons learnt and knowledge base repositories</li></ul> | AP          | TPP         |
| **Business Continuity Plan**          | <ul><li>Document business continuity plans, detailing processes, responsibilities and redundancies provided. Ensure detailed steps are enumerated and design to meet SLAs.</li><li>Schedule review and failover activities for the year</li><li>Track results and problems</li></ul>                                                                                                                           | AP, TPP     | <p><br></p> |
| **Problem Management**                | <ul><li>Inaugurate a problem register detailing issue type, date, symptoms, stop-gap, resolution plan and dates</li></ul>                                                                                                                                                                                                                                                                                      | AP          | TPP         |
| **Change Management**                 | <ul><li>Institute change register maintenance and change management process and owned by appointed Change Advisory Board members</li><li>Ensure change notification schedules are implemented as recommended and employ technology tools where possible.</li></ul>                                                                                                                                             | AP          | <p><br></p> |
| **Reporting**                         | <ul><li>Design reporting templates and systems, and plug-in to data sources. Note recommended report data</li><li>Ensure reports are segmented per participant</li><li>Automate reporting where possible.</li></ul>                                                                                                                                                                                            | AP          | <p><br></p> |
| **Accounting & Financial Management** | <ul><li>Capture billing arrangements within business/service contracts.</li><li>Design and document accounting procedures to provide clarity between operations, accounting and business management personnel.</li><li>Create process for updating this process with new products/services</li></ul>                                                                                                           | AP          | TPP         |
| **Reconciliation**                    | <ul><li>None</li></ul>                                                                                                                                                                                                                                                                                                                                                                                         | <p><br></p> | <p><br></p> |
| **Settlement**                        | <ul><li>Adhere to guidelines regarding switching operations.</li><li>Ensure inter-participant settlement operations are clearly defined to amounts, timing, defaults, overdrafts etc.</li></ul>                                                                                                                                                                                                                | AP, TPP     | <p><br></p> |
| **Dispute Resolution**                | <ul><li>Implement systems to track & maintain required SLA</li><li>Implement consumer interfaces for raising and communicating updates on disputes</li><li>Design and operationalize inter-participant dispute management processes.</li><li>Train operational personnel for Open Banking related disputes and procedure handbook to guide action.</li></ul>                                                   | AP          | <p><br></p> |
| **Fraud and Liabilities**             | <ul><li>Design and operationalize fraud management processes</li><li>Establish legal and business framework for treating liabilities</li><li>Implement controls to ensure compliance at all levels</li></ul>                                                                                                                                                                                                   | AP          | <p><br></p> |

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